Audit
INTERNAL AUDITS
Internal audits are carried out in order to determine if the Health, Safety, Environmental and Quality (HSEQ) management system is well implemented and/or if the system can be improved. Every single ship will be visited for an internal audit annually.
The master on board receives a copy of the internal audit report. If applicable, General Reports, used for the registration of non-conformities and observations/suggestions for improvement are attached. The HSEQ manager Fleet takes care of distribution of other copies. The master is responsible for the follow-up of the outstanding General Reports. If necessary, the HSEQ manager Fleet will assist.
As soon as ship related General Reports are solved, the master on board sends copies of the report back to the HSEQ manager Fleet, including possible evidence of the solution. The HSEQ manager Fleet keeps a register of all General Reports and controls the follow-up.
EXTERNAL AUDITS
External audits can be carried out in order to establish whether:
- the safety management system (HSEQ system) is implemented properly.
- the applicable certificates can be issued or endorsed.
The HSEQ department always contacts the master on board well in advance about the date of an external audit.
ON BOARD
The master receives the original external audit report. He takes care of sending a copy to the HSEQ manager Fleet. The master is responsible for the follow-up of possible non-conformities and/or observations. If necessary the HSEQ manager Fleet will assist. As soon as non-conformities are solved, the master completes the part “corrective action carried out” on the non-conformity notes, attaches possible evidence and sends them back the HSEQ manager Fleet. If applicable, he will brings the solutions to the attention of the LRQA who will close out the non-conformities. As soon as a non-conformity is closed, the HSEQ manager Fleet sends the original back to the vessel.
CHECKLIST
In order to check if working methods come up to the requirements of our HSEQ management system, a checklists is made. The overall audit checklist is based on the requirements in ISO 9001, ISO 14001, MLC and the ISM code.
The following is covered by means of this checklist:
• Policy, organisation and management
• Management system including review
• Document control, certificates
• Procedures and instructions
• Handing-over, familiarisation of new personnel
• Maintenance machinery and safety equipment
• Critical equipment
• Incidents and accidents, corrective actions
• Internal/external audits, corrective actions
• Performance management, evaluating personnel
• Emergency preparedness/drills and training
• Environmental issues
• Occupational health, safe working methods
• Customer requirements
NON-CONFORMITIES
Only in case of hard evidence (must be documented), non-conformities are issued by means of a General Report. In case of doubt or non-structural errors (an “observation”), a General Report will be issued as well, stating a suggestion for improvement. The number of General Reports is stated on the cover sheet. Not all findings lead to separate General Reports: if applicable, more findings are summarised in one.
During the opening with the Master and crew members on board the Company policies & goals of Wagenborg Shipping were explained.
Special attention was given to:
1.1 Condition of the draught marks?
1.2 Condition of the outside hull painting?
1.3 Condition of steel plates at hull?
2.1 In good condition?
2.2 Rigged as required (eg wires, steps, gangway net, bottom stanchions, man ropes)?
2.3 Clean ( eg no grease from fall wires on steps, handrails, man ropes )?
3.1 Condition of the outside accommodation painting?
3.1 Clean & tidy?
3.2 Well illuminated?
NCN(s)
OBS Raised
4.1 Have all ncn's & OBS from external audit been reported in Walfis?
4.2 Has corrective & preventive actions for the ncn's & OBS been entered in Walfis?
5.1 Have all ncn's & OBS from internal audit been reported in Walfis?
5.2 Has corrective & preventive actions for the ncn's & OBS been entered in Walfis?
NCN(s)
OBS Raised
6.1 Have all ncn's & OBS from external MLC audit been reported in Walfis & corrective actions entered?
Last external ISO 14001 audit?
The last port state control inspections were held at?
8.1 Have the last port state inspection been reported in Walfis & corrective actions entered?
9.1 Are all required classification, statutory & other trading certificates readily available?
9.2 A copy of the company's DOC with the endorsements for annual verifications available?
9.3 The safety management certificate (SMC) available?
10.1 Are all ISM manuals, procedures & instructions available in the latest revisions?
10.2 Is a copy of the company's Safety & Environmental Protection Policy available and posted?
10.3 Are all records required by the ISM procedures available & completed as required?
10.4 Ship's library, documentation & manuals are valid, complete & available as applicable & as required by the procedures and flag administration?
10.5 Is the bridge nautical administration up to standard (logbooks / chart corrections / voyage planning / etc)?
Deck logbook
Chart corrections
Voyage planning (from Berth to Berth)
Pre-departure, -arrival check regstrated
NTM's updated up to week #
ENC's updated up to week #
ADP software updated up to week #
Weekly check of GMDSS carried out
10.6 Is the engine room administration up to standard (logbook / oil record book / etc)?
ER logbook
CFC logbook
ECA enty changed over procedure folwed
FORB
Oil transfer checklist for bunkering and discharging sludge are available
ORB completed with the correct recording (dd-month-yyyy) IMO regulations followed.
Sampling procedures and analaysing procedure in place
Legionella management plan is available and records are kept
11.1 Are the Master's reviews carried out as required & identified action items are addressed?
Remark to the Master's review on ISM
11.2 Are procedures for reporting ncn's, accidents & near misses, analysis & follow up implemented?
What is the last accident/incident on board this vessel reported
What is the last near miss reported on board this vessel
11.3 Are required corrective & preventive actions carried out for satisfactory implementation on item 11.2?
11.4 Is evidence of recent risk assessments available on board?
11.5 Is evidence of work permits available on board?
12.1 Does the number of personnel meets the requirements of minimum safe manning doc?
12.2 Is an up to date crew list available?
12.3 Is standards of training, certification & watch keeping certification available for all personnel?
12.4 Are medical fitness certificates available for all personnel?
12.5 Do crew members have received familiarization & other required training?
12.6 Are crew members familiar with company's safety & environmental protection policy?
12.7 Are officers familiar with the identity, duties & contact details of the DPA?
12.8 Can all personnel communicate effectively in the working language of the ship & is same understood ?
12.9 Are work & rest hours as required & accurate records available?
12.10 Is the Master's responsibility & authority + overriding authority clearly defined, documented & understood?
13.1 Is the inspection & maintenance of all equipment, machinery & structures carried out as required by the SMS?
13.2 Are all life saving appliances & fire fighting equipment in good working condition & ready for immediate use?
13.3 Are records of inspection, maintenance, testing & calibration readily available?
The CO is familair with the cargo operations procedure and the IMSBC code when loading dangerous cargo
Working of the stability calculation program is clear to the CO
Garbage (MARPOL Annex V) record book enrties made. Garbage is segregated and stored
13.4 Are identified defects & deficiencies acted on promptly & their status controlled, including the appropriate follow up?
13.5 Are defects & deficiencies been reported to the company, class society, flag administration, RO as necessary?
13.6 Are sufficient spare parts available on board for the safe operation of the ship in accordance with the SMS?
13.7 Is the status of requisitions controlled?
13.8 Is the housekeeping, cleanliness & hygiene satisfactory in all areas?
13.9 Is cook's administration up to standard?
13.9 Has critical equipment been identified?
14.1 Are procedures available for potential emergency situations?
14.2 Are fire control plans up to date & are they identical in all locations?
14.3 Is personnel familiar with alarm signals, their muster station, their duties in an emergency?
14.4 Are the drills & exercises in place and correctly documented?
3-monthly Lifeboat-lowering SB
3-monthly Lifeboat-lowering SB
Lats monthly rescue the boat lowering in water
14.5 Is all emergency equipment well maintained & ready for use?
14.6 Are emergency escape free from any obstruction?
14.7 Are emergency contact details for company readily available?
14.8 Are emergency contact details for the port, agent, P&I, etc readily available?
15.1 Are procedures available for all key shipboard operations?
15.2 Are responsibilities & duties clearly assigned to qualified personnel?
15.3 Is all personnel familiar with their duties & responsibilities?
15.4 Are procedures implemented effectively & records maintained required?
The internal audit followed a sampling process & it is possible that non conformities may exist even in areas that have been covered by the audit.
All non conformities & observations reported must be entered in the Walfis HSEQ General report module by the master.
Furthermore, the master in cooperation with the responsible officer of the department has to take timely corrective action on all non conformities & observations and add this in the Walfis.
- Master
- Chief officer
- 2nd officer
- 3rd officer
- Chief engineer
- 2nd engineer
- 3rd engineer
- Master
- Chief officer
- 2nd officer
- 3rd officer
- Chief engineer
- 2nd engineer
- 3rd engineer
The internal audit has been completed. The audit participants can be found as per attached crew list.
