INTERNAL AUDITS

Explanation of our Expectations

and Schedule onboard the vessel

Capt. Randhir Mahadik

Manager, S & Q
Fleet Management Ltd
Why are Internal Audits
Important ?
„ To ensure conformance with requirements
„ To determine the effectiveness of the QMS
„ To detect & correct non conformities
„ To identify training needs
„ To provide unbiased facts to management
„ To highlight strengths as well as weakness
„ To identify areas for improvement
The last point is very important
An Auditor Should Be:
„ Ethical, i.e fair, truthful, sincere, honest & discreet;
„ Open – minded, i.e. willing to consider alternatives ideas or
points of view;
„ Diplomatic, i.e. tactful in dealing people;
„ Observant, i.e. actively aware of physical surroundings and
activities;
„ Perceptive, i.e. instinctively aware of and able to understand
situations;
„ Versatile, i.e. adjusts readily to different situations;
„ Tenacious, i.e persistent, focused on achieving objectives
„ Decisive, i.e reaches timely conclusions based on logical
reasoning and analysis; and
„ Self – reliant, i.e. acts and functions independently while
interacting effectively with other
Audit Process
Prior Boarding Vessel
„ To go through the vessels previous records (Last
QHSE, VIR, PSC History), discuss with Capt. Sathya
or Capt. Randhir (in the absence of Capt. Sathya).
„ Inform Group Head, take their consent prior
proceeding ahead. In addition, please talk to him to
discuss important issues, if any prior boarding.
„ Send a standard preparatory message to the vessel
at least 3 days in advance.
„ Liaise with Travel Desk for your Flight Booking and
agents arrangement.
 Upon Boarding Vessel
„ On boarding the vessel kindly meet the master and
appraise him of your purpose of visiting the vessel.

„ Please put him at ease and try to convince him that you
are not on a fault finding mission but you are there to
ensure that all procedures and systems are in place.

„ The master will be more likely to co-operate with you

and not hide things if he is convinced that the audit will
achieve the common goal of a safe ship with nil
deficiencies being pointed out by external inspectors
Audit Activities – On Site..
„ Conduct opening meeting.
„ Set up audit plan.
„ Collect & verify information.
„ Prepare audit report .
„ Conduct closing meeting.
„ Follow up as required.
Opening Meeting Agenda
„ Introduction.
„ Scope & Operations.
„ Basis of Audit.
„ Timetable basis Work Hours and Rest hours.
„ Explain procedure of closing meeting.
„ Procedure of reporting Non – Conformities , findings.
„ Time of Closing Meeting.

The opening meeting is where you secure the

cooperation of the auditee.
Interview Method at each
Work Place / With Each
Individual
„ Relaxing people.
„ Adopting a friendly but professional
approach.
„ Reinforce the audit is not a personal
appraisal, but a system check.
„ Explain your questions and why you are
asking them.
„ Give people time to answer your questions.
Time Frame for Audit /
Individual
„ Master – Cert & Surveys / STCW
Certificates / Masters Filing System – 3
Hours
„ Chief Engineer & Other Engineers –
Filing System / Oil Record Book / E-12
/QMS-67 / BDN / QMS-46 / QMS-71 /
NoX File / Rest Hours / Work Permits,
etc – 3 to 4 Hours
 Time Frame for Audit
/Individual, Contd….
„ Chief Officer – Cargo Operations,
Work Permits, Rest Hour, Calibration
History, Ballast Tank Inspection, Cargo
Gear, etc – 2 Hours.
„ 2nd Officer (Navigational Audit –
Static) – 3 to 4 Hours
„ 3rd Officer – LSA / FFA Paper Work,
Physical Inspection – 4 Hours
 Time Frame for Audit
/Individual, Contd….
„ Interview Few Crew Member at random
regarding SMM procedures and their
understanding of the same.
„ Physical Inspection of Main Deck /
Engine Room, LSA / FFA, MARPOL – 1
or 2 Day’s (Basis the condition of
the Vessel).
Marpol Audit – Physical
Inspection
„ Check Sealing of Valves and Flanges,
take a few numbers at random and
verify against entries in Marpol Log.
„ Tagging of Hoses – Same as above
„ Possibility of Testing the OWS keeping
the overboard valve shut.
„ If above not possible, then Simulation
Test.
Marpol Audit – Physical
Inspection, Contd…….
„ Physical Testing of OWS in various
combinations to verify whether it can be
tricked or not?
„ Sealing of Sampling Line Valve in Open
Position.
„ Details will be explained in the Marpol;
Audit Presentation
Underway Navigational
Audit
„ This process will start upon beginning
of the voyage (SBE) and complete at
the end of the Voyage (FWE).
„ Details of the Audit will be covered
separately
 Testing of Emergency
Equipment
The List includes but not limited to the
following:

„ Aux Eng Trips / Main Engine Leak Off Alarm.

„ Oil Mist Detector.
„ Correct and tight fitting of double sheathing on
high pressure fuel line to Aux. Eng and Main
Engine.
„ CO2 alarm.
„ Functioning & starting of Emergency Generator
on both independent batteries.
 Testing of Emergency
Equipment, Contd……
„ Functioning of Emergency Fire Pump.
„ Life boats engine starting.
„ Functioning of Emg. Batteries.
„ Boiler trips.
„ Operation of Quick closing valves
„ Functioning of Emg. Compressor.
„ Emg. Lighting.
„ Emg. Suction valve and high level alarm.
„ Functioning of ventilators closing and fire flaps
including of Engine room.
Training
„ Safety Culture & Work Permits (Practical).
„ SCBA / EEBD / ELSA
„ L/B – Launching and On Load Release
„ L/Raft Launching (Hydrostatic Release)
„ Gas Detector / O2 Analyzer
„ Risk Assessment and Management of Change
„ Co Min Standards / Co Marpol Compliance Program
„ Heavy Weather / Cold Weather Precautions
„ Company Policies / SMS Procedures
„ Navigational Aspects
Drills
„ Lifeboat
„ Fire
„ Helicopter Operations
„ Collision / Grounding / Major Fire – Any One
„ Enclosed Space Entry
„ Hot Work
„ Working Aloft
„ Electrical Isolation
 Safety Meeting
„ Discuss the company policy and initiatives
for ensuring personal safety and safety of
environment
„ Brief the crew about the company’s zero
toleration policy to Marpol violation
„ Incidents & Near Misses
„ Incident Free Operation and Incentive
Scheme
„ Encourage an open discussion and allow all
crew to give their opinion feed back
Identifying Near Miss &
Best Practice
„ As many as Near Misses to be identified by the
Auditor during the stay on board and initiate same on
the PARIS, discuss the same in the safety meeting
and corrective actions out in place so that it is not
repeated again.
„ Best Practice, if any to be identified, ship staff
praised for it in the safety meeting and relevant
documents / photographs to be brought and
submitted to Capt. Sathya for including in the best
practice booklet and subsequent implementation on
board our other vessels.
 Marpol Declaration
„ Make the entry in the first page of the
deck log book and get it signed by CE
and master.
„ Interview each and every Crew Member
individually (5 to 10 Minutes each),
explain to them what is written in the
declaration, ask them questions (Marpol
and General) and get their signature.
Review of Findings
„ At conclusion of interviews & physical
verification of procedures, review your
findings and prepare NCNs,
observations & other records for the
closing meeting.
Reporting of Findings
„ If there are any Major Issues which could
cater for a Series of CODE 17, CODE 30 or
Major Non-Conformity, then the Auditor
should call Self or Capt. Mayank or Capt.
Karandikar (in the order mentioned).
„ If the vessel needs immediate attention, then
we shall discuss this In-House, Owners and
stop the vessel to carry out necessary repairs.
Writing of NCN /
Observation Note
„ Will be explained during the 2 Day
Internal Auditors Course on 18 / 19
November 09.
 Closing Meeting
„ Thank the auditee- Say something good e.g
Cooperation- Set the constructive tone for the
meeting.
„ Restate – Objective , basic scope
„ State conclusions
„ Invite comment
„ Agree follow up ( If any)
„ Remember we are all proud of our work try to
leave people feeling good, but with room for
improvement.
Common Audit Findings
/ Concerns
Audit Report
Audit Report
Audit Report
 Ship Certification
Major Concerns
„ Wrong entries Imo number instead
of Call sign

in certificate
„ Certificated
not valid.
„ Unavailability
of certificates
on board
 Ship’s Logs &
Documentation
Major Concerns
„ Wrong entries in
record book
„ Valid publications
not on board.
„ Entries missing in
log books
 Management & Personnel

Major Concerns Before

„ Staff not aware of entering
enclosed
company policies. space I' will
fill up
„ Rest hours records hmmmmm
m!
not maintained. I FORGOT
 Master’s Responsibility
Sorry I can’t find Last
Major Concerns internal audit Report

„ Poor
Recordkeeping/
Filling system
„ Responsibility
under ISM code .
 Health, Safety & Pollution
Prevention
Major Concerns
„ Poor maintenance of LSA/ FFA
„ Permit to work system not followed.
„ Inadequate maintenance
„ Unsafe Practices
„ Poor housekeeping
 Emergency Preparedness

Major Concerns
„ Unsatisfactory drills
„ Not aware of
operating
procedures of
safety equipment
 Navigation
Major concerns
„ Inadequate
passage plans
„ Inadequate
compliance of
bridge procedures
„ Poor record
keeping
 GMDSS & Communication

Major concerns
„ In operational GMDSS equipment.
„ Operators not familiar with GMDSS
equipment.
„ Relevant Admiralty & ITU publication not
on board or not updated.
 Cargo Operations

Major concerns
„ Unsafe cargo operations
„ Cargo gears not
maintained.
„ Improper cargo
documents.
 Chief Engineer's Responsibility

Sorry I can’t find Last Lub oil

Major concerns analysis Report

„ Poor
Recordkeeping/
Filling system
„ Responsibility
under ISM .
 Machinery Spaces

Major concerns
„ Poor Housekeeping
„ Inadequate maintenance
„ Inoperational Remote trips , Quick closing
valves.
„ Excessive oil leaks
 Portable Measuring Equipment

Major concerns
„ Equipment not on
board
„ Not calibrated
 Control of NCNs, Accident &
Incident
Major concerns
„ Corrective action not taken for NCN
„ Incident/ Near miss not reported.
„ Audits reports not on board
 Material Receipt & Inspection

Major concerns
„ Test certificate for ropes, wire , chains
etc. not asked from supplier.
„ Removal report not filled for item or
parts landed ashore.
 Training & Familiarsation

Major concerns
„ Inadequate on board
Training.
„ TOLAS not used for
training.
„ Familiarization training
not given to new
joiners .
Non conformity / Observation
note
THANK YOU