Audit

1. General

Company Policy, Drug & Alcohol policy and instructions are properly displayed and records maintained for all personnel on board?

SMS manuals are available as indicated in the distribution list?
Updated hard copy of BDPM, ERPM, ECP, SOPEP/ SMPEP and CHM in relevant locations and acknowledged by relevant personnel?

Current revision is available on board and on the ship's network?

Are all on board familiarized with the company SMS and updates & Revisions?

Emergency Organization/ ERS/ National operational contact details available?

DPA/ CSO contact numbers available?

Internal audits conducted on time and all observations/ NC's rectified and records available?

Date of last Internal Audit:

External Audits conducted on time and all the observations/ NC's rectified and records available?
Date of last External Audit:

Last PSC Inspection report available and have all the deficiencies been reported as Non Conformities and rectified?

Tests and Drills Register: Last 2 Dates
a. Abandon ship drill
b. Fire Drill
c. Shipboard Oil Pollution Emergency Drill
d. Rescue Boat/ Lifeboat lowered in water and maneuvered
e. Emergency Steering Drill
f. Man Overboard Drill
g. Rescue from enclosed spaces Drill
h. ISPS Drill

Company KPI for the present year available on board?

Customer Complaints, if any are reported and adequately addressed?

2. Documentation

Are Ship's certificates arranged and filed in accordance with SMM 7 App2?

Are Ship's certificates valid & Current?

List the certificates expiring in the next 3 months:

List of publications is maintained and latest publications available on board?

Conventions, IMO publications, rules & regulations and technical guidance books, as listed in the SMS manuals are available?

nautical Publications, code of signals, etc. as listed in the SMS manual are available?

Technical Manuals and drawings, user manuals available?

Manuals , documents and instructions required by compulsory requirements or by the Company as listed in the SMS manuals are available. Class approved manuals (as applicable): Loading & Stability, Damage Stability, SOPEP/ SMPEP, ODME, IGS and P&A Manual.

SOLAS Training manuals available in the mess rooms and are specific to the equipment on board?

Following Familiarizations carried out for personnel and records available?
a. Prior to sailing familiarization
b. Knowledge and operation of safety equipment (Within 14 days of joining)
c. Familiarization with Bridge Equipment (Prior taking over 1st Bridge Watch)
d. Engine Room Familiarization (Prior taking over 1st Watch)
e. Familiarization with Cargo Systems

Following permits are used correctly and records available?
a. Hot work (Including Company correspondence/ Permissions/ RA's)
b. Enclosed Space entry (For Cargo, Ballast, Fuel Tanks, Cofferdams, Void spaces & Other spaces as applicable)
c. Working Aloft/ Outboard
d. Cold Work
e. Electrical Isolation
f. Work on High Voltage Systems (If Applicable)

Quarterly Health & Safety Inspection checklists completed and records available?

Master's Review and follow up available?
Date of last review:

Filing key is updated and all files arranged accordingly?

ESP File and attachments are in order?

Latest Class Status Report available on board?

Master's Handing over reports available?

3. Personnel Management

Crew list verified to be in compliance with the Safe Manning Certificate?

Certificate for all Officers & Crew are in compliance with STCW and the Flag State requirements including DC Endorsements (Management/ Operational/ Support)?

Watch Arrangements are displayed at common locations?

Rest Hour requirements are maintained and they are in compliance with the requirements?

D&A Tests are conducted every month and records available?

External D&A Tests are conducted and records available?

D&A Policy is displayed at common location and signed copy available for all crew members?

Contract of employment for all personnel available for inspection?

Medical Reports for all personnel available on board?

Complaint handling procedures are known to all and a copy of the form has been provided to each crew member?

Seagull CBT training records available for all personnel on board?

4. Navigation, Bridge Procedures & Communications

Deck Log books are completed after each watch with relevant information (Including fire rounds etc.)

Master's standing orders in place and acknowledged by all?

Maneuvering characteristics posted on the bridge?

Compass error log book maintained correctly & errors being checked every watch?

GMDSS Radio log book is completed and up to date (Including Daily, Weekly & Monthly tests)?

Details of Officer responsible for handling communications in an emergency updated?

Main transmitting aerials are grounded, when engaged in cargo/ bunkering/ tank cleaning/ venting operations?

AIS/ VHF operating on appropriate power?

Emergency batteries are in good condition?

Charts & Publications are corrected & up to date (Including ENC, ADP & e-NP)?

System in place to monitor navigational warnings and T&P corrections?

ECDIS operational & familiarization routines in order?

Position plotting frequency in accordance with BDPM 6.6?

Records of Echo Sounder usage available?

Pre Arrival/ Departure checks completed & logged down correctly?

Bridge Manning Level being followed in accordance with BDPM 6.1.1 Attachment A and highlighted on the charts?

Berth to Berth passage plan available and following points correctly marked on the charts/ ENC's?
Parallel indexing
Chart Changes
Method & Frequency of position fixing
Prominent navigation and radar marks
No-Go Areas
Landfall targets & Lights
Clearing lines & Bearings
Transit, heading & leading lines
Tides & Currents
Safe Speed& necessary speed changes
Changes of machinery status
UKC
Use of Echo Sounder
Traffic Density & Cross Traffic
Anchor Clearances
Contingency Plans
Abort Positions
VTS & Reporting Points

Officers are aware of the procedures for VDR in the event of an accident?

Records of Master's Navigational audits are available?

All relevant checklists (daily, weekly etc.) are used and records available?

Master Pilot information exchange checklists are used and filed accordingly?

Contingency Plans available on the Bridge?

Records of service and maintenance of Bridge/ Communication equipment are available (Including PMS)?

Handing Over Reports for Junior Officers are available?

5. Safety Management

Monthly SEP meetings are held in accordance with the SMS and records available including crew participation?

A meeting is conducted by the auditor during the audit?

Is the Master aware of his overriding authority as per the ISM Code?

Drills & Trainings are being carried out regularly in accordance with ECP 7 App2 and records available?

Lowering of lifeboats/ Rescue boats is in accordance with the requirements and records available?

Fire detection and alarm system in good working order?

Fixed Fire Fighting systems in good working order and records of periodic tests available?

Portable fire extinguishers maintained correctly and records available?

EEBD's in order, maintained accordingly and records available for periodic testing?

Maintenance records of LSA & FFA are available and in order?

Muster Lists/ Emergency instructions are updated including substitutes of key personnel?

Test results for foam samples in place (Including the portable cans in E/R)?

SCBA compressor air quality tests conducted according to the requirements and records available?

Smoking regulations are being observed?

Is PPE on board adequate & used correctly?

Environmental targets and programs monitored and reviewed?

Environmental equipment operational and maintained as per EMM?

Is C/E aware (Environmental Officer) aware of his duties in accordance with EMM?

SMART Reports are issued for accidents. Near Misses, Non Conformance and breakdowns that have occurred?

Follow up of reports and adequate close out available?

Risk Assessments are performed as required by the SMS and is the structured Risk Assessment methodology used to identify potential hazards?

Is DPA known to the Master & Key Personnel?

Is the role of DPA known to all personnel?

Are Officers familiar with the operation of emergency equipment?

List of critical Equipment (Identified) is maintained?

Risk Assessments are conducted prior shutting down "Critical Systems" and records available?

Adequate critical spares are maintained on board for critical equipment?

6. Cargo Operations & CCR

Cargo/ Ballast plan has been prepared for current operations in accordance with the ship specific CHM, approved by the Master and agreed between Ship and Shore?

Are static electricity precautions highlighted in the plan (For vessels without IG)?

Is the plan understood by all the Officers?

Stress and Stability calculations are performed before & during operations?

Emergency Procedure agreed with the Shore and all responsible personnel aware of the same?

Suitable pipeline diagrams and pump performance data are available in the CCR?

Cargo Compatibility chart is available in the CCR?

Tank Cleaning plans established & records available?

Ship- Shore checklists completed including repetitive checks?

The Cargo Oil Records Book Part II (Oil Tankers), Cargo record Book (Chemical Tankers) is complete and up to date?

Products hazards (MSDS) and the first aid instructions are posted in the crew accommodation?

Antidotes are available on board for specific cargoes (Chemical Tankers Only)?

Pre Operation checklists (Including COW) are used and records available?

Ballast Water Exchange carried out in accordance with the requirements and records available?

Records are available for the testing of:
Pump Control, alarms and trips
P/V valves, Mast Riser, IG Non-Return valve, Deck Seal
Cargo Piping
Inert Gas system alarms, trips, calibration of fixed O2 analyzer
VECS system, calibration is sensors
Fixed gas detection system
Fixed and portable tank gauging system
Tank temperature and pressure sensors, where applicable
Portable cargo/ tank cleaning hoses
High Level alarms
Pump room Bilge High Level alarm

Maintenance routines for cargo equipment are adhered to and records available?

Are alarm settings of the pressure sensors in accordance with the requirements and personnel aware of the same?

Safety & Protective equipment as required by IBC code available and maintained properly?

Records available for periodic testing of the above safety equipment?

Records available for the continuity tests of the cargo hoses and portable tank cleaning hoses?

Manifold gauges and thermometers are in use and records available for routine calibrations?

Records available for calibration of O2 sensors for the Vapor return line?

VOCM Plan available and records maintained? (If applicable)

ODMCS operational and records of tests available?

Crane Operation permits are being used and records available?

Garbage record book up to date and all entries are made correctly?

7. Deck & accommodation

Are lifeboats including their equipment & launching mechanism in good working order? (Davis, limit switches, falls, sheaves, winches & brakes)

Lifeboat/ life raft operating instructions displayed properly & under the emergency lights?

Embarkation ladders in good condition?

Lifeboat air support system in good order & test records available?

Life rafts in order and HRU's connected correctly?

Life buoys/ ropes & lights in order? (Including Ex lights on deck)

Life jackets & immersion suits in order and service records available?

Fire flaps & accommodation ventilation emergency stops clearly marked and operational?

Fire mans outfits in good order & maintained accordingly?

Breathing apparatus are ready for immediate use?

A life buoy with SI light and is available at the gangway along with a line kept separately?

IMO Safety precautions are displayed and in good condition?

Fixed CO2/ Foam fighting system for Deck/ Pump room/ Engine Room are ready for use?

Operating instructions are posted next to the fixed fire fighting systems?

Vent trunk fire flaps and funnel dampers are clearly marked and operational?

No cargo leakage visible on deck?

Spill containers and gratings are fitted under cargo manifolds?

Anti pollution scupper plugs are in use and scuppers are effectively plugged?

Unused cargo line manifolds are blanked & fully bolted?

Cargo/ Ballast pump room bilge high level alarm is working?

P/V valves appear in good condition? (Check Flame screens)

P/V breaker has the adequate amount of liquid? (Level should be clearly visible).

Mast riser flame screens in good condition, and mast riser drain is clear?

Exposed decks are free from garbage, oil/ oily material, toxic material?

Means are readily available to to deal with small oil spills?

Garbage stored as per garbage management plan?

Paint locker stowage in order & sprinkler system operational?

Visual inspection of the following items is satisfactory?
Fuels and ballast tank vent heads.
Hand rails
Hull markings
Forepeak store & chain lockers.
Weather tight and watertight openings
Safety walkways

Electric and gas welding equipment are in good condition?

Acetylene and oxygen bottles are stowed in separate compartments?

Equipment in hazardous area is free from damage and bonding cables are in place?

Pump Rooms

Clean & tidy, free of any visible traces of cargo, oily rags and debris?

Warning notices posted?

Entry policy displayed and entry permits being used?

EEBD, Stretcher, Ear protection available?

Bilge alarms checked and emergency bilge pumping arrangements in order?

FFA available and operational, including lights interlock, fire dampers, visual and audible alarms.

Guard railings, gratings, chains, and pump shaft guards in place?

Lifting/ Hoisting Equpment

Is Safe Working Load (SWL) clearly marked on all lifting Equipment?

Are maintenance records up to date? (Register of lifting appliances, PMS)

Working aloft and loose lifting gear regularly inspected and records available (including harness, lifelines, stages, chain blocks, hoists).

Marking of loose lifting gear in accordance with SMS?

Mooring and Anchoring Equipment

Visible part of mooring ropes/ wires, fire wires, mooring tails, stoppers, mooring shackles, are in good condition? (Ref. BDPM 7.2.2)

Records/ Certificates available for all mooring equipment identifying locations?

Do winch and windlass brake linings and hinge pins appear in good condition?

Have rendering arrangements been set to 60% MBL and crew aware of the same?
Last BHC test date: ___________________

Visible parts of anchor, chains & stoppers are in good condition?

Decks in mooring area are painted with non- skid paint?

Accommodation

Hospital/ First Aid kits, stretcher, Resuscitation equipment are maintained properly?

No Expired medicines? (Including disposal of expired medicines).

Crew accommodation, laundry, stores, public rooms, wash rooms are clean and tidy?

Galley:
Clean and hygienic
No fire hazards
Vent uptake mesh cleaned regularly and no oil deposits
Securing arrangements are proper
FFA for galley operational, including fire blankets
No obvious slip/ trip hazards
Proper handling and disposal of food waste

Fridge rooms (As applicable):
Maintained at appropriate temperatures
Leakage test records available for refrigerants
PPE available and used
Drains are clear with no build up of ice
Cold surfaces are adequately protected/ shielded?
Storage is clean and secured?

Emergency Equipment

Following Emergency equipment to be tested:
Emergency Generator (Including alternative means of starting)
Emergency Fire pump
Quick Closing Valves
Lifeboat Engines
Rescue Boat Engines
Reefer Space alarms
Hospital alarms

Engine Room & PMS

Chief Engineer's standing orders are in place and acknowledged by all?

UMS Instructions are clearly posted?

The Oil Record Book Part I (Machinery spaces) is completed and up to date?

All entries in accordance with MEPC.1/ Circ. 736/ Rev 2?

OWS Discharges in accordance with requirements?

Sludge handling and records in accordance with requirements?

Incinerator operations & recording in accordance with requirements?

Checklists are used for routine operations and records available for the same?
(Arrival, departure, UMS, Hot Work, Cold Work, EMM etc.)

Bunkering operations are carried out according to the plans and records available?

Piping diagrams are properly displayed?

Checklists are used for bunkering & Internal transfer and records available?

Test and calibration records of OWS are available?

Annex Vi record book is up to date and all changeovers have been recorded in accordance with the regulations?

Ship Specific FO Changeover procedures available and all aware of the same?

Enclosed space entry permits are used, correctly completed and records available?

Procedures available to deal with emergencies:
Blackout
E/R flooding recovery
Dead Ship Start

Electrical isolation permits are being used when required?

E0 List and test records are up to date?

Systematic testing of fire detectors is recorded?

Records of test of batteries is available?

Records of test of electrical equipment is available?

Register of hazardous material is maintained and up to date?

Chemicals are properly stowed in designated chemical lockers that have restricted access, MSDS & PPE available?

Is PMS software operational and job lists created each month?

Are the spare part inventories updated in the PMS w.r.t. Critical/ Essential spares?

Status of overdue jobs?

Spot check carried out for verification of completed jobs?

Engine Room bilges are clean and free from oil and other materials?
Last test of bilge alarm date:____________________

Escape routes are clearly marked and EEBD's are located as per plan?

Rotating machinery is suitably guarded and warnings posted?

Fire compartment boundaries maintained? (Doors not secured in OPEN position)

Appropriate PPE available in E/R, workshop, and appropriate PPE worn by crew?

Deadweight type and spring loaded sounding caps not permanently secured?

Hot surfaces adequately shielded and protected?

All overboard valves are effectively sealed and controlled as per the Seal Log?

Controls in case of fire in E/R are clearly marked?

Equipment in hazardous area is free from damage and bonding cables are in place?

Adequate insulation protection provided near switchboards? (Including gloves of correct ratings).

E/R ventilators and exhausts marked and operational?

Boilers, Fans, and burners in satisfactory condition?

Steering Gear

Emergency changeover procedure is displayed?

Rudder angle indicator is clearly visible at the emergency steering position?

Access is not obscured?

Floor is slip proofed?

Gyro repeater is synchronized?

Two- Way communication is available?

Emergency Generator

Starting/ Operating instructions are clearly posted and understood by all?

Regularly tested?
Last test date:________________________

Ventilation dampers are clearly marked?

Fuel is maintained at an adequate level?

Security

Current Security Level displayed and known to crew?

Security arrangements as per security level effectively implemented?

Security records, gangway register adequately maintained?

Restricted areas marked and maintained according to the SSP?

SSAS tested?
Last test:____________________

Gangways are properly rigged and lighting is sufficient?

SSP endorsed for internal audits?

Overall Assessment

Are ship's personnel aware of their duties and responsibilities?

Are adequate resources available to the Ship's Command?

Is the level of maintenance in accordance with company policy and guidelines?

No training needs identified during this audit?

No improvement areas identified during this audit?

No health/ crew welfare issues identified during this audit?

Does the vessel's Management and Crew appear sufficiently motivated and conversant with the Company Values?

Please note that this checklist is a hypothetical example and provides basic information only. It is not intended to take the place of, among other things, workplace, health and safety advice; medical advice, diagnosis, or treatment; or other applicable laws. You should also seek your own professional advice to determine if the use of such checklist is permissible in your workplace or jurisdiction.