How is ISM inspected?

 

The International Safety Management (ISM) Code is inspected through a series of internal and external audits conducted to verify that a ship and its company comply with the Code’s requirements. These inspections focus on the effectiveness of a ship’s Safety Management System (SMS) and are carried out by the ship's flag state or an authorized Recognized Organization (RO), such as a classification society.

Steps in the ISM Inspection Process:

1. Internal Audits (Company Responsibility):

   • The company that owns or operates the ship is required to carry out internal audits of its Safety Management System (SMS) at regular intervals (usually annually).
   • These audits are conducted to verify that the company and the ship are following the procedures outlined in their SMS.
   • The internal audit checks key areas such as:
     • Safety procedures for operations.
     • Emergency preparedness.
     • Pollution prevention measures.
     • Crew training and competence.
     • Maintenance of ship and equipment.
     • Compliance with maritime regulations.
   • Internal auditors, usually from within the company but independent of the day-to-day operation of the ship being audited, review documentation, training records, and conduct interviews with crew members to assess the SMS’s functionality.

2. External Audits (Flag State or Recognized Organizations):

   • External audits are carried out by the flag state (the country in which the ship is registered) or an approved Recognized Organization (RO), such as a classification society. These audits are conducted to assess the ship’s overall compliance with the ISM Code.
   • There are two main types of external audits:
     • Initial Audit: Conducted when the ship or company is applying for the Document of Compliance (DOC) or Safety Management Certificate (SMC) for the first time.
     • Periodic Audits: Carried out to renew these certificates, typically every five years, with an intermediate audit done between these periods.

   During the external audit, auditors check the following:

   • Documentation and Manuals: The ship’s SMS documentation, including procedures for safe operations, emergency plans, and maintenance routines, is examined. The auditor ensures that the documentation complies with ISM requirements and is up to date.
   • Training and Familiarization: The auditors verify that the crew is properly trained and familiar with the SMS. This includes assessing whether the crew knows how to handle emergencies, maintain pollution prevention measures, and follow safety procedures.
   • Operational Procedures: The audit focuses on how the ship operates day to day, ensuring that the procedures outlined in the SMS are being followed effectively.
   • Emergency Drills and Exercises: Auditors may observe emergency drills to evaluate the crew’s preparedness and ability to handle crises such as fire, collision, or man overboard situations.
   • Maintenance Records: The auditor inspects the ship’s maintenance logs to ensure that critical equipment is regularly checked, serviced, and repaired as needed. This includes checks on safety systems, lifesaving appliances, and firefighting equipment.
   • Non-conformity Reports: The audit looks at any non-conformities (instances where the SMS procedures were not followed) and how these were addressed. The company must have a system for identifying and correcting non-conformities.

3. Certification Process:

   • Following a successful audit, the ship or company is awarded two key certificates:
     1. Document of Compliance (DOC): Issued to the shipping company to show that it complies with the ISM Code and that it has an effective SMS in place.
     2. Safety Management Certificate (SMC): Issued to individual ships to show that their operations comply with the SMS. This certificate is valid for five years, subject to an intermediate audit within the five-year period.
   • If the audit identifies major non-conformities, the ship or company may not receive the certificates until corrective actions are taken and verified. In serious cases, the certificates can be withdrawn.

4. Port State Control (PSC) Inspections:

   • Ships are also subject to Port State Control (PSC) inspections when they visit foreign ports. PSC inspectors may check whether the ship has a valid Safety Management Certificate (SMC) and review the SMS to ensure it’s functioning properly.
   • If the PSC inspector finds that the SMS is not being followed or serious safety issues exist, the ship can be detained until corrective actions are taken.

5. Non-Conformities and Corrective Actions:

   • During audits, both internal and external, any non-conformities (deviations from SMS procedures or safety regulations) must be reported.
   • Major non-conformities could lead to detention of the ship, withdrawal of certificates, or penalties for the company.
   • For each non-conformity, the company is required to take corrective action and provide evidence that the issue has been resolved. This might involve retraining crew, updating procedures, or improving equipment maintenance.

Key Areas of ISM Inspection:

1. Safety and Pollution Prevention:

   • Compliance with safety regulations, such as fire safety, lifesaving appliances, and pollution prevention (e.g., oil, garbage, sewage).
   • Ensuring emergency response plans are in place and rehearsed.

2. Ship Maintenance:

   • Proper maintenance of ship and equipment.
   • Regular inspections and prompt repair of any damaged or worn equipment.

3. Crew Training and Competence:

   • Verification that the crew holds the necessary qualifications and certificates (STCW).
   • Ensuring that the crew is familiar with the SMS procedures and their roles in maintaining safety and environmental protection.

4. Operational Procedures:

   • Assessment of the company’s procedures for safe ship operations.
   • Ensuring that these procedures are well-implemented and followed by the crew.

5. Emergency Preparedness:

   • Observation of emergency drills to assess the crew’s ability to respond to emergencies.
   • Verification of the availability and accessibility of emergency equipment (fire extinguishers, lifeboats, etc.).

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ISM Code Audit Process Flow:

1. Planning: The audit is scheduled, and the ship and company are notified in advance. The auditors review previous audit results, non-conformities, and corrective actions.

2. Audit Execution:

   • The audit starts with an opening meeting to explain the scope and objectives.
   • Auditors conduct interviews, review documents, and inspect the ship’s condition.
   • Onboard inspections focus on verifying that the SMS is followed and effective.

3. Audit Findings:

   • Any non-conformities or deficiencies are recorded.
   • The auditors present their findings at the closing meeting, where they discuss what needs to be corrected.

4. Corrective Actions:

   • The company must take corrective actions to fix any non-conformities. A timeframe is given for completing these actions.

5. Certification:

   • If the audit is successful, certificates (SMC and DOC) are issued. If there are major non-conformities, certificates may be withheld until issues are resolved.

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Conclusion:

ISM inspections ensure that ships and companies are operating according to internationally agreed-upon safety and environmental standards. Through a combination of internal audits, external audits, and Port State Control inspections, the ISM Code helps ensure that safety management systems are implemented effectively, reducing the risk of accidents and ensuring proper emergency response and environmental protection. The process also encourages continuous improvement and accountability in the shipping industry