PROCEDURE FOR THE SELECTION, TRAINING, QUALIFICATION AND AUTHORISATION OF MARINE MANAGEMENT SYSTEMS auditors and crew and systems quality managers

How to select, train, qualify and authorise Marine Management Systems Auditors

General

Untitled

This procedure describes the requirements for the selection, training, qualification and authorisation of Recognised Organisation (RO) Marine Management Systems Auditors, herein after referred to as Recognised Organisation (RO) MMSA’s responsible for verifying compliance with the ISM and ISPS Codes.

Registration of Candidates

Candidates who wish to be qualified as a Recognised Organisation (RO) MMSA shall be registered as "Trainee System" in Qualif by the CSQM/DCSQM or MO, to be able to start the qualification process. That will ensure all performed trainings (theoretical and practical) will be automatically registered in Qualif.

Selection Criteria

Qualifications and Education

A Recognised Organisation (RO) MMSA shall be qualified or educated in accordance with the requirements of the related management procedure Annex A1.

Requirements for Commencement of Training

The requirements are:

• Auditor’s hiring contract, kept in local files.

• Confidentiality statement signed by the Auditor, attached to Qualif CV and kept in local files.

• Auditor’s CV, completed in Qualif and a copy attached to Qualif CV.

• An appropriately sized ID photograph to be uploaded to the Personal Data tab (for issuance of MMSA ID card).

• MMSA Security Statement completed and attached to Qualif CV (See the related survey procedure Para 3.3.1).

• Line Manager Statement completed and attached to Qualif CV (See the related survey procedure Para 3.3.1).

Experience

In addition to the above in Requirements for Commencement of Training, the candidate must have at least five (5) years' experience in areas relevant to the technical or operational aspects of shipboard operational management. Such experience may be gained in the following ways:

• Ship classification or statutory surveys,

  or

• Sea-going service as a certificated watch-keeping officer,

  or

• Employment in a technical role (for example, technical manager, superintendent, operations manager) in a ship management company,

  or

• Any combination of the above three.

Equivalences and Exceptions

For Auditors having previous experience in another Classification Society or Flag Administration, subject to FM review and agreement the qualifications may be issued if they are at least equivalent to those specified in paragraphs Qualifications and Education and Requirements for Commencement of Training above.

The Auditor shall have appropriate experience in carrying out audit of ships and companies and report on the conformity of the management system, and shall have the following as a minimum to be considered for equivalence:

• A minimum of two (2) years’ experience as an exclusive management systems auditor, accumulated in the last five (5) years.

• Documented evidence and certifications on theoretical and practical training and work experience that the candidate may have in relation to the ISM Code and ISPS Code.

• Documented evidence of previous or current appointment issued by the Classification Society or Flag Administration.

The request for equivalence, supported by the documentation listed above, shall be thoroughly reviewed, and assessed by FM_SAT to determine if the candidate can be proposed to the MO for acceptance.

The final decision for the issuance of the Surveyor's certificate is taken by the MO and is based on the proposal from FM_SAT.

The modules related to the Recognised Organisation (RO) procedures (ISM and ISPS) are mandatory, for all trainees including trainees arriving as certified ISM/ISPS Auditors as per requirements of IACS PR 10 from an IACS or Non-IACS Society, together with respective part of the examinations and shall be delivered by the CSQM or someone nominated by them with enough experience to deliver such training. The training session and the exam shall be registered in Qualif.

All auditors looking for equivalence shall complete at least one (1) ISM Code and one (1) ISPS Code verification under the monitoring of the CSQM before validation of their certificate.

ISM/ISPS Form P

For every MMSA trainee candidate the CSQM shall send ISM/ISPS Form P (see paragraph Attached Files Attached Files), with “Section 1 Planning” completed, to their MO, for preliminary evaluation of the former experience required for qualification, before any theoretical/practical training has started. Following the preliminary evaluation MO shall agree on any possible training scope reduction and authorise the commencement of the candidate training process.

Competence requirements for Recognised Organisation (RO) Marine Management Systems Auditors

Those responsible for verifying compliance with the requirements of the ISM and ISPS Codes must be able to demonstrate knowledge and understanding of:

• The principles and practice of management systems auditing.

• The requirements of the ISM and ISPS Codes and their interpretation and application, including the relevant Recognised Organisation (RO) procedures.

• Mandatory rules and regulations and applicable Codes, Guidelines and Standards recommended by the IMO, Administrations, Classification Societies and Maritime Industry Organisations.

• Basic shipboard operations including emergency preparedness and response.

  See Detailed Learning Objectives for more detailed list of learning objectives.

In addition, the MMSA trainees must demonstrate that they can apply such knowledge and understanding and that they can carry out effective verification audits of the shore-based and shipboard aspects of marine management systems against the ISM and ISPS Codes as applicable.The competences described above may be acquired through a combination of the following:

• Previous qualifications and experience

• Theoretical training

• Practical training

Theoretical Training

Theoretical Training Sessions

Auditors are required to attend theoretical training sessions to obtain their qualification. Theoretical training shall address all the areas listed in paragraph Competence requirements for Recognised Organisation (RO) Marine Management Systems Auditors above. The time spent on each topic and the level of detail necessary will depend on the qualification and experience of the trainee(s), their existing competence in each subject, and the number of training audits to be carried out.

Theoretical Training Modules

The training is modular in structure and the period over which all of the modules must be delivered shall not exceed twelve (12) months.

The details of the three (3) modules defined below are given in Theoretical Training Summary Table attached together with the corresponding course timetables to this procedure (see paragraph Attached Files Attached Files).

• ISM Basic Training

• ISM Shipboard Operations

• ISPS Training

In special cases, authorised by the MO/FM_SAT, training material "ISM Basic - Refreshing Training for NS Surveyors or Qualified Auditors" may be used.

If all required modules of the theoretical training have not been completed within twelve (12) months, the modules completed out of the twelve (12) month window are to be repeated.

MO/FM_SAT may agree on a case-by-case basis to replace the full module with a theoretical refresher training.

In addition to the three (3) training modules defined above trainees shall complete eLearning module “SC01 - PAX Training for ISM Auditors” as part of theoretical training.

Auditors not Intending to be MMSA

Those intending to be qualified as Recognised Organisation (RO) IMS Auditors should follow the requirements of the related procedure.

Those intending to be qualified as ISM Auditors only should follow the requirements of Paragraph ISM Auditors.

Theoretical Training Sessions

Auditors are required to attend theoretical training sessions to obtain their first certification or to upgrade their existing certification.

Theoretical training will be conducted in one of the Regional Training Centres (RTC’s). Planned theoretical training is scheduled on the annual training calendar which is periodically communicated to all CSQM’s.

Duration of Theoretical Training

A minimum of thirteen (13) days of theoretical training shall be provided (if no exemptions granted). See "Minimum training requirements" in paragraph Training (General).

Remote Theoretical Training

In exceptional circumstances, remote training sessions may be accepted on a case-by-case basis with prior agreement from FM_SAT.

For remote training sessions arranged as theoretical certifying training, the justification is to be submitted to FM_SAT, if the training is to be open to the global network, the training will be managed by one RTC.

The proposal for remote training shall define the platform, the rules for etiquette and participation and how the trainer(s) will manage questions and answers, workshops, etc.

The contents and effectiveness of such remote theoretical training sessions shall be equivalent to classroom training organised by RTC’s; the corresponding training material is provided by DO_FM.

Examination

Confirmation that the learning objectives have been met shall be demonstrated by written examination generated through Qualif at the end of each module.

Examinations consist of multi-choice questionnaires, carried out online using Qualif and the system will automatically mark the exams.

In principle, examinations are to be passed after completion of the respective module.

Examinations are deemed to be “open book” unless defined otherwise and the Auditor shall have access to the relevant procedures, rules, regulations, and materials for the examination.

The Trainer will arrange the qualifying exam on completion of the training using the Qualif system.

The minimum overall acceptable score for the exam is 70% with a minimum of 50% for each individual module.

If the trainee fails the examination a single resit will be permitted. A trainee who fails the resit will be required to undergo the corresponding theoretical training module again before being allowed to make another attempt of the examination.

Training Attestations shall be created in Qualif by the trainer for each participant.

When the authorisation is not requested immediately after passing the examinations, the following given in shall be considered.

Practical Training

Delivery of Practical Training

Practical training is dispensed by the CSQM and/or an experienced and qualified Auditor and assigned by the CSQM to act as Trainer. The trainee then trains and participates in audits on board and ashore, until they are considered able to perform the audits on their own.

Practical training is automatically recorded in trainee's experience records in Qualif.

A person authorised to carry out ISM and ISPS audits must have completed at least five (5) training audits under supervision and in accordance with the following criteria (See Note):

1. At least one (1) of the audits must be an ISPS verification audit.

2. At least four (4) of the audits must be ISM verification audits.

   • At least one (1) of the audits must be an ISM shipboard audit.

   • At least one (1) of the audits must be an ISM company audit.

3. All training audits must be completed under the supervision of a suitably qualified and experienced Auditor. Levels of participation of the trainee auditor may vary as training progresses and shall be concluded in the trainee demonstrating the ability to plan, conduct and report an audit independently. The number of trainees participating in any training audit shall not exceed two (2).

4. All training audits must be completed within twenty-four (24) months of the end of the last module of theoretical training.

5. When fully scoped ISM and ISPS audits are carried out during the same visit they may be counted as individual ISM and ISPS audits for the purpose of arriving at the total number of audits carried out under supervision.

   The trainee must be registered in both requests for job number (ISM and ISPS) to be counted as qualifying audits.

6. The training audits may be initial, renewal, annual or intermediate audits. Additional audits may be used, but only where they are fully scoped audits covering all elements of the ISM or ISPS Code and all aspects of the management system.

A minimum of five (5) days of practical training shall be performed (if no exemptions granted by MO). Practical training shall not start before completion of the theoretical training.

In case that practical training has not been completed within twenty-four (24) months, the audits completed out of the twenty-four (24) months window are to be repeated.

Note: Practical training requirements for ISM auditor qualification are in line with IMO Resolution A.1118 (30) - Revised Guidelines on the Implementation of the International Safety Management (ISM) Code by Administrations (adopted on 6th December 2017).

Untitled

The training audits described in paragraph Delivery of Practical Training constitute the minimum requirement and, if required by CSQM or MO, more training audits shall be performed to demonstrate that the competence required by paragraph Selection Criteria has been achieved. The final number of training audits should be sufficient not only to demonstrate competence, but also to ensure that the prospective auditor has had sufficient practice to provide the confidence necessary to work alone. Competence, sufficient practice and necessary confidence of the prospective auditor shall be confirmed by the trainer supervising the final training audit be- fore authorisation is granted to conduct audits independently. Final training audit before authorisation shall be used for granting the authorisation for one trainee only, regardless of whether a second trainee is also attending the same training audit.

Untitled

The report of the first training audit shall be prepared by the supervising Auditor. The reports of the next training audits may be prepared, as practical as possible, by the trainee and reviewed by the supervising Auditor (considered as "writer" in the ASMS System).

Untitled

For calculating the total number of training days, the duration of each shipboard and office ISM audit and each ISPS audit may include preparation and reporting time but not travel time.

Untitled

Every effort should be made to give trainee Auditors the opportunity to participate in audits under the supervision of more than one supervisor to provide exposure to different auditing styles and approaches.

Untitled

In addition to the training audits described above, trainees must have completed one shipboard security plan (SSP) approval under supervision. This may be carried out as part of the theoretical classroom training; in this case it shall be registered in Qualif as training session. Amended SSP’s may be used if the complete plan was sent for re-approval.

Untitled

If the Auditor's authorisation will be restricted to ISM audits only, it is not necessary for the trainee to undergo the theoretical and practical training relevant to the ISPS Code and the related audit and certification activities. The total number of training days may be reduced accordingly.

Internal Training

Following the successful completion of the required theoretical training (paragraph Theoretical Training) an internal training shall be delivered by the CSQM or someone nominated by them with minimum duration of two (2) days.

Internal training sessions must be registered in Qualif by the trainer who should deliver correspondent Attestations.

This training must consider, as a minimum:

• Basic training module according with "ISM Basic - Refreshing Training for NS Surveyors or Qualified Auditors" (material provided by FM_SAT) to be used. NS surveyors are exempted from this module as they have already participated in such training.

• ASMS, including job creation and reporting process in details for each audit type.

• Use of Company database.

• Use of Class & Statutory News Application.

• Issuance of NPSS, including all cases of rejections.

• Use of Qualif.

• Use of ASMS Certificates, including selection of the certificate to be issued (Flag Authorisation, EU types, different languages for some countries, TCMS/TOSCA specifics, etc.).

• Use of Neptune.

• Use of the Move platform (ship and company status, how the companies shall deal with the corrective actions following the NCR's raised, etc.).

• Use of Equasis, Flags’ websites and the related survey procedure, etc.

• FM KPI’s related to ISM/ISPS activities.

The time spent in preparation of the supervised training audit reports, may be considered as part of the internal training.

Training (General)

Except in those cases, agreed by MO, in which theoretical and/or practical training are reduced based on the trainee's previous qualifications and experience, or when the trainee's authorisation is to be restricted to ISM only (See paragraph ISM Auditors), the total number of training days must not be less than twenty (20).

Authorisation

MMSA

A trainee who has successfully passed the written examinations required by paragraph Examination, completed the internal and the practical training described in paragraphs Internal Training and Practical Training after having the full process of qualification as a MMSA validated by MO, should have Certificate of Competence created through Qualif, stating that the training has been carried out in accordance with this procedure (this procedure) and the concerned IACS Procedural Requirement PR 10.

ISM Auditors

A trainee who has successfully passed the written examinations required by paragraph Examination, related to ISM Auditor modules, completed the practical and internal training described in paragraphs Practical Training and Internal Training related to ISM Auditor only and after having the full process of qualification as ISM Auditor validated by MO, should have Certificate of Competence created through Qualif, stating that the training has been carried out in accordance with this procedure (this procedure) and the concerned IACS Procedural Requirement PR 10, related to ISM Auditors only. When the trainee's authorisation is required for ISM Auditors only, the total number of training days must not be less than fifteen (15).

ISPS Auditors

All ISPS Auditors must be authorised as ISM Auditors.A trainee who has successfully passed the written examinations required by paragraph Examination, related to ISPS Auditor module, completed the practical training described in paragraph Practical Training related to ISPS Auditor only and after having the full process of qualification as ISPS Auditor validated by MO, should have Certificate of Competence created through Qualif, stating that the training has been carried out in accordance with this procedure (this procedure) and the concerned IACS Procedural Requirement PR 10, related to ISPS Auditors.The total number of training days must not be less than five (5).ISPS Auditors authorisation may be requested at any time after the ISM authorisation has been granted by the MO.

ISPS Auditor Security Checks and Identification

ISPS Auditors authorisation may be requested at any time after the ISM authorisation has been granted by the MO.

Before participating in any SSP approval or ISPS Code audits, a trainee must have undergone a background security check in accordance with the related survey procedure, paragraph 13.3.

Every Auditor who participates in SSP approvals or ISPS Code audits shall be issued with a durable and tamper-proof identity card indicating the authorisation as an ISPS Auditor (detailed instructions are found in the general administrative instructions, paragraph 19.4).

Security Clearance of Personnel Involved in Security Activities

General

Within the scope of the delegations received from Flag Administrations or when involved in security-related activities, the Society may receive information of confidential nature. The Society bears the overall responsibility for safeguarding the confidentiality of such information.

In view of this obligation imposed upon the Society, any personnel involved in security matters or who may have access to information of confidential nature, is subject to the following security clearance conditions:

• Be an exclusive employee of Recognised Organisation (RO),

• Hold a valid passport or national ID document (copy to be kept in the local file),

• Be subject to the same confidentiality obligations as imposed upon the Society,

• Sign the MMSA Security Statement (see Attached Files Attached Files),

• Receive a favourable Line Manager Statement (see Attached Files Attached Files),

• Undergo a security clearance at the initial authorisation,

• Have up to date Code of Ethics training.

The MMSA Security Statement, Line Manager Statement and evidence of Code of Ethics training shall be attached to the Qualif CV of the MMSA.

Any potential conflict of interest with the security arrangements of the Company and/or ship to be audited shall be considered when appointing a MMSA on a particular job.

Every Auditor who participates in SSP approvals or ISPS Code audits shall be issued with a durable and tamper-proof identity card indicating the authorisation as an ISPS Auditor (detailed instructions are found in the general administrative instructions, paragraph 18.4).

Revalidation of Security Clearance

The MMSA shall undergo a revalidation of their security clearance during their periodical monitoring for MMSA activities.

During the monitoring, the CSQM shall verify that the MMSA has up to date Code of Ethics training and shall ensure that a new MMSA Security Statement and Line Manager Statement are completed and attached to the Qualif CV of the MMSA.

Request for Initial Authorisation

ISM/ISPS Form P "Planning and Follow-Up" (See paragraph Attached Files Attached Files) with evidence showing that the trainee meets criteria for the desired authorisation, reviewed by the CSQM shall be attached to the CV section in Qualif. A copy of Form P shall be kept in the Audit Unit.When the candidate is requiring the initial authorisation as MMSA, the Security Statement, the Line Manager's Statement (as defined in the related survey procedure, paragraph 13.3) and a copy of Auditor's identification document including a current photo shall be attached to the CV section in Qualif.The CSQM shall ensure that all information inputted is correct in relation to the certification required. MO is responsible for final validation of each qualification process.Authorisation ceases to be valid when the Auditor leaves the full-time employment of the Society.

Maintenance of Auditors’ Certification, Continuous Training and Learning

Main Principle

The conditions that shall be satisfied to maintain the validity of the Auditor’s certificate are:

• Continuous training for updating of Auditor's knowledge on rules and regulations through:

  • Participation in the roll-out of the DO_FM Seminars

  • Complementary training sessions and case studies

• On-board monitoring carried out in accordance with the periodicity defined in the related management procedure.

• At least two (2) audits (ISM or ISPS, ship, or office, addressing all elements of the corresponding code (Initial, Annual and Renewal DOC audits, Initial, Intermediate and Renewal SMC or ISSC audits) and all aspects of the shipboard safety or security management).

Note: Maritime Labour Inspections addressing all aspects of the MLC, 2006 (Initial, Intermediate and Renewal) can be substituted for the audits required to be performed for maintenance of this authorisation.

Roll-out of DO_FM Seminars

DO_FM holds periodical seminars in to keep the CSQM’s up to date with any changes in rules, regulations, procedures, and instructions that may affect the Auditors daily work. In addition, the seminar may include technical subjects aimed at improving the Auditors knowledge on audit techniques.

The contents of the DO_FM seminars are to be rolled-out to all Auditors within a period specified by DO_FM. To this effect, the CSQM’s who have attended the seminar shall organise the roll-out training session(s) to all Auditors under their responsibility.

The roll-out may be performed through eLearning modules provided by DO_FM or through local training sessions organised by the CSQM, or through a blended system including eLearning and face-to-face sessions.

The roll-out of the seminars is recorded in Qualif.

The Auditors' certificates may be suspended if they do not attend a roll-out session within the specified period. The follow-up of roll-out sessions is done by the MO.

Complementary Training Sessions

CSQM’s may organise additional complementary training sessions for their Auditors, to inform them of changes in rules, regulations, and instructions, that have occurred since the last session and discuss on their interpretation and implementation.

Complementary training sessions may also be arranged as part of the CSQM quality process for informing of trends identified during monitoring, report validation or QMC feedback.

Additionally, DO_FM may prepare ad hoc training material and ask CSQM’s to organise dedicated training sessions.

Such complementary training sessions are aimed at improving Auditors knowledge on specific subjects and are not mandatory under the Auditors certification scheme. Where these training sessions are held, they should be recorded in Qualif.

Periodical Monitoring

Periodical monitoring audits take place with a periodicity in accordance with the related management procedure, as described in the related procedure.

The "Check list for ISM/ISPS auditor on-board monitoring", in the related procedure, is filled out during the Auditor's monitoring and attached into Qualif.

Onboard

Anomalies bound to the Auditor's duties, which are raised by the CSQM, whether during monitoring activities or in other conditions, shall be followed up in the framework of the Auditor’s certification.

Suspension of Auditor’s Certificate

The Auditor's certificate is automatically suspended if the onboard monitoring is not carried out within the periodicity specified in the related management procedure. Consequently, the Auditor cannot perform any audit except if monitored onboard during the survey.

The Auditor's certificate is automatically reinstated upon completion of the onboard monitoring and the validation of onboard monitoring report.

The Auditor's certificate may be manually suspended by the MO on a case-by-case basis. The reasons for suspension shall be recorded. Certificates subject to a manual suspension by the MO can only be reinstated by the MO.

Maintenance of Authorisation

Auditor monitoring as defined in the related procedure and training as per paragraph Roll-out of DO_FM Seminars of this this procedure are mandatory for the maintenance of Auditor authorisation. The monitoring must be performed on one (1) ISM, ISPS Audit or MLC Inspection every other calendar year. Maritime Labour Inspections addressing all aspects of the MLC, 2006 (Initial, Intermediate and Renewal) can be substituted for the maintenance of this authorisation.

Revalidation

In case of suspension of the authorisation (paragraph Suspension of Auditor’s Certificate not complied with), the Auditor shall be required to undergo revalidation training of one (1) ISM audit and one (1) ISPS audit under the supervision which is equivalent to an onboard monitoring by the CSQM (to be registered in ASMS as "Job Monitored" in the "Request Review" of the created job). For Auditors who are authorised for ISM only, the supervised ISPS audit should not be included.

Re-authorisation

A qualified Auditor who has not performed any audits ISM/ISPS in any five (5) year period shall be required to undergo re-authorisation training which includes one (1) day refresher course, two (2) ISM audits and one (1) ISPS audit under the supervision which is equivalent to an onboard monitoring by the CSQM to be re-authorised. For Auditors who are authorised for ISM only, the supervised ISPS audit should not be included. The one (1) day refresher course should include familiarisation with the latest version of the audit and certification procedures, changes in regulatory requirements, new or updated reporting systems, the most recent guidance on the interpretation and application of the Codes, etc.

Records

Records shall be created and retained in FM for each Auditor indicating:

1. Qualifications and experience gained prior to training as a Recognised Organisation (RO) Auditor

2. Theoretical training received

3. Examination results

4. Practical training received

5. Authorisations granted

6. Update training received

7. Re-authorisation in the event of lapsed authorisations

how to select, train, qualify and authorise, csqm and delegate csqm

General Principles for CSQM

Objective

The objective is to ensure that audit and management systems activities are monitored by an Auditor having the required expertise and seniority, and that each Auditor in the Society may have access to the guidance of a more senior Auditor to assist and advise them in their duties, as necessary.

CSQM Selection Criteria

CSQM’s are exclusive staff to the Society.

CSQM’s are designated by the Country/Regional and subject to FM Director Agreement. This Agreement is given by the FM Director through a nomination letter.

CSQM Qualifications

Required qualifications for CSQM’s are as follows:

• Qualified as a Recognised Organisation (RO) Auditor (MMSA)

  and

• Qualified as a Recognised Organisation (RO) MLC Inspector

• CSQM’s shall maintain the validity of the MMSA qualification and be subject to periodical monitoring as per Requirements for Commencement of Training.

CSQM Training and Induction

Required training for CSQM’s are as follows:

• General CSQM training by MO/FM_SAT covering:

  • Management of audit and inspection activities,

  • Conducting monitoring of Auditors,

  • Delivering practical training onboard vessels by process of mentoring and arranging attendance of theoretical training including local seminars, and facilitating the use of eLearning for the ongoing development of their Auditors,

  • Sensitive matters such as: Issuing major nonconformities, TCMS, ship sales, relations with Flag Administrations, PSC during detentions, etc.

In addition to the above training, the Marine Manager shall propose an induction plan for the proposed CSQM, to be submitted to MO/FM_SAT for review and approval, which shall include:

• A defined hand-over or training period,

• Local induction conducted and recorded by the Operating Unit Management, to include local working practices and procedures, and any other areas considered necessary,

• Placement in another selected operational unit or department, such as another SC, MOC, MCC, LPO, to observe how other units operate and function.

The above training and induction can be a combination of face-to-face and self-study, the format of this induction shall be decided by MO/FM_SAT and based on experience, known performance, knowledge, and the performance and profile of the Operational Unit.

Prior to commencing training and induction, the CSQM shall be provided with a copy of the Induction and Declaration. This should be used to ensure that all required areas have been covered and be used to take notes related to the training received and the quality of this training.

On completion of the above training and induction, the CSQM will be subject to an assessment interview conducted by MO/FM_SAT who will decide if there is a need for any further training if any gaps are identified. Once the CSQM and MO/FM_SAT agree, both parties shall sign the Induction and Declaration, and the induction recorded in Qualif, with the Induction and Declaration attached.

Following a successful assessment interview MO/FM_SAT will inform the FM Director who will then issue the nomination letter.

See attached CSQM Assessment and Declaration.

Delegate CSQM (DCSQM)

When required by the organisation of the country or region, Delegate CSQM may be appointed.

Delegations are granted by the country or region, in agreement with respective MO. Delegate CSQM’s are not subject to nomination letter by DO_FM.

Delegate CSQM’s should only function as a back-up to cover for CSQM absence and validate reports and provide technical support to Auditors during such periods.

In exceptional circumstances, where the number of audits conducted and workload is too large for a single CSQM, enhanced delegation may be granted to a Delegate CSQM. This will be subject to MO agreement, and the extent of delegation shall be documented in a local procedure.

Delegate CSQM’s shall follow the same training and induction process as the CSQM as defined in CSQM Training and Induction.

CSQM Continuous Training

CSQM’s continuous training is ensured by participation to DO_FM seminars. If the CSQM cannot attend a seminar, they shall arrange either for a substitute to attend or later participate in a rolling-out session organised by another CSQM. The CSQM remains responsible for ensuring that their MMSA’s are given the rolling-out training of the seminars.

CSQM Scope of Authorisation and Maintenance of Qualifications

Monitoring of Auditors

Monitoring audits take place with periodicity in accordance with the related management procedure, as described in the related procedure.

The "Check list for ISM/ISPS on-board monitoring", and "Check list for MLC on-board monitoring", in the related procedure, is filled out during the Auditor's onboard monitoring and attached into Qualif.

Monitoring Anomalies

Anomalies bound to the Auditor's duties, which are raised by the CSQM, whether during monitoring activities or in other conditions, shall be followed up in the framework of the Auditor’s certification.

Surveys and Maintenance of Qualifications

CSQM’s shall retain a valid MMSA and MLC Inspector qualification to ensure that they are able to act as Lead Auditor for the purposes of training new Auditors and for participating in sensitive audits and inspections requiring CSQM attendance.

The lack of a valid MMSA and MLC Inspector qualification may result in the CSQM qualification being revoked.

When acting as an Auditor/Inspector, the CSQM is also subject to activity monitoring, in accordance with the related management procedure. When being monitored on audits/inspections, they shall be monitored by the Delegate CSQM or SYS Operations Manager (if holding a valid MMSA and MLC Inspector qualification).

Attached files and abbreviations

Attached Files

• ISM/ISPS Form P "Planning and Follow-Up".

• ISM/ISPS/MLC Form P* "Maintenance, revalidation and re-authorization".

• Theoretical Training Summary Table.

• ISM Basic Training Course Timetable.

• ISM Module IV - Shipboard Operations Training Course Timetable.

• ISPS Training Course Timetable.

• CSQM Assessment and Declaration.

• Line Manager Statement.

• MMSA Security Statement.

Abbreviations

MMSA - Marine Management Systems Auditors

IMS - Integrated Management System

CSQM - Crew and Systems Quality Manager

DCSQM - Delegate Crew and Systems Quality Manager

FM - Fleet Management

FM_SAT - Fleet Management Systems Audits and Training Department

MO - Operational Management Department

Qualif - Recognised Organisation (RO) Marine & Offshore Division application for the follow-up of Surveyor's certification, training and monitoring

ASMS - Advanced Survey Management System

NPSS - Neptune Provisional Survey Statement

Appendix — Detailed Learning Objectives

Detailed Learning Objectives

Those responsible for verifying compliance with the ISM and ISPS Codes must be able to demonstrate knowledge and understanding of:

1. The principles and practice of management systems auditing.

   The terminology used in management systems and their verification.

   General management systems principles and concepts.

   The design, implementation and administration of a documented management system.

   Continual improvement in a management system.

   Audit objectives.

   The roles, responsibilities and activities of the Auditor.

   The preparation and planning of an audit.

   The execution of the audit.

   Audit reporting and follow-up.

   The management of an audit team.

   The content of the procedures and work instructions that govern the ISM and ISPS audit and certification process.

2. The requirements of the ISM and ISPS Codes and their interpretation and application.

   The background to, and history of, the development of the ISM and ISPS Codes.

   The objectives of the ISM and ISPS Codes.

   The application of the ISM and ISPS Codes.

   The risk management and human element considerations that underpin the codes.

   The ISM Code as a management systems model.

   Certification requirements (certificate types and their validity, interim arrangements, withdrawal, special scenarios, etc).

   The specific requirements of the ISM and ISPS Codes and their interpretation.

   The companies’ responsibilities in relation to complying with the requirements of the ISM and ISPS Codes.

3. Mandatory rules and regulations and applicable codes, guidelines and standards recommended by the IMO, administrations, classification societies and maritime industry organisations.

   The roles and functions of administrations, port state authorities, the IMO, the ILO, the classification societies, IACS and other industry bodies.

   Purpose and scope and general content of SOLAS 74, MARPOL 73/78, STCW 78 and other conventions and the associated guidelines, certificates and records.

   Applicable codes, guidelines and standards issued by the classification societies and other industry organisations.

4. Shipboard operations and shipboard security including emergency preparedness and response.

   Roles, responsibilities and interrelationships of the participants in maritime operations (owner, manager, agent, manning agent, etc).

   Shore-based and shipboard organisation and management structure of the Company.

   Roles, responsibilities and interrelationships of shore-based and shipboard staff.

   Shipboard operations (navigation, cargo and ballasting operations, engine room operations, routine and breakdown maintenance, passenger management, security measures, management of sewage and garbage), with reference to specific ship types.

   Security threats and patterns, weapons, dangerous substances and devices, security equipment and systems and their operational limitations, characteristics and behaviour of persons likely to pose a security threat.

   Operational and security risk assessment techniques.

   Identification of potential emergency situations and preparations for emergency responses with reference to specific ship types.