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Company Operational Manual COM 2.6 Vessel Internal audit guidance |
Doc No.: COM 2.6
Revision: 1 Date: 15 Oct 2024 Issued by: DPA Approved by: MD |
The purpose of this document is to provide guidance to internal auditors of vessels to ensure consistency in planning, preparation, and execution of shipboard audits.
Internal Audit Requirements
- Audits are not inspections. The audit is intended to evaluate the extent to which the system is working.
- The auditor shall verify awareness, implementation, and the effectiveness of implementation of the Company Management System (CMS).
- The audit scope is the CMS which encompasses requirements of the following:
- ISM Code
- ISPS Code
- MLC Code
- ISO 9001
- ISO 14001
- ISO 45001
- All audits shall be planned and auditors shall prepare for each audit.
Audit Preparation
- The auditor will receive an appointment email from the HSSEQ containing the most recent versions of all forms required for the audit.
- Upon appointment, the auditor shall familiarise themselves with the ship prior to attending the vessel. As part of this familiarisation, the “vessel profile questionnaire” found at the end of this document may be used to conduct a desktop review of the vessel in preparation for the audit.
- An editable copy of this questionnaire will be included in the appointment email to further help with the personalised preparation.
- Use the questionnaire as means to conduct a desktop review of the vessel.
- The questionnaire is intended to help:
- Identify trends that may indicate systematic failure or areas that may require further onboard evaluation.
- Identify items to verify onboard implementation on a sampling basis e.g. closing and preventive actions of internal audits, external audits, PSC closeouts, flag state inspections, incidents, injuries, or near misses.
- This preparation shall form the basis of the audit plan.
Note :
Note :
Audit Execution
- The Audit should verify awareness, implementation, and effectiveness of implementation for the recommended actions onboard where applicable.
- The auditor shall carry out sampling as it is not practical to examine all available areas during the typical audit period whilst onboard the vessel.
- The objective of audit sampling is to provide information for the auditor to have confidence that the audit objectives are achieved.
- Methods of collecting information include, but are not limited to the following:
- Interviews
- Observations
- Review of documentation
- Collecting information by sampling will derive audit evidence.
- Evaluate audit evidence against audit criteria.
- If the CMS does not contain a requirement that is necessary for the safe and reliable operation of the vessel, then the CMS may have a gap.
- Audit coverage may include, but is not limited to the following areas:
| Aspects | Possible Areas of Coverage |
|---|---|
| Certificates and documentation |
• Company Management System • Circulars and alerts • Document control and filing • Manuals, plans and drawings • Applicable rules, regulation, publications • Ship certificates and other certification • Crew documents and certificates |
| Fire Safety |
• International shore connections • Personnel protection (SCBA/EEBD) • Fire extinguishers • Fixed gas fire-extinguishing systems • Fixed foam fire-extinguishing systems • Fixed pressure water-spraying and water-mist fire-extinguishing systems • Automatic sprinkler, fire detection and fire alarm systems • Mixed fire detection and fire alarm systems • Sample extraction smoke detection systems • Low-location lighting systems • Fixed emergency fire pumps • Arrangement of means of escape • Fixed deck foam systems • Inert gas systems • Fixed hydrocarbon gas detection systems • Foam fire-fighting appliances for the protection of helicopter facilities • Fire control plan • Fire door • Ventilator, dampers |
| Life Saving |
• Lifeboats, Rescue boats, Liferafts • Launching and embarkation appliances • Marine evacuation systems • Lifejackets, lifebuoys, immersion suits • Flares • Line throwing appliances • General alarm system • PA and other communication systems • Drills • Musterlist • Life saving plan • SART • SOLAS Training manual |
| Radio communication | • Vessel’s communication system (FBB, Irridium, etc) – Test Thome emergency hotline number |
| Safety Navigation |
• Voyage planning • Nautical charts and publications • Notices to mariners • Safe manning • Bridge and navigational equipment • Steering Systems • Magnetic compass • Recording of navigational events • Master-pilot exchange • Light shape sound signals • Global Maritime Distress safety system |
| Shipboard operation |
• Cargo operation & handling • Ship to ship operation • Bunkering operation plan • Mooring operation • Anchoring operation • Ballasting • Dive Support • Production operation • Anchor handling • Dredging operation • Dynamic positioning |
| Working and living condition |
• MLC, DMLC Part I / Part II • Seafarers Employment Agreement (SEA) • Seafarer original medical certificate • Work and rest hours • Officer and crew entertainment • Living quarters, furniture • Valid Collective Bargaining Agreement (CBA) • Food supplies and quality • Hospital |
| Aspects | Possible Areas of Coverage |
|---|---|
| Certificates | • Certificate for medical chest certificate |
| Pollution Prevention |
• SOPEP / SMPEP / VRP • NOCP – list updated • Inventory / availability of SOPEP equipment • Pollution prevention equipment • Drills and training • Oil /Cargo record book • Garbage Management Plan (GMP) • Fuel change over procedure • Nox technical files • Bunker delivery notes • Ballast Water Management Plan (BWMP) • Sewage handling • Oil filtering equipment / 15 ppm alarm • Tanker (oil/water interface / crude oil tanker ODME) • Bilge handling • Marpol Annex II – (Slop handling) • Incineration • Emission control (VECS, OSD) |
| Emergency Preparedness |
• Emergency plans • Drills and training plans and records • Crew familiarity with emergency procedure • Readiness and operational condition of equipment |
| Maintenance of the Ship and its Equipment / Machineries |
• Maintenance plan (PMS) • Jobs status • Machinery equipment status • Critical equipment maintenance • Maintenance record / running hours • Service record • Defect reporting • Electrical maintenance • Spare parts • Analysis report • Dry dock items |
| Accidents and Hazardous Occurrence |
• Incident reporting • Incident notification • Near Miss report • Investigation report • Risk assessment • Work Permit • Root Cause Actions/recommendation implementation |
| Ship Security |
• Ship security plan • Security Level • Access control • Watchmen, security patrol • SSO, CSO contact • SSAS tests • Security equipment maintenance • Declaration of security • Continuous synopsis record • Annual SSP review |
The auditor is advised to classify deficiencies in accordance with Table 1 below.
Table 1 Deficiency Categories
| Category of Deficiency | Examples |
|---|---|
| Technical Deficiencies |
• Combination of deficiencies, that together indicates that the maintenance system is not effectively implemented. • Poor condition of hull, main deck, closing appliances, railings, ladders. • Defective/missing fire fighting and life saving appliances, oil pollution prevention equipment. • Leaks and oil in E/R spaces, pump-rooms etc. • Deficiencies relating to technical conditions which may lead to the limitation, suspension or withdrawal of a Class or Statutory Certificate. |
| Operational Deficiencies |
• Accidents and hazardous occurrences not reported to the Company. • Crew not able to satisfactorily conduct practical demonstrations of shipboard operations, such as starting the fire pump, emergency generator, lifeboat engine, etc. • Crew not able to communicate effectively in the execution of their duties. • Inability of crew to perform satisfactorily mandatory drills such as fire drills, LSA drills, pollution prevention drills, etc. |
| Documentation Deficiencies |
• Expired classification or statutory certificates or certificates not endorsed as required. • Overdue surveys, overdue audits or overdue conditions of class. • Ship’s copy of Document of Compliance (DOC) not valid or not relevant to ship type. • Original Safety Management Certificate (SMC) has incorrect data or endorsements missing. • Emergency response plans and relevant SOPEP manual not available (contact points ashore should be current and corresponding with Company name/address on DOC and SMC). • Entries for relevant drills etc. in Log Book not completed in accordance with mandatory requirements. • Incorrect or missing entries in the Oil Record Book. • Fire Plan not up to date. |
| Other Deficiencies |
• Ship’s complement not complying with the Minimum Safe Manning Certificate. • Master, officers and ratings not certified as required by the STCW Convention. • Serious deficiencies in respect to housekeeping and maintenance of galley, crew accommodation, and provisions stores. • Port State or Flag State detentions if no evidence available, that the organisation responsible for the SMS audit of the ship as specified in the Continuous Synopsis Record has been notified. |
Audit Findings
Audit findings shall be classified into 1 of the following 3 categories:
- Major Non-conformity
- Non-conformity
- Suggestion for Improvement
IACS PR 17 Rev.1 Sept. 2016 - Audit Guidelines
Non-Conformity Definitions
• A Non-Conformity (NC) is a situation or condition which does not comply with a specific requirement of Company or Statutory regulations. If you issue an NC, you must be able to show which requirement is not being fulfilled.
• A Major Non-Conformity (Major NC) is a situation or condition which presents an immediate danger to persons, assets, or the environment. When a Major NC is found, the DPA must be informed immediately and an action plan created to reduce this to a Non-Conformity, before the completion of the audit.
• Every Non-Conformity must be assigned a Corrective/Preventive Action (CAPA). Such Action Items must be "closeable" – i.e., a positive action that can be verified.
• Non-conformities must contain the following 3 aspects when reported:
- TMS reference, including:
- Document number and name (e.g., FOM 7.1 Maintenance)
- Quote from the document (e.g., Section 4.5 Defect Reporting "Use Technical Deficiency List (TDL) for all defect reporting and closing. Note: Always inform and coordinate with Vessel Manager when reporting and closing defects.")
- Finding – a summary (ideally in a single sentence) of what has been found that indicates systematic non-fulfillment of SMS requirements.
- Objective Evidence samples – Insert examples (typically more than 2) supporting your finding.
Audit Close-Out Process
• The auditor shall present the findings to the Master prior to leaving the vessel to ensure that they are understood, clarified, and accepted.
• A draft report shall be left onboard and sent to HSSEQ within 5 working days.
• Inform the HSSEQ department that the audit has been completed.
• The findings will be entered into the system for handling.
• The auditor shall be involved in the review/approval of the findings close-out.
Vessel Profile
| Ship Name | Date of Audit | Place of Audit |
|---|---|---|
| _________________ | _________________ | _________________ |
| Select | Details | Information |
|---|---|---|
| Visa / Travel requirement | ||
| Country requirement | ||
| Terminal requirement | ||
| Agency appointment / contact | ||
| Travel time required to ship from point of origin | ||
| Vessel schedule ETA / ETD | ||
| Vessel assessment | ||
| Incidents | ||
| Near Miss | ||
| Master System Review (MSR) | ||
| Monthly Safety Environment Report (MSER) | ||
| Injuries | ||
| Last internal audit – Date No: NC / Obs | ||
| Last external audit - Date No: NC / Obs | ||
| Port State Control inspection No: Obs | ||
| Flag State Inspection (FSI) No: Obs | ||
| Class status report | ||
| Planned Maintenance Status (PMS) | ||
| PMS Overdue | ||
| Technical defect list | ||
| MHSSEQ visit | ||
| Vessel Manager visit | ||
| Flag State dispensation | ||
| Verification of NC | ||
| Corrective action implementation verification | ||
| Compas review | ||
| Vessel e-file | ||
| Office initiated action | ||
| Office initiated action | ||
| HSSEQ Circular | ||
| Marine Alerts | ||
| Environmental Alerts | ||
| Technical Alerts | ||
| Comments / Remarks | ||