Internal Audit BBG

• Document No.

• Audit titel

• Vessel

• Date of Audit

  Date

• Auditor

• Location
  Address

• Attendies

• Time start

  Date

• Is the general setup of the QSE System clear?

  Safe

  At Risk

  N/A

• General System Declarations in Part A
  "The Manual" in Part B
  Part C: how to fulfill the Manual
  Part D as Emergency Response Plans
  Part E as System Forms - matching the procedures numbers

HB-002

• Management Commitment: to develop and improve the QSE System

  Safe

  At Risk

  N/A

• Customer Focus - who is the customer (Shipowner)

  Safe

  At Risk

  N/A

• Main points of the Company's Quality Safety and Environmental Protection Policy known?<br>- to provide for safe practice in ship operation and safe working environment<br>- to establish safeguards against all identified risks<br>- to continuously improve safety management skills of personnel

  Safe

  At Risk

  N/A

• Declaration of Company's Policy on QSE (SD-005) displayed and known

  Safe

  At Risk

  N/A

• Quality Planning

  Safe

  At Risk

  N/A

• Master's Overriding Authority

  Safe

  At Risk

  N/A

• Further content of HB-002

  Safe

  At Risk

  N/A

Procedures

• Circulars and Company Information (DP-C1-04)

  Safe

  At Risk

  N/A

• Control of Records (DP-C1-05)

  Safe

  At Risk

  N/A

• Maintenance Deck (DP-C4-07)

  Safe

  At Risk

  N/A

• Amount of overdue IMECS Tasks (Deck)

• Risk assessments (DP-C2-03)

  Safe

  At Risk

  N/A

• Toolbox meetings (DP-C2-01)

  Safe

  At Risk

  N/A

• Work permits (Hot work/ working aloft and outboard/ Enclosed space) (DP-C2-01/DP-C2-05/DP-C2-04)

  Safe

  At Risk

  N/A

• Life boat/ Rescue boat safety (DP-C2-06)

  Safe

  At Risk

  N/A

• Safe Access/ Gangway (DP-C2-10) including monthly checklist

  Safe

  At Risk

  N/A

• Communication with Company, Reporting (DP-C3-01)

  Safe

  At Risk

  N/A

• Communication with Charterers, Agents and Authorities (DP-C3-02)

  Safe

  At Risk

  N/A

• Cargo Operations (DP-C3-03)

  Safe

  At Risk

  N/A

• Cargo Treatment and Supervision (DP-C3-04)

  Safe

  At Risk

  N/A

• Cargo Documentation (DP-C3-05)

  Safe

  At Risk

  N/A

• Care of Hatch Covers (DP-C3-07)

  Safe

  At Risk

  N/A

• Watch keeping (DP-C4-01)

  Safe

  At Risk

  N/A

• Preparing for Arrival/ Departure (DP-C4-03)

  Safe

  At Risk

  N/A

• Navigation in Restricted Waters (DP-C4-10) and Navigation in Heavy Weather (DP-C4-11)

  Safe

  At Risk

  N/A

• Storage (DP-C5-04)

  Safe

  At Risk

  N/A

• Working Language (DP-C6-01)

  Safe

  At Risk

  N/A

• Complaint Handling (DP-C6-03)

  Safe

  At Risk

  N/A

• Familiarisation (DP-C6-04)

  Safe

  At Risk

  N/A

• Working and Resting Times (DP-C6-05)

  Safe

  At Risk

  N/A

• Change of Command (DP-C6-07)

  Safe

  At Risk

  N/A

• Appraisal of Personnel (DP-C6-08)

  Safe

  At Risk

  N/A

• Drug and Alcohol Abuse (DP-C6-09)

  Safe

  At Risk

  N/A

• Critical Equipment (DP-C8-04)

  Safe

  At Risk

  N/A

• Control of Safety Equipment (DP-C8-05)

  Safe

  At Risk

  N/A

• Environmental Protection (DP-C8-06)

  Safe

  At Risk

  N/A

• Control of Defects (DP-C9-01)

  Safe

  At Risk

  N/A

• Reporting Occurrences (DP-C9-02)

  Safe

  At Risk

  N/A

• Management Review (DP-C9-04) - available/ known?

  Safe

  At Risk

  N/A

• Remarks

Add. Remark

• Description

Security

• Restricted Areas

  Safe

  At Risk

  N/A

• Conflict Safety-Security

  Safe

  At Risk

  N/A

• Security principles:<br>Only authorised persons/ objects may come on board, ship and special areas are continuously monitored, everybody is attentive and aware, violation of security results in consequences)

  Safe

  At Risk

  N/A

• Security Levels:<br>Who sets security level for the ship?<br>What happens if different security level to port facility

  Safe

  At Risk

  N/A

• Master's Ultimate Authority for the ship known?

  Safe

  At Risk

  N/A

• Remarks

Add. Remark

• Description

• Time End

  Date

• Time Start

  Date

Hospital

• Hospital, equipment, cleanliness

  Safe

  At Risk

  N/A

• Medical treatment record keeping

  Safe

  At Risk

  N/A

• Additional Remarks

Remark

• Description

Bridge

• Nautical charts and publications

  Safe

  At Risk

  N/A

• Other publications, Regs4Ships

  Safe

  At Risk

  N/A

• Navigational Equipment

  Safe

  At Risk

  N/A

• Communication Equipment

  Safe

  At Risk

  N/A

• Log Books, including GMDSS Log, Compass Observation, Night Orders

  Safe

  At Risk

  N/A

• Additional Remarks

Remark

• Description

General

• General Setup QSE System

  Safe

  At Risk

  N/A

• Management Commitment (HB-002)

  Safe

  At Risk

  N/A

• Main points of the Company's QSE-Policy known?

  Safe

  At Risk

  N/A

• Master's Overriding Authority

  Safe

  At Risk

  N/A

Knowledge about and adherence to Procedures

• Communication with Company, communication with Charterers etc. (DP-C3-01)

  Safe

  At Risk

  N/A

• Care of hatch covers (DP-C3-07)

  Safe

  At Risk

  N/A

• Bridge, Deck, and Engine Watchkeeping (DP-C4-01)

  Safe

  At Risk

  N/A

• Voyage Planning (DP-C4-02)

  Safe

  At Risk

  N/A

• Preparing for Arrival and for Departure (DP-C4-03)

  Safe

  At Risk

  N/A

• Navigation in restricted waters (DP-C4-10)

  Safe

  At Risk

  N/A

• Navigation in heavy weather (DP-C4-11)

  Safe

  At Risk

  N/A

• Working language (DP-C6-01)

  Safe

  At Risk

  N/A

• Working and resting times (DP-C6-05)

  Safe

  At Risk

  N/A

• Change of command (DP-C6-07)

  Safe

  At Risk

  N/A

• Drug and Alcohol Policy (DP-C6-09)

  Safe

  At Risk

  N/A

• Control of defects (DP-C9-01)

  Safe

  At Risk

  N/A

• Reporting of occurrences (DP-C9-02)

  Safe

  At Risk

  N/A

• Additional Remarks

Remark

• Description

• Time End

  Date

• Time Start

  Date

Deck inspection, upper deck, forecastle, superstructure

• Condition of safety equipment (general) (DP-C8-05)

  Safe

  At Risk

  N/A

• Forecastle store (Storage, DP-C5-04)

  Safe

  At Risk

  N/A

• Mooring arrangements

  Safe

  At Risk

  N/A

• Observation of Safe Working Procedures on Deck (DP-C2-01)

  Safe

  At Risk

  N/A

• Accommodation Ladder(s) with preparation checklist (DP-C2-10/ SF-E2-10)

  Safe

  At Risk

  N/A

• Rescue boat (Equipment/ condition; painter always connected to boat; launching instructions)

  Safe

  At Risk

  N/A

• Knowledge about difference between rescue boat hook and life raft hook (On-Load Release / Automatic off-load release mechanism)

  Safe

  At Risk

  N/A

• Life Rafts (correctly connected, inspection date)

  Safe

  At Risk

  N/A

• Free Fall Life Boat

  Safe

  At Risk

  N/A

• Fire Lockers/ Safety Stores (DP-C5-04; DP-C8-04; DP-C8-05)<br>(Safety Equipment ready for immediate use)

  Safe

  At Risk

  N/A

• Muster Lists

  Safe

  At Risk

  N/A

• Pyrotechnical Ditress Signals

  Safe

  At Risk

  N/A

• SOLAS Training Manuals and Fire Operational Booklet available in eah mess room? (DP-C2-09)

  Safe

  At Risk

  N/A
Remarks

Procedures and Records

• Inspection and Maintenance of Safety Equipment (DP-C8-05)

  Safe

  At Risk

  N/A

• Control of Defects (DP-C9-01)

  Safe

  At Risk

  N/A

• Reporting of Occurrences (DP-C9-02)

  Safe

  At Risk

  N/A

• Safety Familiarisation on board (including knowledge about "Safe moving on port facilities and shipyards, DP-C2-07)

  Safe

  At Risk

  N/A

• Shipboard Drills and Trainings (DP-C6-06)<br>Launching and maneuvering of boats

  Safe

  At Risk

  N/A

• Safety Officer appointed

  Safe

  At Risk

  N/A

• Safety Committee (Appointment and records)

  Safe

  At Risk

  N/A

• Life boat/ rescue boat safety (DP-C2-06)

  Safe

  At Risk

  N/A

• Working and Resting times (DP-C6-05)

  Safe

  At Risk

  N/A

• Bridge, Deck, and Engine Watchkeeping (DPC4-01)

  Safe

  At Risk

  N/A

• Preparing for Arrival and for Departure (DP-C4-03)

  Safe

  At Risk

  N/A

• Navigation in restricted waters/ Heavy weather (DP-C4-10/11)

  Safe

  At Risk

  N/A

• Care of hatch covers (DP-C3-07)

  Safe

  At Risk

  N/A

• Cargo Operations (DP-C3-03)

  Safe

  At Risk

  N/A

• General setup of QSE System understood

  Safe

  At Risk

  N/A
Remarks

• Time End

  Date

Inspection of Engine Room

• Time start

  Date

• Prior to interviewing the Chief Engineer the Engine Room and Workshops are inspected.

• Self closing Class A Fire Door to engine room

  Safe

  At Risk

  N/A

• No oily rags/ major amount of oil in machineries' foundations/ bilges

  Safe

  At Risk

  N/A

• No major leakages at machinery

  Safe

  At Risk

  N/A

• Self closing devices at sounding pipes in working condition and not clogged open

  Safe

  At Risk

  N/A

• Safety equipment checked at regular intervals

  Safe

  At Risk

  N/A

• Floor plates fixed, surfaces safe to walk and work

  Safe

  At Risk

  N/A

• Emergency Exits self closing, clear and emergency lights working

  Safe

  At Risk

  N/A

• Engine room workshop, including tools, and stores "tidy" and safe; safety stickers displayed (use goggles/ do not use gloves)

  Safe

  At Risk

  N/A

• All engine personnel using hearing protection in noisy environment

  Safe

  At Risk

  N/A

• Additional Remarks

Remark

• Description

2. Engineer/ 3. Engineer

• Toolbox records, sufficient details of safety precautions (DP-C2-01)

  Safe

  At Risk

  N/A

• Garbage record book

  Safe

  At Risk

  N/A

• Operation/ testing of OWS

  Safe

  At Risk

  N/A

• Preparing for Arrival/ Departure (DP-C4-03)

  Safe

  At Risk

  N/A

• Rest hours of engine personnel; including duty engineer's rounds (DP-C6-05)

  Safe

  At Risk

  N/A

• Risk Assessments (DP-C2-03)

  Safe

  At Risk

  N/A

• Procedures for hot work, working aloft, enclosed space (DP-C2-01/05/04)

  Safe

  At Risk

  N/A

• Watchkeeping (DP-C4-01)

  Safe

  At Risk

  N/A

• Critical Equipment (DP-C8-04)

  Safe

  At Risk

  N/A

• IMECS operation, delaying a job, reporting occurrences on the component

  Safe

  At Risk

  N/A

• Amount of overdues tasks (Engineers)

• Additional Remarks

Remark

• Description

Chief Engineer

• Internal/ External Oil Transfer (DP-C4-04/05)

  Safe

  At Risk

  N/A

• Asbestos Management (DP-C4-13), including Asbestos Management Folder

  Safe

  At Risk

  N/A

• Rest hours during Oil Transfer Operations!<br>Quality Planning!!

  Safe

  At Risk

  N/A

• Internal Requisitioning (DP-C5-01)

  Safe

  At Risk

  N/A

• Receiving Inspection (DP-C5-03)

  Safe

  At Risk

  N/A

• Storage (DP-C5-04)

  Safe

  At Risk

  N/A

• Change of Command (DP-C6-07)

  Safe

  At Risk

  N/A

• Appraisal of Personnel (DP-C6-08)

  Safe

  At Risk

  N/A

• Internal / External technical Surveys (DP-C8-01/02)

  Safe

  At Risk

  N/A

• Monitoring operation, recording operational data (DP-C8-03)

  Safe

  At Risk

  N/A

• Critical Equipment (DP-C8-04)

  Safe

  At Risk

  N/A

• Control of Measuring Devices (DP-C8-08)

  Safe

  At Risk

  N/A

• Control of Defects (DP-C9-01)

  Safe

  At Risk

  N/A

• Reporting Occurrences (DP-C9-02)

  Safe

  At Risk

  N/A

• Additional Remarks

Remark

• Description

• Time end.

  Date

• Time Start

  Date

• Safety at Work - who is repsonsible in first instance?

  Safe

  At Risk

  N/A

• First of all, each employee is himself responsible for his own safety at work.
  Everybody should look after his colleagues.

• Who is who?<br>-Safety Officer<br>-Ship Security Officer<br>-Designated Management Representative<br>-Designated Person Ashore (How to contact the DPA?)<br>-Company Security Officer

  Safe

  At Risk

  N/A

• Where to find QSE?

  Safe

  At Risk

  N/A

• Availability Function Descriptions and Familiarisation

  Safe

  At Risk

  N/A

• Complaint procedure

  Safe

  At Risk

  N/A

• Who is responsible for providing personal protective equipment?<br>Company; Head of Department to ensure PPE is available; everybody to care for PPE.

  Safe

  At Risk

  N/A

• Participation in Toolbox Meetings<br>Knowledge aout Work Permits

  Safe

  At Risk

  N/A

• Additional Remarks

Remark

• Description

Ship Security

• Knowledge about Security Levels<br>1: Normal Operation<br>2: Heightened Risk of a Security Incident<br>3: Imminent danger/ direct threat

  Safe

  At Risk

  N/A

• Measures at different Security Levels:<br>1: Normal measures in place at all times<br>2: Increased security measures<br>3: Measures in direct response to the threat only.

  Safe

  At Risk

  N/A

• Gangway watchmen:<br>Access control (physical search of persons)

  Safe

  At Risk

  N/A

• Access control: locking of Restricted Areas

  Safe

  At Risk

  N/A

• Conflict Safety - Security

  Safe

  At Risk

  N/A

• Additional Remarks

Remark

• Description

• Time End

  Date

• Time Start

  Date

• Cleanliness of Galley and Pantires

  Safe

  At Risk

  N/A

• Knowledge about food grinder<br>(where does the grinded foodwaste go to)

  Safe

  At Risk

  N/A

• Garbage Management in Galley

  Safe

  At Risk

  N/A

• Staff hygiene

  Safe

  At Risk

  N/A

• Food Hygiene (DP-C2-08)<br>including warm keeping of meals, swedish table prohibition<br>"Best Before"-Dates/ "Use By"-Dates

  Safe

  At Risk

  N/A

• Food receipt/ -storage<br>(Food Hygiene (DP-C2-08))

  Safe

  At Risk

  N/A

• Food processing

  Safe

  At Risk

  N/A

• Condition of food stores, including cooling temperatures and locked-in-alarm

  Safe

  At Risk

  N/A

• Pest control

  Safe

  At Risk

  N/A

• First actions upon detecting a fire in the galley

  Safe

  At Risk

  N/A

• Additional Remarks

Remark

• Description

• Time End

  Date

• Start time

  Date

QSE System

• Electronic QSE System is up-to-date and in working condition

  Safe

  At Risk

  N/A

• General Setup is clear?<br>Part A/B/C/D/E<br>System Forms Numbering in line with DP's

  Safe

  At Risk

  N/A

• Management Commitment<br>(Develop and improve QSE System)

  Safe

  At Risk

  N/A

• Term "Customer Focus"

  Safe

  At Risk

  N/A

• Main points of the company's QSE policy<br>-provide for safe working environment<br>-establish safeguards against all identified risks<br>-continuously imrpove safety management skills

  Safe

  At Risk

  N/A

• Quality Planning

  Safe

  At Risk

  N/A

• Master's Overriding Authority<br>"In the case of serious danger for ship safety and the maritime environment overriding authority is vested in the master and he is encouraged to disregard all rules and regulations whcih in his discretion are unsuitable to avert such danger"

  Safe

  At Risk

  N/A

Procedures

• Hardcopy QSE Manuals are up-to-date (DP-C1-02)

  Safe

  At Risk

  N/A

• Control of other documents (DP-C1-03)<br>(i.e.Displays dated and signed?)

  Safe

  At Risk

  N/A

• Handling of Circulars (DP-C1-04)

  Safe

  At Risk

  N/A

• Control of Records (DP-C1-05)

  Safe

  At Risk

  N/A

• Safety at Work<br>-general (DP-C2-01)<br>-safety committee (DP-C2-02)<br>-Work Permits (DP-C2-01/04/05)

  Safe

  At Risk

  N/A

• Life- and Rescue Boat Safety (DP-C2-06)

  Safe

  At Risk

  N/A

• Food hygiene (DP-C2-08)<br>Log book entries catering department?

  Safe

  At Risk

  N/A

• Communication with company/ charterers/ agents (DP-C3-01/02)

  Safe

  At Risk

  N/A

• Procedures about cargo operations/ cargo care/ care of hatch covers<br>(DP-C3-03 to 07)

  Safe

  At Risk

  N/A

• Watch Keeping (DP-C4-01)

  Safe

  At Risk

  N/A

• Voyage Planning (DP-C4-02)

  Safe

  At Risk

  N/A

• Preparing for Arrival and for Departure (DP-C4-03)

  Safe

  At Risk

  N/A

• Anchoring (DP-C4-06)

  Safe

  At Risk

  N/A

• EDP Equipment (DP-C4-09)

  Safe

  At Risk

  N/A

• Navigation in restricted waters/ heavy weather (DP-C4-10/11)

  Safe

  At Risk

  N/A

• Internal Requisitioning (DP-C5-01)

  Safe

  At Risk

  N/A

• Receiving inspection (DP-C5-03)

  Safe

  At Risk

  N/A

• Storage (DP-C5-04)

  Safe

  At Risk

  N/A

• Working language (DP-C6-01)

  Safe

  At Risk

  N/A

• Complaint handling (DP-C6-03)

  Safe

  At Risk

  N/A

• Familiarisation (DP-C6-04)

  Safe

  At Risk

  N/A

• Working and Resting Times (DP-C6-05)

  Safe

  At Risk

  N/A

• Change of Command (DP-C6-07)

  Safe

  At Risk

  N/A

• Appraisal of personnel (DP-C6-08)

  Safe

  At Risk

  N/A

• Drug and Alcohol abuse (DP-C6-09)

  Safe

  At Risk

  N/A

• Monitoring Operation, recording operational data (DP-C8-03)

  Safe

  At Risk

  N/A

• Environmental protection (DP-C8-06)

  Safe

  At Risk

  N/A

• Control of defects (DP-C9-01)

  Safe

  At Risk

  N/A

• Reporting Occurrences (DP-C9-02)

  Safe

  At Risk

  N/A

• Internal Audits (DP-C9-03)

  Safe

  At Risk

  N/A

• Management Review (DP-C9-04)

  Safe

  At Risk

  N/A

• Additional Remarks

Remark

• Description

Security

• Approved SSP available?

  Safe

  At Risk

  N/A

• Complete Continuous Synopsis Record file available?

  Safe

  At Risk

  N/A

• Objectives of the ISPS Code<br>-establishment of an international framewirk against security threats affecting ships or port facilities<br>-ensuring early and efficient collection and exchange of security related information<br>-ensuring adequate and proportional maritime security measures are in place

  Safe

  At Risk

  N/A

• Principles:<br>Only authorised persons and objects come on board. Ship and special areas are continuously monitored. Everybody is attentive and aware.

  Safe

  At Risk

  N/A

• Security Levels:<br>which ones?<br>WHo sets the security level for the ship?

  Safe

  At Risk

  N/A

• Master's ultimate responsibility for the ship<br>(Safety - Security conflict)

  Safe

  At Risk

  N/A

• Ship Security Officer appointed by the company?

  Safe

  At Risk

  N/A

• CSO for this vessel declared?

  Safe

  At Risk

  N/A

• SSO fully conversant with the SSP?

  Safe

  At Risk

  N/A

• Confidentiality of SSP/ SSA?<br>In which cases may PSC Officers access parts of the SSP (clear grounds)

  Safe

  At Risk

  N/A

• Cooperation with PFSO's?

  Safe

  At Risk

  N/A

• Circumstances under which a DoS has to be prepared?

  Safe

  At Risk

  N/A

• Access control

  Safe

  At Risk

  N/A

• Latest SSA-review availale?

  Yes

  No

  N/A

• A SSA-Review has been carried out in course of this audit.

• Latest SSP-Review available?

  Safe

  At Risk

  N/A

• Additional Remarks

Remark

• Description

Certificates/ Documents

• Last internal Audits<br>complete records available

  Safe

  At Risk

  N/A

• Date of last internal Audits

  Date

• NC's have been properly followed up

• Last external Audits

  Safe

  At Risk

  N/A

• Date of last external Audits

  Date

• Audit type

  PRE-Audit

  Initial Audit

  Intermediate Audit

  Renewal Audit

  Special Audit

• NC's have been properly followed up

• Last PSC

  Date

• All deficiencies have been properly followed up/ are in process of being properly followed up

  Safe

  At Risk

  N/A

• End Time

  Date