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
1.0 Policy
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1.1 Is the unit Sw Directive current? (Within 12 months)
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The unit's Sw Directive is current and signed by the CO. Note, draft versions are not acceptable.
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1.2 Are all references used in the unit Sw Directive current and appropriate?
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Check references in the unit Sw Directive are current and appropriate.
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1.3 Are unit policies promulgated to all personnel with Sw management responsibilities?
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Sub units hold a current copy of the unit's Sw Directive and unit members have access to the Directive.
2.0a Individual Sw Training (Base Trade)
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2.1 Was the annual individual Sw Training IAW the unit Sw Directive, and conducted as part of the unit's annual induction training?
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Individual Sw training is being conducted during induction training at the start of the training year.
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2.2 Are member's Individual Sw Training current (less than 12 months old)?
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Validate the entry in the unit's Sw database has not exceeded 12 months.
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2.3 Are member's Individual Sw Training assessment appropriately authorised?
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Each assessment is to be signed off by a competent person (ECN 218 SGT / WO2 SPV MNE / TRG SGT)
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2.4 Are member's Individual Sw Training results entered into unit ROs?
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Check to ensure results are entered into unit ROs.
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2.5 Are member's Individual Sw Training results entered into a unit register?
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Member's results are to be entered onto an electronic or hard copy spreadsheet by a competent person (ECN 218 SGT / WO2 SPV MNE / TRG SGT).
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2.6 Have all members required to undergo Sw Individual Training been captured?
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Cross check with unit ROs with current UE / unit nominal roll to ensure all ECN 18 and 146 Marine Qualified personnel have been captured and completed individual training.
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2.7 Are there plans to rectify Sw Training deficiencies?
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Any future or catch up training days to capture individual training deficiencies, are to be identified.
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2.8 Are the completed Individual Sw Training assessment sheets appropriately archived?
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Assessment sheets are to be stored electronically on Objective or a hard-copy kept within the unit HQ.
2.0b Collective Sw Training (Base Trade)
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2.9 Is an annual Collective Sw Training assessment procedure in place?
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The unit is to have scheduled dates to conduct Collective Sw Training.
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2.10 Is the unit's Collective Sw Training IAW the unit's Sw Directive?
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The Collective Training is to cover off on all Sw objectives stated in the unit's Sw Directive.
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2.11 Are the Collective Training competencies current?
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The Collective Sw Training assessment sheets identified in the unit's Sw Directive, are to be reviewed annually as a minimum.
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2.12 Are there plans in place to rectify training deficiencies?
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Any future or catch up training days to capture collective training deficiencies, are to be identified.
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2.13 Are the assessments appropriately authorised?
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Assessments are to be signed off by a competent person (ECN 218 WO22 SPV MNE).
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2.14 Are the assessment sheets appropriately archived?
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The collective assessment checklist must be stored electronically on Objective or a hard copy kept within the unit's HQ.
3.0 Maintenance
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3.1 Are Non Technical Inspections (NTIs) being conducted every three months and recorded on the GM212 form?
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Conduct a random sample of GM212 for each marine fleet (SAFCOL, ADRHIB, F470, Klepper, Divex, SCUBA) to ensure NTI are being conducted every three months.
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3.2 Are GM212 being recorded in MILIS and the Watercraft Log Book (TM240)?
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Conduct a random sample of GM212 to ensure entry into TM240 and MILIS.
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3.3 Are Technical Inspections being conducted at the specified intervals and recorded on the TI025 form?
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Conduct a random sample of equipment TI025 to ensure they are being conducted at the specified intervals.
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3.4 Are TI025 being recorded in MILIS and the TM240?
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Conduct a random sample of equipment TI025 to ensure they are being entered into the TM240 and MILIS.
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3.5 Is Operator Maintenance (OM) being recorded and signed off on the GM212, TM240 and TI025?
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Conduct a random sample of equipment NTI and TI025 to ensure OM is being signed off on the GM212, TM240 and TI025.
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3.6 Are all vessels and safety equipment within survey?
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Conduct a random sample of surveyed vessel survey certificates and GM212 to ensure craft are in survey and logged in the vessel's TM240.
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3.7 Are the GM212 and TI025 reports in date and signed off by the appropriate authority?
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Conduct a random sample of vessel TM240s, GM212s and TI025 to verify the docs:
- are no older than three months (current);
- have been signed off by ECN218 CPL (TM240 & GM212) or ECN146 CFN-CPL Marine Qualified (TI025); and
- have been inspected by ECN218 SGT SPV MNE and unit CO/OC (GM212 & TI025). -
3.8 Are GM212 and TI025 registers being maintained within the unit?
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Liaise with ECN218 SGT and inspect vessel TM240 and GM212 electronic or hard copy registers.
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3.9 Is the unit Technical Integrity Maintenance Directive (TIMD) current and readily accessible to all unit members?
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The unit TIMD is current and signed off by the unit CO/OC.
Unit members have access to the TIMD.
Members receive annual TIMD training.
4.0 Reporting
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4.1 Are vessel incidents being reported on AC524 (Accident Collision and Grounding Report - Watercraft)?
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Sight the AC524 Register (electronic or hard copy).
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4.2 Is workshop action (GM212/TI025) being reported via EMEFIX / RODUM?
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Check the EMEFIX and RODUM Registers against a random sample of marine equipment GM212 and TI025.
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4.3 Are marine equipment (non diving) related incidents involving personnel being prefixed with the word Watercraft on the AC563?
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Speak to the Unit Safety Adviser and identify the process and procedures for reporting marine equipment (non diving) incidents involving personnel, using the AC563.
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4.4 Are Diving related incidents being prefixed with the word DIVE on the AC563 and reported to RAN using the OHSIR SIG process?
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Speak to the Unit Safety Adviser and identify the process and procedures for reporting Dive incidents.
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4.5 Are watercraft operations and craft statistics being recorded on TM240?
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Check a watercraft fleet TM240 for completeness and correctness.
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4.6 Are Craft Status Reports being reported through the CoC when required?
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Check the last Craft Status Report from Ops.
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4.7 Are Supply Chain issues affecting vessel operations being reported through the CoC?
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Review previous supply deficiency reports affecting vessel operations if applicable.
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4.8 Are personnel related issues or non-compliances being reported through the CoC?
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Check the process for reporting personnel issues which could affect a vessel from deploying on EX or OS.
Formal and informal correspondence are not to breach "IN CONFIDENCE" requirements.
5.0 Assurance
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5.1 Are internal SwMS audits being conducted and recorded?
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Check the unit's electronic or hard copy Sw spreadsheet to ensure all members are Sw compliant.
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5.2 Is the Senior Trade Advisor - Marine conducting assurance visits no more than every 12 months IAW the unit SwMS?
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Check the date of the previous assurance visit is no more than 12 months old.
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5.3 Does the unit hold a CAR Register?
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Sight the unit CAR Register.
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5.4 Is the CAR Register regularly reviewed?
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Check the unit CAR Register for review comments and sign off.
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5.5 Have SCARs issued to the unit, been actioned or in progress?
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Check the unit's CAR Register.
