ISM - ISPS Lead Auditor

This course objective is to develop the knowledge and skills required to conduct a full audit of an organization's Management System in the capacity of Lead Auditor dedicated for the ISM and ISPS Codes. It will also give the confidence to effectively audit a Management system in accordance with internationally recognized best practice techniques.


Become a certified ISM-ISPS Lead auditor and demonstrate your commitment towards continual improvement through our course.


Aims & Objectives
  • Attract and retain customers by meeting their current and future needs
  • Identify the aims and benefits of a combined audit for ISM-ISPS audit
  • Interpret requirements for audit application
  • Plan, conduct and follow-up auditing activities that add real value
  • Access the latest auditor techniques and identify appropriate use
  • Build stakeholder confidence by managing processes in line with the latest requirements


Learning Outcomes

A trainee successfully completing this course will be able to:

  • Plan, conduct, report and follow up an ISM - ISPS as Lead Auditor
  • Identify the purpose and benefits of a management system
  • Explain the role and the responsibilities of the Auditor
  • Expand the audit principles in relation to ISM - ISPS and the verification for certification.
Who should attend?
  • People involved in the internal audit process 
  • People who wish to become competent ISM - ISPS Lead Auditors
  • Management Representatives
  • Quality managers & Directors
  • Consultants
  • Designated Persons Ashore (DPAs or CSOs) and assistants
Relative conventions:
  • ISO 19011:2011 - Guidelines for auditing management systems
  • ISM - ISPS code

Prerequisite skills & knowledge: Basic Knowledge of ISO standards, ISM - ISPS requirements


Available in-house/distant learning? Yes

Created by: LiberoAssurance Continuous Professional Development Training Centre Level 1 Accredited by Univab


Part A: ISM Knowledge before audits
Company Verification, Review and Evaluation
  • ISM Code Requirements
  • Review of Safety Management System (SMS)
  • Internal Audits Intervals Key Issues
  • Internal Audit? at which extent?
  • Internal Audit, why?
  • Internal audit before an External audit
  • What about DPA and Audits
  • Company & Ship’s SMS Comparison
  • Persons Responsible for Audits
Certification and Verification
  • Certification & Periodical Verification (para 13 ISM Code)
  • Comments on para 13 ISM Code
  • Interim Certification requirements (para 14 ISM Code)
  • Comments on para 14 ISM Code
Verification Requirements
  • ISM Code Requirements
  • Verification by Administrations or Recognized Organizations (ROs)
  • Effective enforcement by Administrations with Verification
  • What Administrations should consider during verification
  • Objective Evidences from facts and Records
  • Tools for Verification/Certification should be
  • Certification and verification activities
  • Interim verification
  • Initial Verification
  • Annual verification of Document of Compliance
  • Intermediate verification of Safety Management Certificates
  • Renewal verification
  • Additional Verification
Safety management audits
  • Safety management audits overview
  • Application for audit
  • Preliminary review (Document review)
  • Preparing the audit
  • Executing the audit
  • Preparing the audit report
  • Corrective action follow-up
  • Company responsibilities
  • Responsibilities of the Organization (or Flag) performing certification
  • Requirements for the Organization performing   Certification
  • Standards of competence for auditors

Forms of certificates

PART B: ISPS Knowledge before audits
  • The definitions used in SOLAS XI-2 & ISPS Code Part A & B
  • Kinds of Verification
Duration and Validity of Certificates
Procedural Requirements for ISPS Code Audit
  • Introduction
  • Scope
  • Main Definitions Elaboration
  • ISPS Criteria for Verification
  • Company Audit System and Obligations
  • Company’s Audit/Inspections and Ship Security Plan/ Assessment
  • Ship Audit/Inspection
  • Non Compliances, Corrective Actions and Certification
  • Opening and Closing Meetings
Tips for ISPS Internal Audit
  • Key focus areas of security internal audits
  • Control and compliance measures
  • On-scene Security Survey
  • Declaration of Security (DOS)
Case Studies
  • Case Studies – ROs guidance
  • Case Studies – additional guidance
    • Ship Security Assessment deficiencies
    • Ship Security Plan deficiencies
Part D: Marine Management Systems Lead Auditor
Audit Overview
  • What is an Audit?
  • Why Audit?
  • Audit types
  • Difference between Internal and Lead Auditor
Audit steps
  • Performing audit activities
  • Audit Plan
  • Developing Checklists
  • Opening Meeting
  • Conducting the Audit
  • Recording Results
  • Non-Conformities & Non-Compliances
  • Closing Meeting (s)
  • Audit Report
  • Audit Follow-up 
Audit programme
  • Establishing the Audit programme objectives
  • Identifying and evaluating audit programme risks and opportunities
  • Process flow for the management of an audit programme
  • Process flow for Collecting & Verifying Information
  • Monitoring audit programme
  • Improving audit programme
Accreditation & Certification
  • Accreditation & Certification Bodies
  • Certification Process
Auditor's Performance
  • Auditor’s Quality
  • The Auditors Code of Conduct
  • Auditor Characteristics
  • Auditor's personal behaviour
  • Auditee’s conduct
  • Selecting the audit team members
  • Skills of audit team leaders
  • How to evaluate an Auditor>/span>
  • Audit Process
  • Maintaining and improving auditor competence
  • Auditors – IACS/Class  Guidance
  • Auditor’s Experience – IACS/Class  Guidance
Psychological factors during an audit
  • Attitudes and relationships
  • Obstacles & communication
  • Space & Time issues
  • Body language
  • Cultural factors
  • Principles of Listening & Auditing
  • The Interview 
Audit tips & techniques
  • Tips to trained auditor
  • Question Techniques
  • Competence of the audit programme manager
Exam & Certification
  • Exam on ISM - ISPS Lead Auditor
  • “ISM - ISPS Lead Auditor” Certificate

Teaching Methods
  • Detailed seminar presentations (available for download)
  • Terms and definitions
  • No. of slides: 339


  • Reading lists and Resources: Available in the presentations


Study time allocation
  • Private study hours: 40
  • Trainer contact hours: Availability and competence of instructors upon request
  • Enrollment Duration: 90 days (starting from the date of purchase)
  • CPD Points: 40
  • ECTS/ECVET Points: 1.3


Assessment methods


% contribution to final mark

% Minimum passing grade

Exam on ISM - ISPS \ Lead Auditor





On successful completion of the course assessment, participants will be issued with a ‘Certificate of Success’



   100% Online course
   CPD Accredited eCertificate – Global acceptance
   Downloadable course material
   E-learning Mobile App
   Enrolment: 3 months
   Flexible schedule
   Language: English

300,00 € each

© Copyright LiberoGroup  All rights reserved.