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ISM/ ISO/ ISPS/ MLC Internal Audit

QSE Manual

Is the general setup of the COmpany's QSE System clear to all senior officers?

Part A for General System Declarations.Part B as the "Manual"Part C the procedures detailing how to fulfill the Manual

HB-002 Management Responsibility

Is the Management Commitment known to Senior Officers?(to develop and improve the QSE System)

Is the term "Customer Focus" understood by senior officers?Is it understood who the company's (BBG) customer is?(mainly the Shipowner/ Charterer is Shipowner's customer)

Are the main points of the company's Quality Safety and Environmental Protection Policy known to all crew?- to provide for safe practices in ship operation and safe working environment- to establish safeguards against all identified risks; and- to continuously improve safety management skills of personnel

Is the Declaration of Company's Policy on Quality Safety and Maritime Environmental Protection (SD-005) displayed and the content generally known by all crew?

Is the idea of "Quality Planning" known to senior officers?Are the company's Quality Objectives for the current year available and generally known by senior officers?

Is the Master's Overriding Authority clear to all officers?

"In the case of serious danger for ship safety and the maritime environment overriding authority is vested in the master and he is encouraged to disregard all rules and instructions which in his discretion are unsuitable to avert suc danger"

Are senior officers familiar with the further content of HB-002?

QSE Procedures

C1 - Documentation

Are System Documents controlled? Are System Documents in the hardcopy manuals up to date (including Table of Content)?Are electronic System Documents up to date?Are the most recent System Forms in use?(DP-C1-02)ISM-1.2.2/1.2.3/3/12.2/ HB-002

Are Emergency Response Manuals/ Plans available? (Bridge/ Deck Office + Emergency Towing Procedures at forecastle)(DP-C1-01)ISM-8/ HB-012/013

Are "Other Documents/ Publications/ Data" up to date?-Document Masterlist-Nautical Publications-individually issued publications(DP-C1-03)ISM 1.2.3/ HB-002

Are circulars and other information letters treated as per procedure?Are hardcopy and electronic copy files up to date?(DP-C1-04)ISM-11/ HB-001

Are records controlled as per procedure?(DP-C1-05)ISM-11/ HB-001

C2 - Safety

Is the Safety Officer appointed by the Master?Does the Safety Officer have direct access to the master and does he know that he has the right to directly access DPA/DMR/ Expert for occupational Safety?(DP-C2-02)ISM-1.2.2/1.2.3/ HB-002

Are Safety Committee members appointed by the Master?Are (at least) monthly Meetings being held and minutes of meeting prepared/filed?Do they include-evaluation of Safety Officers reports-results of internal and external examinations-suggestions for improvement?(DP-C2-02)ISM-1.2.2/1.2.3/ HB-002

Is everybody aware that during Boat Drills the safety of crew is at all times paramount?(DP-C2-06)ISM-1.2.2.1/ 8/ HB-002/ 004/ 014

Are senior officers aware about procedures for safely carrying out rescue boat and life boat drills (including simulated launching)?(DP-C2-06)ISM-1.2.2.1/ 8/ HB-002/ 004/ 014

Are "Training Manuals" (Survival Manual, SOLAS Training Manual, Fire Operational Booklet) available at each mess room and each recreation room?Is the storage location indicated?Are the amended pages (vessel specific instructions/ inventories etc.) complete and correct?(DP-C2-09)HB-003/ SOLAS III/35; SOLAS II-2/15

Deck Department (specific)

Are Toolbox Meetings carried out and recorded for work planning (Toolbox-Meeting Workbook Deck)?Does the work planning include Accident Prevention/ use of PSE/ warning signs/ tagging-out/ protective clothing?Are Hot Work Permits issued if required?(If applicable:) Has adherence to the discussed been observed? (DP-C2-01)ISM 1.2.2/ HB-002/004/ SD-005

Are risks assessed/ reviewed as per procedure?(DP-C2-03)ISM-1.2/ HB-002

Are procedures for Enclosed Space Entries known?Is everybody aware what is and what might be an "Enclosed Space"?Are Enclosed Space Entry Permits issued?(DP-C2-04)ISM 1.2.2/ 1.2.2.1/ 7/ HB-002/004/008/010

Are procedures for working aloft and outboard known?Is everybody aware what is "Working Aloft/ Outboard"?Are work permits issued and ratings instructed accordingly?Do superior officers know they have to check that instructions are being followed?(DP-C2-05)ISM-7/ HB-008

Engine Department (specific)

Are Toolbox Meetings carried out and recorded for work planning (Toolbox-Meeting Workbook Deck)?Does the work planning include Accident Prevention/ use of PSE/ warning signs/ tagging-out/ protective clothing?Are Hot Work Permits issued if required?(If applicable:) Has adherence to the discussed been observed? (DP-C2-01)ISM 1.2.2/ HB-002/004/ SD-005

Are risks assessed/ reviewed as per procedure?(DP-C2-03)ISM-1.2/ HB-002

Are procedures for Enclosed Space Entries known?Is everybody aware what is and what might be an "Enclosed Space"?Are Enclosed Space Entry Permits issued?(DP-C2-04)ISM 1.2.2/ 1.2.2.1/ 7/ HB-002/004/008/010

Are procedures for working aloft and outboard known?Is everybody aware what is "Working Aloft/ Outboard"?Are work permits issued and ratings instructed accordingly?Do superior officers know they have to check that instructions are being followed?(DP-C2-05)ISM-7/ HB-008

Catering/ Accommodation (DP-C2-08)

Is on-signing catering personnel instructed on "Food Safety" procedure? (Form SF-E2-08 and entry into Deck Log Book)

Is food stored in a way to avoid harmful spoilage and ensuring protection against contamination?

Are cooling requirements known as well as the terms "Best Before Date" and "Use By Date"?

Are procedures for heating and warm keeping as well as defrosting of food known to the catering personnel?

Is catering personnel aware about hygiene requirements?Are disposable paper towels available at toilet and in galley?Is the work place being kept tidy and organised in a hygienic way?Is it clear that "Swedish Tables" are not acceptable?

Are galley/ pantries/ mess- and recreation rooms/ provision stores/ crew's accommodation spaces weekly inspected and is the record being kept on form SF-E2-08 accordingly as well as in the deck logbook?

C3 - Vessel Operation/ Cargo/ Communication

Are procedures about regular communication methods between vessels and office known to all officers?Are reporting requirements (monthly/ quarterly) known?Is it known that all regular communication must go through the master?Is it known that IMECS maintenance reports re to be entered latest 48 hours after maintenance has been carried out and that only unexpected findings should be reported in the "findings" section/ that deficiencies discovered during maintenance should be entered into the "Component Deficiency" Tab?(DP-C3-01)ISM-7/ HB-008

Is it known to all officers that ONLY THE MASTER carries out communication with third parties as charterers/ agents/ authorities and that he can only delegate the communication in special cases while in port?Is it known that preferably Email should be used for communication and that in case telephone was used for communication the items agreed should be summed up and confirmed by email on a later stage?Is it known that the ship's cellphone should be used for outgoing calls only charging the causer for the incurring costs?Is it known that type and frequency of messages and reports to the charterer and his representatives as laid down in charterer's instructions are to be followed and that all messages to charterers should be copied to BBG operations department?(DP-C3-02)HB-008

Are responsabilities and tasks for cargo operations as per procedure clear to Master/ Cargo Officer/ Officer of the Watch/ Engineer of the Watch?Is the "Ship to SHore Safety Checklist" worked through and filed?Are records of cargo operations/ information being kept?(DP-C3-03)HB-008

Are procedures for the cargo treatment and supervision known to Master and Cargo Officer?(DP-C3-04)HB-008/ IMSBC Code/ IMDG Code

Are procedures about supervision of condition and stock of items which are are Charterer's property known to all senior officers?(DP-C3-04)HB-008

Are procedures about the care of hatch covers known to all deck officers?Is it known that operation of the hatch covers is only allowed in the presence of the officer of the watch taking due care of all safety precautions and observing the perimeter?Are drain ipes secured against clogging prior tocargo operations and cleared when preparing for sea?

C4 - Vessel Handling

Are procedures about watch keeping on Bridge/ Deck/ Engine known to all officers and watch keepers?Is a watch plan available and displayed?Are watch instructions issued by the head of department?Do bridge watch keeper undergo an alcohol test upon commencement of the watch and is it known how to respond to impaired personnel?Is it clear that the bridge must be manned at all times in accordance with the rules?(DP-C4-01)ISM 7/ 1.2.2/ HB-002/ 008/ STCW Code/ SOLAS/ RLM 300/ MLC

Are senior and nautical officers aware about the procedures of voyage planning?Is voyage planning carried out berth to berth?Are up-to-date nautical publications available?(DP-C4-02)HB-002/ 008/ SOLAS

Are responsibilities in regard to the procedures for arrival and for departure known to all officers - especially the internal reporting requirements?Is the master aware about the "No Go Situations"?Are checklists in use laminated and being completed with non-permanent pen?In case of amendments - are the forms signed by the head of department?(DP-C4-03)HB-002/ RLM 300

Are procedures for the external Oil Transfer known and adhered to?Are the relevant Checklists being filled and filed as well as all other documentation regarding bunkering/ sludge disposal etc.?(DP-C4-04)ISM 8/ HB-010/ SOLAS/ MARPOL

Are procedures for the internal oil transfers known and adhered to?Are checklists (SF-E4-05) issued and filed accordingly?(DP-C4-05)ISM 8/ HB-010/ SOLAS/ MARPOL

Are Master and nautical officers aware of anchoring procedure and do they adhere to the procedure?(DP-C4-06)ISM-5/ HB-002/ SOLAS

Are maintenance procedures and responsibilities known to master/ chief engineer/ chief officer?Are carried out maintenance reported through the Planned Maintenance System in due time after execution?Is the amount of due/ overdue maintenance tasks reasonable?Are further maintenance tasks being discussed during Safety Committee - or Shipboard Management Meetings?(DP-C4-07)ISM-10/ HB-004/ HB-008

Number of overdue tasks in time of audit:

Are procedures and responsabilities for handling parts for repair known and adhered to?(DP-C4-08)HB-008

Are procedures regarding EDP equipment known to Master?Does the Master ensure and verify (3-monthly) that no software except as instructed/ installed by shore based IT department is installed on the vessels workstations?Is the master aware that the Administrator's passwords are not to b passed to any crewmember?Is no private media stored/ saved on the vessel's computer system?Are user passwords fixed by the company's IT Department and remain un-altered?In case personal passwords are used for protection of individual files- are they securely stored in order to allow access in case of emergency?Is a virus scan being carried out regularly (minimum 3-monthly report to IT department)?(DP-C4-09)ISM-11/ HB-001/008

Are procedures about the navigation in restricted waters and in heay weather known to Master/ nautical officers/ engine officers?(DP-C4-10/11)ISM-1.2.2.1/ 7/ HB-004/ 008

Is a "final inspection" carried out prior to restarting a system (depending on nature of works) and/or is it clear in which cases a final inspection has to be carried out?(DP-C4-12)ISM-10/ HB-004/008

C5 - Purchasing

Are responsibilities and procedures for internal requisitioning known to Master/ Chief Engineer/ Chief Officer?Is it clear in which case direct purchasing is allowed?Is it ensured that there are not kept excessive amounts of stores/ spares on board?(DP-C5-01)ISM-3.1/ HB-007

Are procedures known and adhered to in respect of receiving inspections?Are incoming goods checked?Are services rendered checked?(DP-C5-03)ISM-3.1/ 8.3/ HB-007/ 012

Are the storage areas/ stores/ provision chambers kept in accordance with the procedure?- dedicated storage areas- storage avoiding spoilage of goods (including organisation per use-by-date)- storage of hazardous items in a safe way and location- Material Safety Data Sheets wher hazardous materials are stored (chemicals/ paints)

C6 - Human Resources

Are procedures for the use of a working language adhered to?- working laguage recorded into the log book- all crew understands the working language- is all written communication/ instruction/ information display etc. in English(DP-C6-01)ISM-6.6/ HB-002/ STCW

Is the complaint procedure known to each seafarer? Are responsible persons aware of their responsibility? (Master/ Second Officer/ Second Engineer)Has each seafarer received a copy of the complaint procedure along with the complaint form (SF-E6-03)?(DP-C6-03)MLC 2006

Is every on-signing seafarer (including the Master) familiarized with the ship and its safety equipments/ installations as per checklist?Is the checklist duly signed and filed?Does each seafarer receive a copy of his function description and other QSE Douments?Are non-crew onsigning persons familiarised?Is familiarisation of watch keeper and taking over of watch keeping duty recorded into the deck logbook (as well as instruction of catering personnel and non-crew)?(DP-C6-04)ISM-6.3/ HB-003

Is it ensured that each seafarer has sufficient Rest Time in order to avoid fatigue etc.?Are the rest hour records up to date/ duly signed?Do heads of department plan the day's working times in advance taking due consideration of watchkeeping periods/ maneouvres etc.)Are the rest hour regulations clear to all officer ranks?Are requirements/ procedures for the deviation from rest hour regulations clear?Are the tabe of shipboard working arrangements and an upto-date watchplan displayed?(DP-C6-05)MLC 2006

Are trainings and drills carried out as per procedure?Do cadets keep their training record book which is regularly checked by the responsible person/ head of department?(DP-C6-06)ISM-8/ HB-003/013/ MLC

Are weekly training sessions being carried out and recorded into the deck logbook?(DP-C6-06)ISM-8/ HB-003/013/ MLC

Are Drills and Exercises carried out as per the requirements?(DP-C6-06)ISM-8/ HB-003/013/ MLC

Is the turnover of command of Master/ Chief Officer/ Chief Engineer documented through a system form *SF/E6/07 A-C?Does the Master carry out a System Review?Is handing over of command procedure on bridge between watch keepers and nautical officers/ Master?(DP-C6-07)ISM3.2/ HB-002

Are responsibilities and procedures for the appraisal of personnel on board known and adhered to?- quarterly appraisal of shipboard staff except Master and Chief Engineer- appraisal criterias within the procedure are known to appraisers(DP-C6-08)HB-003

Is the procedure regarding Drug- and Alcohol Abuse known to all seafarers?Is the Company's Policy displayed?Are measures to be adopted in case of violation known to the senior officers?- two senior officers as wittness- respective test to be carried out and phtographic evidence (of test) to be collected(DP-C6-09)ISM-1.2.2/ HB-002/ 004

Is the Master aware that crew's requests for "seagoing dependants" have to be assessed and passed on by him?(DP-C6-10)

Is the shipboard management aware about the existance of the procedure regarding passengers?(DP-C6-11)HB-002

C8 - Monitoring and Measuring

Are internal technical surveys being carried out by ship's crew in form of the Condition Report (SF-E8-01-A) in March and Setember of each year?Is it clear that the condition "4" has to trigger immediate corrective action as well as an occurrence report?(DP-C8-01)ISM-7/ HB-008

Is any record available about the latest visit by the shore-based technical department/ superintendant?(Visit and Inspection Report SF-E8-01-B/ Superintendant's work list or similar)?(DP-C8-01)ISM-7/ HB-008

Are responsibilities and procedure regarding external technical surveys clear to Master and Chief Engineer?Does the shipboard management maintain the Validity of Certificates List SF-E8-02)?(DP-C8-02)ISM-7/ HB-008

Is the vessel's and engine operation being monitored and is operational data being recorded as per procedure?(DP-C8-03)ISM-7/ HB-008

Is Critical Equipment tested in regular intervals as required?Is the definition of Critical Equipment known to all officers?Do senior officers know how to extract a list of critical euipment from IMECS?Is it known that all safety equipment has to be kept in state of immediate operational readiness?Are records in PMS/ ship specific check lists available?(DP-C8-04)ISM-10/ HB-004/ 010

Is the procedure and responsibilities for the Inspection and Maintenance of Safety Equipment known to Master/ Safety Officer/ ENgine Officers?Are weekly/ monthly checks carried out and correctly recorded?Is safety equipment labeled and the date of last check amended?Is maintenance of safety equipment recorded in the PMS as well as in the Deck Logbook?(DP-C8-05)ISM-10/ HB-004/ 010

Is the procedure regarding Environmental Protection known to all crew?Is everybody aware that the protection of the marine environment is of utmost importance?(DP-C8-06)ISM-1.2.2/ HB-010

Is the company's Environmental Program available?

Are the Environmental Targets known to key personnel?

Is it known to ship's officers that all items which are not ready for use have to be secured against unintended use like i.e. unchecked goods/ supplies/ spare parts; worn out items?Is it known to all that faulty equipment/ equipment during works on equipment are to be tagged out as well as isolated from power sources etc. in order to avoid unintended use?(DP-C8-07)ISM-10/ HB-009

Are measuring devices which need to be supervised recrded in the Measuring and Monitoring Device List? (SF-E8-08-A)Are measuring devices regularly controlled and do they have a Measuring Device Card? (SF-E8-08-B)?(DP-C8-08)ISM-10/ HB-009

C9 - Control/ Improvement/ Audits

Is everybody aware that a defect/ deficiency/ error has to be reported to a superior?Does the Master know his responsibility for properly analysing/ processing/ following up of defects/ deficiencies/ errors and his reporting requirements?Is the reporting of defects within the Planned Maintenance System known?(DP-C0-01)ISM-8.3/ HB-012

Are the definition of Occurrences and the reporting requirements clear for al senior officers?Are reporting requirements clear to all shipboard staff?Are Occurrences reported to the company and proerly followed up?(DP-C0-02)ISM-8.3/ HB-012

Are responsibilities regarding Internal Audits knwon on board (Master regarding observation of due dates and reporting of findings by occurrence reports/ all crew regarding full cooperation)?Is it known that the period between internal audits is not to exceed 12 month?Is it known that the Flag STate may extend the 12 month to maximum of 15 month keeping the next due date as last?(DP-C9-03)ISM-12/ HB-011

Is the latest Management Review available on board and known about by Senior Officers?(DP-C9-04)ISM-12/ HB-001/010

ISPS

Is the objective of ISPS known?- establish an interational framework against security threats affecting ships or port facilities- establish roles and responsibilities of the Contracting Governments- ensure early and effiicient collection and exchange of security related information- provide a methodology for security assessments so as to have procedures to react to changing security levels- to ensure that adequate and proportional maritime security measures are in place

Are the principles clear?(Only authorized persons/ objects/ can come on board. Ship and special areas are continuously monitored. Everybody is attentive and aware of security. Violation of security results in consequences.)

Do Officers know about the functional requirements?- gathering and assessing security information and exchange of information- maintaining communication protocols- preventing unauthorized access to ships/ port facilities and their restricted areas-preventing the introduction of unauthorized weapons/ incendiary devices or explosives to ships or port facilities- providing means for raising the alarm in reaction to security threats or incidents- trainings and drills to ensure familiarity with procedures

Is the applicability of the ISPS Code knwon?- Passenger Ships including High Speed Passenger Craft- Cargo ships of 500 GT and more- Mobile offshore drilling units (MODU)- Port facilities serving such ships engaged on international voyages.

Are the different Security Levels known to all crew?(SSP 3.2.1)

Is it known who sets the security level for the ship?(SSP 3.2.2)

Is the "Master's Ultimate Authority for the Ship" known to all crew?(In case of a conflict between Safety and Security it is always Safety First)(SSP 2.3)

Is the Ship Security Officer appointed by the company?(SSP 2.2)

Do SSO and his Deputy possess the SSO-certificate?

IS the SSO fully conversant with the SSP as well as with his duties?(SSP 2.2)

Does cooperation with PFSC's take place?(Exchange of information/ agreeing on measures etc.)

Are Declarations of Security (DoS) regularly prepared and filed and has the SSO/ Deputy sufficient knowledge of the DoS including circumstances on when to issue a DoS or how to handle requests for a DoS?(SSP 3.2.4)

Does the company provide sufficient support to the SSO?

Is confidentiality of SSP/ SSA/ Security Records understood including circumstances (clear grounds) when PSC Officers may request disclosure?

Are procedures to control the access to the ship in place?(Gangway watch)

Are procedures to control the access to restricted areas in place?(Locking/ sealing/ manning of restricted areas without interfering with access/ escape in case of emergency)

Does the SSO have access to inventories of Dangerous Domestic Substances?(Paint Locker Inventory/ Chemical Inventory including storage location of substances)

Is the CSO for this vessel appointed/ declared?

Is personnel with specific security duties adequately trained/ instructed/ familiarized?

Has personnel participated in Security Awareness Training?

Are records of the last SSA available?(complete with CSO signature)

In course of the internal audit a SSA-review has been carried out. (SSA Review has to be carried out in course of each internal ISPS Audit!)

Documents/ Certificates

Approved SSP available?

CSR-file complete, including Amendments?

MLC

The items in this section are only related to MLC 2006 and not ISM/ ISO/ ISPS relevant.Following items have been checked with the Master (and evt.other senior officers) for knowledge and spot-checks have been carried out for compliance with the DMLC (including documentary evidence).(In case of non-compliance found this is to be mentioned along with an unchecked box)

Vessel is MLC certified.

1. Minimum age regulation and work/ employment conditions for young seafarers

2. Medical Certification

3. Qualification of Seafarers.

4. Seafarer's Employment Agreements.

5. Use of private recruitment and placing service

6. Hours of work or rest

7. Manning levels for the ship

8. Accommodation

9. On-board recreational facilities

10. Food and catering.

11. Health and safety and accident prevention.

12. On-board medical care

13. On-board complaint procedure.

14. Payment of wages.

Data

Controls

Date of last PSC

Place/ MoU:

Nr of deficiencies

Have all deficiencies been rectified?(If not please state the non-rectified deficiencies)

Date of last Flag State Inspection:

Nr of deficiencies

Have all deficiencies been rectified?(If not please state the non-rectified deficiencies)

Date of last internal audit (ISM):

Nr of Non-Compliance Notes:

Have all Non Compliances been dealt with?(If not please state the non-rectified)

Date of last internal audit (ISPS):

Nr of Observation Notes:

Have all observations been dealt with?(If not please state the non-rectified)

Date of last external audit (ISM):

Type of last external audit:

Nr of Non-Compliance Notes:

Have all Non Compliances been dealt with?(If not please state the non-rectified)

Date of last external audit (ISPS):

Nr of Observation Notes:

Have all observations been dealt with?(If not please state the non-rectified)

Date of last external audit (MLC):

Nr of Non-Compliance Notes:

Have all Non Compliances been dealt with?(If not please state the non-rectified)