Advanced ISM Code, Lead Auditor & DPA Roles

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Online sessions

Course Introduction

This Advanced ISM Code, Lead Auditor & DPA Roles training course has been designed by ISM specialists to fully align with the IMO guidelines stated in Circular MSC–MEPC.7 Circ. 6 (19 October 2007). The course blends theoretical requirements with practical insights from the shipping industry, including legal aspects that directly impact the Designated Person Ashore (DPA) role. Participants will gain a strong foundation in the ISM Code and its real-world application, preparing them for the complexities of modern maritime safety management.

The course focuses on developing comprehensive understanding of the ISM Code, while equipping participants with the knowledge needed to carry out effective audits and manage SMS compliance. It also provides dedicated training for current and aspiring DPAs, ensuring they understand their responsibilities, authority, and legal exposure. The curriculum covers lead auditor responsibilities, audit planning, execution, reporting, and follow-up, ensuring participants can confidently perform audits that add real value to the company’s safety management system.

This training course will help you to:

  • Identify the aims and benefits of an ISM audit
  • Interpret ISM requirements and apply them effectively
  • Plan, conduct and follow up auditing activities that improve safety performance
  • Apply the latest auditing techniques and use them appropriately
  • Build stakeholder confidence by managing ISM processes in line with latest requirements
  • Plan, conduct, report and follow up an ISM audit as a Lead Auditor
  • Understand the purpose and benefits of a maritime management system
  • Explain the role and responsibilities of a Lead Auditor
  • Expand audit principles related to ISM Code verification and certification

Objectives

Participants who complete this Advanced ISM Code, Lead Auditor & DPA Roles training course will gain a thorough understanding of the ISM Code and its practical implementation. The course is designed to strengthen knowledge on safety management systems and develop key auditing skills that support full ISM Code compliance.

By the end of this course, participants will be able to:

  • Demonstrate extended knowledge and understanding of the ISM Code
  • Explain the background, objectives, and functional requirements of the Code
  • Understand relevant guidelines, standards, and mandatory rules and regulations
  • Define the resulting SMS requirements for a company
  • Understand DPA responsibilities, authority, legal exposure, and potential challenges
  • Perform DPA duties in accordance with IMO MSC–MEPC.7 Circ. 6 (if qualified)
  • Provide documentary evidence proving capability to perform DPA responsibilities
  • Apply assessment techniques for examining, questioning, evaluating, and reporting
  • Participate effectively in marine-related management system audits
  • Gain practical knowledge of shipboard operations and shipping practices
  • Apply technical and operational aspects of the Safety Management System
  • Communicate effectively with shipboard staff and senior management
  • Understand related requirements under STCW 2010 and MLC 2006
  • Recognize the key benefits and requirements of ISM Code compliance
  • Meet IMO guidance and recommendations in MSC–MEPC.7 Circ. 6

Training Methodology

This Advanced ISM Code, Lead Auditor & DPA Roles training course uses a combination of proven learning techniques to ensure participants gain maximum understanding and retention. The training is highly interactive, featuring regular discussions between delegates and the course instructor. This approach encourages active learning and enables participants to apply theoretical knowledge to real-world scenarios.

The course provides comprehensive learning resources, including detailed course manuals, handouts, and PowerPoint presentations for each session. These materials support practical application and reinforce key concepts throughout the training. The learning method emphasizes case studies, scenario-based discussions, and role-playing exercises, enabling participants to practice audit skills, DPA responsibilities, and SMS management in a controlled environment.

Who Should Attend?

This training course is ideal for professionals who are responsible for implementing and managing Safety Management Systems and those aiming to become competent ISM Lead Auditors or DPAs. It is designed for individuals seeking advanced knowledge of ISM Code requirements and audit procedures in a practical maritime context.

This course is suitable for:

  • Shipping company management & team leaders
  • Personnel involved in SMS preparation and implementation
  • ISM implementation and compliance staff
  • Marine superintendents
  • Quality managers
  • Designated Person Ashore (DPA) and Assistant DPA
  • Deck and engine officers
  • Anyone seeking a DPA role
  • Personnel involved in SMS and ISM audit processes
  • Individuals who wish to become competent ISM Lead Auditors
  • Management representatives

Course Outline

Day 1: Introduction to the ISM Code

Overview of the ISM Code

  • History and development
  • Objectives and functional requirements
  • ISM Code Requirements
  • Review of Safety Management System (SMS)

Structure of the ISM Code

  • General provisions
  • Safety management objectives
  • Company responsibilities and authority

Benefits of ISM Code Compliance

  • Enhanced safety and environmental protection
  • Improved operational efficiency

ISM Certification and Verification

  • Verification by Administrations or Recognized Organizations (ROs)
  • Certification & Periodical Verification (para 13 ISM Code)
  • Annual verification of Document of Compliance
  • Interim Certification requirements (para 14 ISM Code)

Day 2: Safety Management Systems (SMS)

Overview of the ISM Code

  • Objectives of an SMS

Components of SMS

  • Safety and Environmental Policy statements
  • Procedures and Manuals
  • Emergency preparedness
  • Reporting and Investigation of Non-Conformities

Developing and Maintaining SMS

  • Risk Assessment & Management
  • Defined Responsibilities and Authority
  • Continuous improvement processes

SMS Implementation & Certification

  • SMS and ISM Code Compliance
  • Benefits of an Effective SMS
  • Common Challenges and Solutions in SMS Implementation
  • Role of the Designated Person Ashore (DPA) in SMS
  • SMS Audits and Certification
  • SMS Continuous Improvement and Feedback Loop
  • Best Practices for SMS Effectiveness

Day 3: Lead Auditor Training

Understanding Audits

  • Types of audits: Internal, external, and third-party
  • Importance of audits for ISM Code compliance

Audit Phases

  • Planning and Preparing

Roles and Responsibilities of a Lead Auditor

  • Planning and preparation
  • Forming An Audit Team
  • Managing the audit team

Conducting an Audit

  • Opening meeting
  • Evidence collection techniques (interviews, document reviews, observations)
  • Closing meeting

Audit Reporting

  • Drafting the Audit Report
  • Non-conformity reporting
  • Corrective and preventive action follow-ups

Audit Skills Development

  • Communication and observation
  • Handling conflicts during audits

Day 4: Designated Person Ashore (DPA) Role

Understanding the Role of the DPA

  • Legal framework and ISM Code requirements

Key Competencies for a DPA

  • Leadership and decision-making
  • Effective communication and interpersonal skills

Monitoring and Auditing SMS Performance

  • Conducting Internal Audits and Inspections

Communication and Liaison

  • Acting as the link between the ship and shore
  • Ensuring the company’s SMS is effectively implemented
  • Liaising of External Audits and Regulatory Compliance

Incident Management

  • Investigating incidents and ensuring corrective actions
  • Post-Incident Recovery and Reporting under the ISM Code
  • Coordinating the response to incidents

Monitoring and Review

  • Evaluating SMS performance
  • Proactive identification of non-conformities

Emergency Preparedness and Crisis Management

  • Emergency Response Planning

Day 5: Practical Exercises and Case Studies

ISM Code Application

  • Scenario-based exercises on SMS implementation

Audit Simulation

  • Conducting a mock ISM audit with reporting
  • Role-Playing Exercises
  • Group discussions on audit approaches and challenges

DPA Practical Exercises and Case Studies

  • DPA Role Simulation
  • Coordinating a mock emergency as a DPA
  • Discussion on lessons learned and best practices

DPA Challenges

  • Handling real-world situations, such as emergencies and communication breakdowns

Providers and Associations

Anderson
Aztech Training
Coventry

Certificate

  • Copex Certificate of Attendance will be provided to delegates who attend and complete the course

Material published by Copex shown here is copyrighted. All rights reserved. Any unauthorized copying, distribution, use, dissemination, downloading, storing (in any medium), transmission, reproduction or reliance in whole or any part of this course outline is prohibited and will constitute an infringement of copyright.

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Related Categories

Health, Safety and Environment (HSE)

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