MARITIME QUALITY CONSULTANTS,
INC. MARITIME QUALITY CONSULTANTS,
INC.
NEWSLETTER Vol. 1
ISM CODE AUDITS
This first issue of our newsletter will feature useful information about shipboard ISM Code audits. I have personally conducted many internal and external audits onboard ships worldwide. This issue is dedicated to assisting companies and ships' staff to be well prepared for their audits.
In this issue we will discuss:
1) Recommendations for handling shipboard audits; and
2) Some of the most frequent non-conformances.
Recommendations for Handling Shipboard External Audits
A little preparation can make the external audit run smoothly.
Preparations for the audit:
1. Ensure that all non-conformances have been addressed.
2. Make sure the Master is using the most recent issue of the company's forms.
3. Make sure all Shipboard Safety Management System (SMS) Manuals are up-to-date and in their correct locations.
4. Ensure that currently used charts are corrected for latest Notice to Marines.
5. Distribute the External Auditor's Audit Plan to all Officers prior to the audit.
6. Review past Internal Audit Reports because many of the same questions will be asked by the External Auditor.
Day of the Audit
7. First impressions are very important. Be sure the gangway is properly rigged with a safety net. Be sure there is a gangway watch and that someone is there to take the Auditor(s) to the Master's office.
8. Ensure that everyone is wearing overalls, hard hats and appropriate personal protective equipment when working.
9. Have a spare room available for Auditor to use in writing his report. Let Auditor know if there is a copy machine available for his use.
10. Have as many of the officers as possible attend the Auditor's Opening Meeting. Include crew members if the Auditor agrees.
During the Audit
11. Always have a company representative in attendance. His role is to make sure the Officers and crew make a good impression on the Auditor. His job is not to answer questions. It may be very difficult for him to stand by and let an Officer or crewmember struggle with the answer. It is not the Representative's place to give the answer and the Auditor will get very annoyed if he does this very often.
12. If the Company Representative feels that the answer given was wrong, does not represent the vessel's system, or the Auditor may not have understood what was said, then the Representative should prompt the officer/crewmember to give the Auditor the correct answer.
13. Do not volunteer additional information beyond that necessary to answer the question.
14. Keep files closed and hand the Auditor a file only when asked.
15. Encourage all officers/crewmembers to speak up. They know the answers. They will impress the auditor if they are able to look him in the eye and give him the answer in a normal tone of voice.
16. If there are any non-conformances, the Auditor(s) is suppose to point them out during his audit. If you feel that there is additional information that would show that there is really not a non-conformance, tell him immediately. If you do not understand the non-conformance, ask him for clarification.
17. Don't argue with the Auditor.
Closing Meeting
18. Have as many of the Officers and crew (if allowed) at the Closing Meeting as possible. It is not required for everyone to attend but the Master and Senior Officers should attend unless there is a major operation going on that requires their attention.
19. Before the Closing Meeting, the Company Representative and Master should know about all the non-conformances. The Master will be asked to sign them and, if possible, tell the Auditor what the ship's staff will do to correct the non-conformances. If the Auditor requests, have the Master write his corrective action on the form.
20. Make sure the Auditor leaves a copy of his report and non-conformances with the Master.
Frequent Non-Conformances
According to industry sources, the most important non-conformances found by Flag State Control inspections of vessels who had ISM Certification were:
1) Not having current ship's certificates onboard.
2) ISM Safety Management Certificate missing.
3) Officers unable to identify the "designated person".
4) Master not able to provide documented proof of his responsibility and authority including his overriding responsibility.
5) Lack of maintenance records.
6) Emergency drills not conducted.
These non-conformances can lead to the vessel being detained until the problem is corrected.
My own experience with shipboard audits has revealed the following non-conformances.
1) Unsafe rigging of gangway.
2) SOLAS Safety Training Manual not up-to-date.
3) Master or Chief Engineer hand-over time inadequate.
4) Onboard copies of SMS Manual are not up-to-date.
5) Instructions for safety equipment not available in a language understood by ship's staff.
6) Master or Chief Engineer has not issued his Standing Orders and signed them.
7) Crew not wearing safety shoes while working.
8) Checks required to be made each watch at sea not being recorded for each watch.
9) Passage Plan not prepared for each passage or not covering berth-to-berth.
10) Reliance on GPS with no checks by sextant or bearings on landmarks.
11) No schedule of Emergency Drills covering all emergencies identified in the Company's SMS.
12) Using obsolete copies of the Company's checklists.
13) Tests of alarms not made or not recorded.
14) Reference Library not up-to-date.
15) Non-conformances issued to ship not closed out in a timely manner.
Created by JoAnne Sterling, Sterling's Business
Services, jaganann@earthlink.net.
Copyright © 1999 [Maritime Quality Consultants, Inc.]. All rights reserved.
Revised:11/10/04