Information
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Document No.
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Audit Title
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Client / Site
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Conducted on
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Prepared by
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Location
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Personnel
Pre-Audit Checks
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Are there any outstanding issues from previous Audits.
Liner Services - Logistics and Forwarding - SCS - Exports
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Check that Auditee has completed system and induction training
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Check that Auditee is aware of management structure and has a job description
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Check that Auditee is aware of workflow requirements on the QMS
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Evidence and site appointment or work instruction from client
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Evidence acknowledgement of work instruction to the client
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Check transaction information is entered correctly into SCS file
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Check that any special terms or conditions have been acknowledged
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Check that any Hazardous cargoes have been identified and recorded in SCS
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Check that any Liner tariffs are current and in use
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Check there are no old versions of tariffs available or marked superseded
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Evidence that correct instructions were given to shipping line or carrier
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Check if any letters of credit were involved in the shipment
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Verify that only approved carriers and hauliers were used in the transaction<br>
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Check that BLading instructions were reflected in instructions to Shipping Line
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Check that documents were released against cash or approved credit terms
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Check and release authority has been signed off by a Manager or Director
Liner, Custom Clearance, Forwarding - Imports
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Check that Auditee has completed system and induction training
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Check that Auditee is aware of management structure and has a job description
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Evidence that instructions from a client have been entered into SCS
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From client documentation confirm that details received from client match<br>Those that are entered in SCS
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Evidence that Duty calculations have been made in accordance with Customs Tariffs
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Verify that latest import tariffs are available and are in use
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Verify that imported goods were not delivered unless duties and taxes were collected
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If cleared goods were delivered without pre-funding confirm release authority<br>Was signed by a manager or Director
Ships Agency - Shiptrak
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Check that Auditee has completed system and induction training
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Check that Auditee is aware of management structure and has a job description
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Check that Auditee is aware of workflow requirements on the QMS
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Evidence that an appointment has been received and acknowledged
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Demonstrate that the department is aware of any contracts that are in place effecting<br>the handling of the transaction.
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Confirm office has a library of locals port tariffs
- Dock Dues
- Conservancy
- Light Dues
- Boatmen
- Mooring Men
- Pilotage
- Tugs
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Confirm that Vessel an Voyage Details have been correctly entered into Shiptrak
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Evidence that a quotation for Port Expenses was sent to client using Shiptrak
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Evidence that pre-funding was requested
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Evidence that any special requirements have been acknowledged I.e.<br>Crew Changes, Stores etc.
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Confirm that vessel was reported using latest ISO / Fal declaration forms.
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Confirm that any crew leaving obtained clearance before leaving vessel.
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Confirm that office has copies of local Dock, Harbours, Immigration, Pilotage<br>waste Regulations available and that they are the latest version. ensure that there<br>are no older versions in use or ensure they are marked superseded.
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Confirm that vessel has sent pre-arrival security information if required for<br>arrivals outside EEC and that appropriate entry was made using eCustoms<br>system.
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Confirm that DA information has been correctly inserted into Shiptrak
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Confirm that Auditee is aware of credit arrangements in place for the job files<br>being audited.
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Verify that funds were received or authorised credit was in lace before vessel<br>was given approval to depart.
OHSAS 18001
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Carry out a compliance check using separate compliance Audit
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Confirm all statutory checks are in place
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Confirm regular monitoring HSMon is being carried out.
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Check that any accidents, incidents or near misses have been reported.
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Verify all staff have completed Human Focus training.
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Verify all drivers have sent in mandates to AA system.
ISO 14001
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Verify all staff have completed Human Focus training
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Check for evidence of waste control documentation
- Waste Carriers Licence
- Waste Transfer Document
- Waste Facility Licence
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Verify Air Conditioning Units are serviced correctly.
- Last Service Record
- FGas Compliance Cert
- Engineers Qualifications
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Audit conclusion
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List Non- Conformities raised
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Recommendations
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Audit Completed
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Date Audit Completed
