Blog 4:
Step-by-Step ISM Audit Preparation for Chief Engineers
Introduction
The International Safety Management (ISM) Code is a cornerstone of maritime safety, ensuring vessels operate safely and comply with international standards. For chief engineers, preparing for an ISM audit is a critical responsibility, as the engine room is a focal point of scrutiny. A successful audit demonstrates compliance with safety, environmental, and operational standards, while a failed audit can lead to detentions or operational restrictions. This blog provides a comprehensive, step-by-step guide for chief engineers to prepare for an ISM audit, covering documentation, maintenance, crew readiness, and more. Drawing from the ISM Code, industry best practices, and practical insights, this guide ensures you’re audit-ready.
Step 1: Understand the ISM Code and Audit Scope
The ISM Code, established by the International Maritime
Organization (IMO), mandates a Safety Management System (SMS) to ensure safe
ship operations and environmental protection. Audits, conducted by flag states,
classification societies, or port state control, verify compliance.
Action Items:
Review the ISM Code: Study the 16 elements of the ISM Code (e.g., safety policy, emergency preparedness, maintenance). Access the latest version via the IMO website or your company’s SMS manual.
Know the Audit Types: Understand whether it’s an initial, annual, or renewal audit, as scope varies. External audits (by flag state or class) are more rigorous than internal audits.
Clarify Responsibilities: As chief engineer, you’re responsible for engine room compliance, maintenance records, and crew training. Coordinate with the master and Designated Person Ashore (DPA) for a holistic approach.
Step 2: Review the Safety Management System (SMS)
The SMS is the backbone of ISM compliance, outlining
procedures for safe operations. The chief engineer must ensure engine room
processes align with the SMS.
Action Items:
Access SMS Documentation: Obtain the company’s SMS manual and review sections relevant to the engine room (e.g., maintenance, emergency procedures, pollution prevention).
Check for Updates: Ensure you’re using the latest SMS version, as outdated procedures can lead to non-conformities.
Identify Gaps: Compare SMS requirements with actual engine room practices. For example, verify that maintenance schedules match the SMS-specified intervals.
Consult the DPA: Discuss any unclear SMS requirements with the DPA to ensure alignment.
Step 3: Verify Maintenance and Technical Records
Auditors focus heavily on the engine room’s Planned
Maintenance System (PMS) and technical records, as these demonstrate compliance
with ISM Element 10 (Maintenance of the Ship and Equipment).
Action Items:
Update PMS Records: Ensure all maintenance tasks (e.g., main engine overhauls, generator tests, pump inspections) are logged in the PMS software or logbooks. Include dates, details, and crew signatures.
Inspect Critical Systems: Verify that critical systems (e.g., main engine, boilers, fuel systems) are maintained per manufacturer guidelines and SMS requirements. Check for overdue tasks.
Prepare Certificates: Ensure certificates for equipment like lifeboats, fire extinguishers, and pressure vessels are valid and accessible.
Oil Record Book (ORB): Review the ORB for accuracy, especially entries for bilge water, sludge, and fuel transfers. Errors here are common audit findings.
Spare Parts Inventory: Confirm that spare parts for critical systems are available and logged. Auditors may check for adequate stock levels.
Step 4: Ensure Pollution Prevention Compliance
ISM Element 3 (Company Responsibilities) and MARPOL
regulations require robust measures to prevent pollution. The engine room is
scrutinized for oil, waste, and emissions management.
Action Items:
Check Oily Water Separator (OWS): Verify the OWS is operational, calibrated, and logged correctly in the ORB. Test the 15 ppm alarm and ensure no bypass pipes exist.
Inspect Waste Management: Confirm that sludge and bilge tanks are managed per MARPOL Annex I. Ensure incinerators or waste storage systems comply with Annex V.
Verify SOx/NOx Compliance: If applicable, check that low-sulfur fuel records or scrubber systems meet MARPOL Annex VI requirements. Maintain bunker delivery notes (BDNs).
Leak Prevention: Inspect fuel and lube oil systems for leaks. Ensure drip trays and save-alls are clean and functional.
Step 5: Prepare for Emergency Scenarios
ISM Element 8 (Emergency Preparedness) requires the crew to
be ready for emergencies like fires, blackouts, or oil spills.
Action Items:
Conduct Drills: Schedule and document engine room-specific drills (e.g., fire, blackout, oil spill response) within the last 6 months. Ensure all crew participate.
Test Emergency Systems: Verify that emergency generators, fire pumps, and CO2 systems are operational and tested as per SMS schedules.
Prepare Contingency Plans: Review SMS contingency plans for engine room emergencies (e.g., main engine failure, steering gear failure). Ensure crew know their roles.
Emergency Equipment: Check that fire extinguishers, breathing apparatuses, and spill kits are in place and serviced.
Step 6: Train and Brief the Engine Room Crew
Auditors interview crew to assess training and competence
(ISM Element 6). The chief engineer must ensure the team is knowledgeable and
confident.
Action Items:
Review Training Records: Confirm that all engineers have up-to-date training certificates (e.g., STCW, company-specific courses).
Conduct Briefings: Hold pre-audit briefings to review SMS procedures, emergency roles, and likely auditor questions (e.g., “What do you do during a blackout?”).
Familiarization: Ensure new crew members complete SMS familiarization training, with signed records.
Language Skills: If the audit is in English, ensure key crew can communicate effectively or prepare a translator.
Step 7: Conduct an Internal Audit
An internal audit helps identify and fix issues before the
external audit.
Action Items:
Perform a Mock Audit: Walk through the engine room with the SMS checklist, checking equipment, records, and crew readiness. Involve the master or safety officer.
Address Non-Conformities: Document and correct any findings, such as missing logs or overdue maintenance.
Update the DPA: Report internal audit results to the DPA and request guidance if needed.
Step 8: Prepare Documentation for Auditors
Auditors will request specific documents to verify
compliance. Have these ready in an organized format.
Action Items:
Compile a Document Folder: Include the SMS manual, PMS records, ORB, BDNs, equipment certificates, drill logs, and crew training records.
Digital Backups: If using digital logs, ensure they’re accessible offline in case of connectivity issues.
Highlight Compliance: Prepare a summary of recent maintenance, drills, and improvements to demonstrate proactive compliance.
Step 9: Physical Engine Room Readiness
A clean, organized engine room reflects professionalism and
compliance.
Action Items:
Clean and Organize: Ensure the engine room is free of oil spills, clutter, or loose tools. Label all equipment and pipes clearly.
Check Safety Signage: Verify that fire plans, muster lists, and hazard warnings are posted and legible.
Inspect Equipment: Confirm that gauges, alarms, and control systems are functional and calibrated.
Secure Loose Items:
Step 10: During the Audit
The chief engineer plays a key role during the audit,
escorting auditors and answering questions.
Action Items:
Be Present and Professional: Accompany the auditor in the engine room, answering questions confidently and concisely.
Provide Evidence: Show logs, certificates, or equipment as requested. Avoid volunteering unnecessary information.
Address Findings: If auditors identify non-conformities, acknowledge them and outline corrective plans.
Involve Crew: Ensure engineers are available to demonstrate equipment operation or explain procedures.
Post-Audit Actions
After the audit, address any findings promptly.
Action Items:
Correct Non-Conformities: Implement corrective actions for any major or minor non-conformities within the specified timeline.
Update SMS: Incorporate audit feedback into the SMS to prevent recurrence.
Report to DPA: Submit a post-audit report to the DPA, detailing outcomes and actions taken.
Conduct a Debrief: Review the audit with the crew to share lessons and improve future preparedness.
Best Practices for Chief Engineers
Stay Proactive: Regularly review SMS updates and conduct internal checks to stay audit-ready year-round.
Build a Safety Culture: Encourage crew to report issues and participate in drills.
Leverage Technology: Use digital PMS tools and condition-monitoring systems to streamline record-keeping.
Network with Peers: Join maritime forums or consult with other chief engineers for audit tips.
Stay Updated: Monitor IMO and flag state regulations for changes affecting ISM compliance.
Conclusion
Preparing for an ISM audit requires meticulous planning, from updating records to training the crew and ensuring equipment readiness. By following this step-by-step guide, chief engineers can approach audits with confidence, demonstrating compliance and a commitment to safety. A successful audit not only ensures regulatory compliance but also reinforces a culture of excellence in the engine room, benefiting the entire vessel’s operations.