1 Purpose
This Marine Notice outlines the ISM and ISPS Audit services provided by Novaveritas Maritime Division (NVMD), including audit scope, applicable instruments, certification outcomes, and the obligations of companies and vessels during the audit process.
2 ISM Code — International Safety Management
The International Safety Management (ISM) Code (SOLAS Chapter IX) requires shipping companies to develop, implement, and maintain a Safety Management System (SMS) that ensures vessel safety and prevents pollution. NVMD conducts the following ISM audits:
- Initial Audit — For first-time issuance of the Document of Compliance (DOC) and Safety Management Certificate (SMC)
- Annual Verification — DOC and SMC endorsement (within 3 months of anniversary)
- Intermediate Audit — Conducted between the 2nd and 3rd anniversary of the SMC
- Renewal Audit — Every 5 years for renewal of DOC and SMC
- Additional Audit — When significant changes are made to the SMS or fleet
3 ISM Certificates Issued
4 ISPS Code — International Ship and Port Facility Security
The International Ship and Port Facility Security Code (ISPS Code, SOLAS Chapter XI-2) establishes a security framework for ships and port facilities. NVMD conducts ISPS audits and issues the International Ship Security Certificate (ISSC).
- Initial ISPS Audit — Verification that the Ship Security Plan (SSP) meets ISPS Code Part A requirements
- Renewal Audit — Every 5 years
- Intermediate Audit — Between the 2nd and 3rd year of the ISSC
5 Audit Process
Each audit follows a structured process: Document Review → Opening Meeting → On-board / Office Verification → Non-Conformity Discussion → Closing Meeting → Audit Report → Certificate Action. Companies must provide access to all SMS/SSP documentation and personnel.
6 Non-Conformities
Non-conformities are classified as Major (requiring immediate corrective action before certification) or Minor (requiring documented corrective action within an agreed timeframe). Observations are recorded for management attention but do not block certification.