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Audit

1.0 Policy

1.1 Is the unit Sw Directive current? (Within 12 months)

The unit's Sw Directive is current and signed by the CO. Note, draft versions are not acceptable.

1.2 Are all references used in the unit Sw Directive current and appropriate?

Check references in the unit Sw Directive are current and appropriate.

1.3 Are unit policies promulgated to all personnel with Sw management responsibilities?

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)

2.1 Was the annual individual Sw Training IAW the unit Sw Directive, and conducted as part of the unit's annual induction training?

Individual Sw training is being conducted during induction training at the start of the training year.

2.2 Are member's Individual Sw Training current (less than 12 months old)?

Validate the entry in the unit's Sw database has not exceeded 12 months.

2.3 Are member's Individual Sw Training assessment appropriately authorised?

Each assessment is to be signed off by a competent person (ECN 218 SGT / WO2 SPV MNE / TRG SGT)

2.4 Are member's Individual Sw Training results entered into unit ROs?

Check to ensure results are entered into unit ROs.

2.5 Are member's Individual Sw Training results entered into a unit register?

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).

2.6 Have all members required to undergo Sw Individual Training been captured?

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.

2.7 Are there plans to rectify Sw Training deficiencies?

Any future or catch up training days to capture individual training deficiencies, are to be identified.

2.8 Are the completed Individual Sw Training assessment sheets appropriately archived?

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)

2.9 Is an annual Collective Sw Training assessment procedure in place?

The unit is to have scheduled dates to conduct Collective Sw Training.

2.10 Is the unit's Collective Sw Training IAW the unit's Sw Directive?

The Collective Training is to cover off on all Sw objectives stated in the unit's Sw Directive.

2.11 Are the Collective Training competencies current?

The Collective Sw Training assessment sheets identified in the unit's Sw Directive, are to be reviewed annually as a minimum.

2.12 Are there plans in place to rectify training deficiencies?

Any future or catch up training days to capture collective training deficiencies, are to be identified.

2.13 Are the assessments appropriately authorised?

Assessments are to be signed off by a competent person (ECN 218 WO22 SPV MNE).

2.14 Are the assessment sheets appropriately archived?

The collective assessment checklist must be stored electronically on Objective or a hard copy kept within the unit's HQ.

3.0 Maintenance

3.1 Are Non Technical Inspections (NTIs) being conducted every three months and recorded on the GM212 form?

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.

3.2 Are GM212 being recorded in MILIS and the Watercraft Log Book (TM240)?

Conduct a random sample of GM212 to ensure entry into TM240 and MILIS.

3.3 Are Technical Inspections being conducted at the specified intervals and recorded on the TI025 form?

Conduct a random sample of equipment TI025 to ensure they are being conducted at the specified intervals.

3.4 Are TI025 being recorded in MILIS and the TM240?

Conduct a random sample of equipment TI025 to ensure they are being entered into the TM240 and MILIS.

3.5 Is Operator Maintenance (OM) being recorded and signed off on the GM212, TM240 and TI025?

Conduct a random sample of equipment NTI and TI025 to ensure OM is being signed off on the GM212, TM240 and TI025.

3.6 Are all vessels and safety equipment within survey?

Conduct a random sample of surveyed vessel survey certificates and GM212 to ensure craft are in survey and logged in the vessel's TM240.

3.7 Are the GM212 and TI025 reports in date and signed off by the appropriate authority?

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?

Liaise with ECN218 SGT and inspect vessel TM240 and GM212 electronic or hard copy registers.

3.9 Is the unit Technical Integrity Maintenance Directive (TIMD) current and readily accessible to all unit members?

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

4.1 Are vessel incidents being reported on AC524 (Accident Collision and Grounding Report - Watercraft)?

Sight the AC524 Register (electronic or hard copy).

4.2 Is workshop action (GM212/TI025) being reported via EMEFIX / RODUM?

Check the EMEFIX and RODUM Registers against a random sample of marine equipment GM212 and TI025.

4.3 Are marine equipment (non diving) related incidents involving personnel being prefixed with the word Watercraft on the AC563?

Speak to the Unit Safety Adviser and identify the process and procedures for reporting marine equipment (non diving) incidents involving personnel, using the AC563.

4.4 Are Diving related incidents being prefixed with the word DIVE on the AC563 and reported to RAN using the OHSIR SIG process?

Speak to the Unit Safety Adviser and identify the process and procedures for reporting Dive incidents.

4.5 Are watercraft operations and craft statistics being recorded on TM240?

Check a watercraft fleet TM240 for completeness and correctness.

4.6 Are Craft Status Reports being reported through the CoC when required?

Check the last Craft Status Report from Ops.

4.7 Are Supply Chain issues affecting vessel operations being reported through the CoC?

Review previous supply deficiency reports affecting vessel operations if applicable.

4.8 Are personnel related issues or non-compliances being reported through the CoC?

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

5.1 Are internal SwMS audits being conducted and recorded?

Check the unit's electronic or hard copy Sw spreadsheet to ensure all members are Sw compliant.

5.2 Is the Senior Trade Advisor - Marine conducting assurance visits no more than every 12 months IAW the unit SwMS?

Check the date of the previous assurance visit is no more than 12 months old.

5.3 Does the unit hold a CAR Register?

Sight the unit CAR Register.

5.4 Is the CAR Register regularly reviewed?

Check the unit CAR Register for review comments and sign off.

5.5 Have SCARs issued to the unit, been actioned or in progress?

Check the unit's CAR Register.

Seaworthiness Assurance Check

Created by: Anthony Tripley | Industry: Dept of Defence | Downloads: 22

Internal checklist for Sw assurance

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Audit

1.0 Policy

1.1 Is the unit Sw Directive current? (Within 12 months)

The unit's Sw Directive is current and signed by the CO. Note, draft versions are not acceptable.

1.2 Are all references used in the unit Sw Directive current and appropriate?

Check references in the unit Sw Directive are current and appropriate.

1.3 Are unit policies promulgated to all personnel with Sw management responsibilities?

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)

2.1 Was the annual individual Sw Training IAW the unit Sw Directive, and conducted as part of the unit's annual induction training?

Individual Sw training is being conducted during induction training at the start of the training year.

2.2 Are member's Individual Sw Training current (less than 12 months old)?

Validate the entry in the unit's Sw database has not exceeded 12 months.

2.3 Are member's Individual Sw Training assessment appropriately authorised?

Each assessment is to be signed off by a competent person (ECN 218 SGT / WO2 SPV MNE / TRG SGT)

2.4 Are member's Individual Sw Training results entered into unit ROs?

Check to ensure results are entered into unit ROs.

2.5 Are member's Individual Sw Training results entered into a unit register?

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).

2.6 Have all members required to undergo Sw Individual Training been captured?

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.

2.7 Are there plans to rectify Sw Training deficiencies?

Any future or catch up training days to capture individual training deficiencies, are to be identified.

2.8 Are the completed Individual Sw Training assessment sheets appropriately archived?

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)

2.9 Is an annual Collective Sw Training assessment procedure in place?

The unit is to have scheduled dates to conduct Collective Sw Training.

2.10 Is the unit's Collective Sw Training IAW the unit's Sw Directive?

The Collective Training is to cover off on all Sw objectives stated in the unit's Sw Directive.

2.11 Are the Collective Training competencies current?

The Collective Sw Training assessment sheets identified in the unit's Sw Directive, are to be reviewed annually as a minimum.

2.12 Are there plans in place to rectify training deficiencies?

Any future or catch up training days to capture collective training deficiencies, are to be identified.

2.13 Are the assessments appropriately authorised?

Assessments are to be signed off by a competent person (ECN 218 WO22 SPV MNE).

2.14 Are the assessment sheets appropriately archived?

The collective assessment checklist must be stored electronically on Objective or a hard copy kept within the unit's HQ.

3.0 Maintenance

3.1 Are Non Technical Inspections (NTIs) being conducted every three months and recorded on the GM212 form?

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.

3.2 Are GM212 being recorded in MILIS and the Watercraft Log Book (TM240)?

Conduct a random sample of GM212 to ensure entry into TM240 and MILIS.

3.3 Are Technical Inspections being conducted at the specified intervals and recorded on the TI025 form?

Conduct a random sample of equipment TI025 to ensure they are being conducted at the specified intervals.

3.4 Are TI025 being recorded in MILIS and the TM240?

Conduct a random sample of equipment TI025 to ensure they are being entered into the TM240 and MILIS.

3.5 Is Operator Maintenance (OM) being recorded and signed off on the GM212, TM240 and TI025?

Conduct a random sample of equipment NTI and TI025 to ensure OM is being signed off on the GM212, TM240 and TI025.

3.6 Are all vessels and safety equipment within survey?

Conduct a random sample of surveyed vessel survey certificates and GM212 to ensure craft are in survey and logged in the vessel's TM240.

3.7 Are the GM212 and TI025 reports in date and signed off by the appropriate authority?

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?

Liaise with ECN218 SGT and inspect vessel TM240 and GM212 electronic or hard copy registers.

3.9 Is the unit Technical Integrity Maintenance Directive (TIMD) current and readily accessible to all unit members?

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

4.1 Are vessel incidents being reported on AC524 (Accident Collision and Grounding Report - Watercraft)?

Sight the AC524 Register (electronic or hard copy).

4.2 Is workshop action (GM212/TI025) being reported via EMEFIX / RODUM?

Check the EMEFIX and RODUM Registers against a random sample of marine equipment GM212 and TI025.

4.3 Are marine equipment (non diving) related incidents involving personnel being prefixed with the word Watercraft on the AC563?

Speak to the Unit Safety Adviser and identify the process and procedures for reporting marine equipment (non diving) incidents involving personnel, using the AC563.

4.4 Are Diving related incidents being prefixed with the word DIVE on the AC563 and reported to RAN using the OHSIR SIG process?

Speak to the Unit Safety Adviser and identify the process and procedures for reporting Dive incidents.

4.5 Are watercraft operations and craft statistics being recorded on TM240?

Check a watercraft fleet TM240 for completeness and correctness.

4.6 Are Craft Status Reports being reported through the CoC when required?

Check the last Craft Status Report from Ops.

4.7 Are Supply Chain issues affecting vessel operations being reported through the CoC?

Review previous supply deficiency reports affecting vessel operations if applicable.

4.8 Are personnel related issues or non-compliances being reported through the CoC?

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

5.1 Are internal SwMS audits being conducted and recorded?

Check the unit's electronic or hard copy Sw spreadsheet to ensure all members are Sw compliant.

5.2 Is the Senior Trade Advisor - Marine conducting assurance visits no more than every 12 months IAW the unit SwMS?

Check the date of the previous assurance visit is no more than 12 months old.

5.3 Does the unit hold a CAR Register?

Sight the unit CAR Register.

5.4 Is the CAR Register regularly reviewed?

Check the unit CAR Register for review comments and sign off.

5.5 Have SCARs issued to the unit, been actioned or in progress?

Check the unit's CAR Register.