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Lessons
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Course Introduction
- Course Notes
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Chapter 1: ISM Internal Auditing
- Key Principles of the ISM Code
- Audit Principles under the ISM Code
- Audit Types and Purpose under the ISM Code
- The Safety Management Cycle and the Role of Auditing in Continuous Improvement
- Chapter Summary
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Chapter 2: Regulatory Framework
- General Requirements for the Safety Management System (SMS)
- Flag State Expectations in the Implementation of the ISM Code
- Classification Societies (Recognized Organizations) Approach to ISM Auditing
- Port State Control (PSC) Approach to ISM Code Compliance
- Roles and Responsibilities of the Internal Auditor
- ISM Code, Paragraph 12 – A Detailed Overview
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Chapter 3: Planning and Preparing Audit
- Planning and Preparing an ISM Audit
- Homework #1 Audit Planning
- Document Review – Preliminary Examination of the Safety Management System
- Audit Checklists – Structured Guidance and Risk-Based Flexibility
- Team and Logistics – Assembling, Managing, and Supporting the Audit Process
- Conducting the Opening Meeting – Establishing Clarity and Cooperation
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Chapter 4: Conducting the Audit
- Conducting the Audit – Techniques and Best Practices
- Auditor Techniques – Mastering Observation and Interviewing Skills
- Sampling and Evidence – The Foundation of Audit Credibility
- Focusing on Effectiveness – Auditing Beyond Compliance
- Managing the Audit Process – Maintaining Control, Professionalism, and Integrity
- Preparing for the Closing Meeting – Organizing Findings and Final Review
- ISM Code Paragraph 13: Certification and Periodical Verification – Detailed Overview
- Safety Management Audits – An Overview and Guide
- Homework # 2 – Audit Interview
- Certificate Formats According to ISM Code
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Chapter 5: Audit Findings and Reporting
- Audit Findings – Non-Conformities and Reporting
- Real-World Examples of ISM Audit Non-Conformities
- Reporting Non-Conformities – Writing Clear and Professional Findings
- Homework #3 – Writing Audit Findings and NC’s Reports
- Corrective Action Requests – From Identification to Closure
- Audit Report Writing – Structure, Purpose, and Professional Standards
- Management Review and Continual Improvement
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Chapter 6: Lead Auditor Responsibilities
- Role of the Lead Auditor
- Auditor Competency
- Auditor Ethics
- Code of Conduct
- Auditor Training and Certification
- Managing the Audit Team
- External Audit and Certification
- Handling External Findings
- Communication and Closing Meeting
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Chapter 7: Audit Program Management
- Audit Program Development
- Audit Program Implementation
- Audit Program Monitoring and Review
- Audit Program Improvement
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Chapter 8: Audit Program Evaluation
- Audit Program Evaluation
- Continuous Improvement
- Management Review
- Audit Program Improvement Plan
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Chapter 9 Case Study – ISM Audit Simulation
- Case Study
- Case Study – Identifying Non-Conformities in Context
- Case Study – Reporting and Presentation of Audit Findings
- Case Study – Decision-Making and Corrective Actions
- Homework #4 – Complete ISM Internal Audit Simulation
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Chapter 10: Remote and Hybrid Auditing
- Introduction to Remote and Hybrid Auditing
- Selecting the Appropriate Audit Method
- Planning a Remote or Hybrid Audit
- Collecting Objective Evidence Remotely
- Auditing Virtual Locations
- Risks and Limitations of Remote Auditing
- Best Practices for ISM Lead Internal Auditors
- Practical Maritime Case Studies
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