ShipboardSEKUR HOLDINGS INC.SQ&E Management System ManualDate of Issuance : JUNE 2003Issued by : SQMRevision No. : 1/MAR 05Approved by : Managing DirectorChapter No. : 12Ch.12 Form No. SQM 2Vessel:Date:VESSEL INTERNAL AUDIT CHECKLIST1. Shipboard Audit GuideRef.Audit CheckCommentsMandatoryISMC 2COMPANY OBJECTIVES AND POLICYISMC 2SMS in operation for at least 3 monthsISMC 2Familiarity with Company objective & policyISMC 3COMPANY RESPONSIBILITIES AND AUTHORITYISMC 3.2Organization chart and interrelations onboard, and different types of ship-shore interrelationsISMC 3.2Job description and/or responsibilities and authorities, shipboard personnelISMC 3.3Adequate resources and shore based support providedISMC 4DESIGNATED PERSONISMC 4Designated person (DP) knownISMC 4Familiarity with DP role/purpose ("safety valve")ISMC 4Description how to be contactedISMC 5MASTER'S RESPONSIBILITY AND AUTHORITYISMC 5.1.1Evidence that Master is aware of his full responsibility for implementation and maintenance of the SMSISMC 5.1.2Ongoing motivation of crew, as described in SMSISMC 5.1.3Evidence that duties delegated to officers under his command are issued in a clear and simple way as described in SMSISMC 5.1.4Master's verification according to company procedures, including the formal verification of different log books; e.g.- Deck- Oil / Cargo record book- Engine- Training record bookISMC 5.15Master's review carried out according to company procedure (at least annually)ISMC 5.2 SOLAS V/10-1Masters awareness of overriding authority and responsibility to make decisions w.r.t. S&PP, and to request Company assistance if necessaryISMC 6RESOURCES AND PERSONNELSTCW 95 Reg V/1. V/2The Master holds an appropriate Certificate / endorsement, endorsement or documentary evidence for ship type (relevant for tankers and Ro/Ro passenger ships)STCW 95 Reg V/1. V/2The Officers and Ratings hold an appropriate Certificate / endorsement, endorsement or documentary evidence for ship type (relevant for tankers different types and levels, and Ro/Ro passenger ships different levels)ISMC 6.1.2SMS training of Master according to Company arrangement, Master found fully conversant with SMSISMC 6.1.3Adequate resources and shore support availableSTCW 95 Reg A-VIII/15Watch schedules, drawn up in accordance with STCW, incl. posting where they are easily accessibleISMC 6.2 STCW Reg. 1/2.9, 1/14All personnel qualified according to national and international requirement (original certificates report onboard)STCW VI/12.1-VV 4.1 OCIMFIf applicable: Personnel concerned keeping certificate for survival craft, certificate for medical care, etc.SOLAS V Reg 13Manning complies with or exceeds the level required by the Safe Manning Document (or equivalent)SOLAS IV Reg 16The ship has appropriate certificated operator(s) for the radio installation. (In passenger ships one person assign radio-com. in emergency situations)STCW 95 1/9 - 1/14There is evidence indicating that officers and ratings have a regular medical examinationSTCW 95 A-VIII/1Records regarding hours of work and rest periods in accordance with STCWSMC 6.3 STCW Reg 1/14Familiarization prior to sailing first period on board, related to safety appliances and fire fighting equipmentSM 6.3 STCW 95 Reg 1/14Familiarization prior to performing relevant tasks related to ship arrangements, installations, equipment, procedures, characteristics etc.SM 6.4 STCW 78 II/2-14Master list of relevant Rules & Regulations & Guidelines. Availability onboard. Type of Training. Sufficient knowledge by Master and Officers.ISMC 6.5 STCW A-1/14Identified training needs and operating procedures onboard for new and existing crew (including SMS training/updating given and recorded)STCW A-1/14, A-1/14In service training for certification provided by defined personnel. (Only when company performs such training) (1 Aug. 1998)STCW A-I/6Training according to approved training program, including records.STCW 95 Reg IV 12The Officers acting as radio operator have a GMDSS CertificateISMC 6.6Relevant SMS information provided to ship's personnel in a working languageISMC 6.7 STCW 78 Reg II/2-14 11/4-16Communication. Designated crew members have a sufficient knowledge of EnglishISMC 6.7 STCW 78 Reg 1114.5 SOLAS Reg V/13.3On passenger ships a working language shall be established and recorded in the ship's logbookSMC 7KEY OPERATIONSReference is made to lists for Bridge, Engine and specific ship type lists, and to Auditor GuidanceSMC 8EMERGENCY PREPAREDNESSSMC 8.2 STCW I/14.5 SOLAS Ch. III Reg 18 MARPOL Annex 1 Reg 26 OPA 90Drills and exercises performed in accordance with SOLAS, MARPOL and OPA (if applicable) requirements and company programs.ISMC 8.3 MARPOL Annex I Reg 26An approved Shipboard Oil Pollution Emergency Plan (SOPEP) is available on boardISMC 8.3 Res, A.648 (16)Emergency plans covering Dangerous Goods (NLS) are contained in the SOPEP (or an alternative approved plan)STCW 95 4-1/14 2.1.2 MARPOL Annex I Reg 26Responsible personnel are familiar with emergency procedures, contingency manual, SOPEP duties, OPA etc.ISMC 8.324 hrs emergency preparedness available ashoreISMC 9REPORTS AND ANALYSIS OF NON-CONFORMITIES, ACCIDENTS AND HAZARDOUS OCCURRENCESISMC 9.1Reports, records kept related to all (real or potential) incidents pollution / rounding / collision, machinery failures, injuries, explosions, fire onboard during the past period including reporting to Flag/Port Administration and ClassISMC 9.2- non-conformity knowledge / understanding also to include nc's from internal/external audits, and CC's and CA's- reporting of non-conformities, accidents and hazardous occurrences- feedback from company on reports (including fleet)- corrective action completed (immediate and long term)ISMC 10MAINTENANCE OF THE SHIP AND EQUIPMENTISMC 10.1 SOLAS I/II SOLAS III Reg. 52Maintenance procedures, covering at least all items subject to class and statutory requirements. Maintenance records (any overdue / acceptable reasons)- Hull and superstructure steelwork- Safety Firefighting PP equipment- Navigational / Radio equipment- Emergency Communication equipment- Steering gear- Anchoring / mooring- Detection systems / alarms- Bilge and ballast pumping and separator- Waste disposal and sewage systems- Main and auxiliary machinery- Pipelines and valves- Cargo handling equipment- Inerting systems ()- P/V valves ()ISM 10.1System consists at least of:- Maintenance documentations/history/running hours etc.- Time intervals defined- Maintenance instructions- Filing / reporting systemISM 10.1If continuous machinery survey carried out by CHE; which areas covered; DNV Ch.E authorisation letter (sse Rules Pt7; Sl for extend of approval)ISM 10.2Schedule for inspections (shipboard staff and/or Superintendent)ISMC 10.2N/C reporting and follow up (ref. ISMC 9). Record keeping on these activitiesISMC 10.3Testing of critical equipment and technical systemsISMC 11DOCUMENTATIONISMC 11.2SMS Manuals- master lists- drawings, makers instructions, etc.- filing system- ship libraryUpdating, and authorization, last issued etc. of the aboveISMC 11.3 STCW Reg. 1/14 1.4Shipboard management manuals are relevant to the shipISMC 12COMPANY VERIFICATION, REVIEW AND EVALUATIONISMC 12.1Internal safety and pollution prevention audit report (at least annual), and prior to initial certificationISMC 12.3Handling and reporting of corrective actionsRecommendedICSInternal audit performed by independent personnelICS IMO Res. A482 (XII)Formal hand over notes used. Nav. Officer have attended on ARPA course (when ARPA fitted)APBS 2.7.1There is a designated ship's safety officer.APBS 2.6.2There are records indicating that Safety Committee meetings are heldAPBS 2.7.1The Company promotes a programme to improve safety awareness on boardSTCW 95 B-VII/2 5.35Company procedures detail the required period of abstinence from alcohol before watchkeepingSTCW 95 B-VII/2 5.35Company procedures detail the maximum acceptable alcohol level for any crew member during watchkeeping dutySTCW 95 Res 8.2A performance appraisal system for officers is in useOCIMFThe Company has a written policy on drug and alcohol abuse in a language understandable by the crewOCIMFThe Policy is displayed on board in a public placationOCIMFTesting of officers and ratings for drugs and alcoholOCIMFUnannounced and/or regular testing for alcohol and drugsOCIMFThere is an up to date inventory of drugs and medicines on board (mandator6y for NIS-ships)OCIMFCompany procedures prohibit the misuse of legitimate drugsOCIMFCompany procedures detail the on board alcohol distribution and consumptionOCIMFCompany procedures prohibit the use, possession, distribution or sale of illicit / unprescribed controlled drugsOCIMFA person is designated to take charge of medical care on boardOCIMFOperator sponsored training courses available to Officers (Bridge Management, etc.)OCIMFOperator sponsored training courses available to Ratings (Fire Fighting, etc.)IMGS Ch 17The medical locker is organized according to IMO / WHO / ILO guidelinesSALCON 89A Company manual contains guidelines to the Master on his responsibilities during a salvage operation on his own shipILO 92There is an up to date record of medical treatmentLOF 95A copy of the current Lloyd's Open Form - Salvage Agreement is available on board2. Bridge GuideRef.Audit CheckCommentsMandatorySOLAS II-I Reg. 28.3 BPG 3.17.2Maneuvering information is posted in the wheelhouseSOLAS IV Reg 12.4There is evidence that the Radiotelephone distress watch receiver is operational when at seaSOLAS V Reg 10.1Awareness of masters discretion for safety of navigationSOLAS V Reg 7.1.4The Navtex is operating on the appropriate station(s) for the ship's locationSOLAS V Reg 20Corrections up to date version of the following:- Radio lists- Charts- Sailing directions- Lists of lights- Notice to mariners- Tide tables- Other nautical publicationsSOLAS V Reg 19-2 fTesting of the steering gear before departure is recordedSOLAS V Reg 19-2 BPG 4.3.2Auto/manual steering changeover procedure is displayed on the bridgeSOLAS V Reg 19-2 BPG 4.3.2Emergency steering changeover procedure is displayed on the bridgeSOLAS V Reg 12b iiA magnetic compass deviation card/table is available on the bridgeSOLAS V Reg 20Charts available are appropriate for the intended voyageReg. 22Nav. Bridge visibility (min. 2 ship lengths / 500m)STCW 95 A-VIII/2 3-1/21 & 45There is a watch handover procedure. Standing orders issued by the Master are includedSTCW 95 A-VIII/2 3-1 47More than one method of checking position was used in coastal watersSTCW 95 A-VIII/2 3-7Procedure for voyage planning berth to berthSTCW 95 A-VIII/2.5Procedure for use of navigation warnings in passage planning and during the voyageSTCW 95 A-VIII/2 3-1/24The position is checked at sufficiently frequent intervals to ensure that the ship follows the planned courseSTCW 95 A-VIII/2 3-1 23.3Exchange procedures for the Master to assume control from the duty officer are clearly defined.STCW 95 Table A11/1Knowledge of relevant legislation pertinent to navigational dutiesSTCW 95 Table A11/2 3-1.33Navigation equipment is checked prior to departure during voyage and before approaching coastal and congested waters and entering portSTCW 95 4-1/14.2Instructions and procedure for familiarization in respect of bridge equipment, publications and proceduresSTCW 95 4-VIII/2 3-1 .33A record of navigation equipment checks and findings is made in the ship Log BookSOLAS V Reg. 8-1Awareness of established ship reporting systems (certain geographical areas)STCW 95 A-VIII/2 3-1.29The watch officer has unrestricted access to navigation systemsSTCW 95 A-VIII/2 3-1.29The watch officer has unrestricted access to communication systemsSOLAS V Reg.17Procedure for pilot boardingSTCW 95 A-VIII/2 3-1.29The watch officer has unrestricted access to use of the enginesSTCW 95 A-VIII 3-1.49-50Master / pilot information exchange procedures are in useSTCW 95 4-VIII/3-1. 49Ship maintains full navigation procedures when the pilot is on boardSTCW 95 4-VIII 12 3-1.34.2Magnetic and gyro compasses are compared at least each watchSOLAS V Reg 10Procedure and obligations when receiving distress messagesSTCW 95 A-VIII/2 3-1.34.2Compass error observations are carried out at least once a watch and, when possible, after any major alternation of courseSAR Conv.Obligation in relation to SAR operationsSTCW 95 A-VIII/2 3-1 21.5.2131A record of compass errors is maintainedRecommendedSTCW 95 B-VIII 12 3-1 4There is a detailed navigation proceduresSTCW 95 B-VIII/2 3-1/5.1Basic watch conditions are definedSTCW 95 B-VIII/2 3-1 .4Guidance on proper bridge procedures are issued and prescribedICS BPGEmergency check list postedICS BPGThe master has established his own bridge standing ordersICS BPGThe duties of the watch officer are clearly defined in the bridge proceduresICS BPGBridge check list postedICS BPGBerth to berth (during an in-port movement)ICS BPGIntervals of position fixing are clearly defined within the passage planICS BPGThe depth finder is operated when making a landfall and in coastal watersICS BPGThe Navtex is programmed to receive navigation warnings and weather forecastsICS BPGTesting of astern propulsion before entering port is recordedICS BPGThe ship has guidelines/graphs regarding squatSOLAS V Reg 8Ship's Routing including adopted traffic separation schemes (as amended)IMO GMDSS Handbook Annex 8-12GMDSS operating guidance for Master's of ships in distress situations is displayed on the bridge (GMDSS ships only)ICS/ISFPre-departure checklistMandatoryICS/ISFPre-arrival checklistICS/ISFNavigation in enclosed waterICS/ISFNavigation in restricted watersICS/ISFOperation in heavy weather3. Engine GuideRef.Audit CheckCommentsMandatorySOLAS V Reg. 19-2 " (i)Changeover procedures for the emergency steering gear are clearly displayed in the steering gear compartmentSOLAS II-1 Reg. 29.12.3Emergency hydraulic oil storage tank is fully chargedSOLAS II-1 Reg. 29.13.1Access to the steering gear is unobstructedSOLAS V Reg. 19-2 " (ii)Officers are familiar with the operation of the steering systemsSTCW 95 A-I/14 2.1.2Familiarity with machinery and proceduresSTCW 9 A-VIII/2 3-2.61Duties of the watchkeeping engineers are clearly defined (Standing Orders)STCW 95 A-VII/12 3-2.61Minimum watchkeeping requirements are defined (Standing Orders)STCW 95 A-VIII 3-2.61.4All members of the engineering watch are familiar with the operation of the machinery space fixed firefighting system, portable firefighting equipment and shut down'STCW 95 A-VIII/15Watch schedules for duty engineers are postedRecommendedISGOTT 2.8.7 APBS 13.5Safety guidelines are available for use with electric welding equipmentISGOTT 13.3Spare gas and oxygen cylinders are stowed and secured apart in a well ventilated position outside the engine room and accommodationISGOTT Appendix 15When in port, the machinery space oily-water separator / oil filtering equipment overboard discharge valve(s) is closed and securedAPBS ILO 1.5.2Suitable hazard/warning notices are posted in the engine roomILO Conv. 170Engine room chemicals are safely stowed in a well-ventilated area, including datasheet etc.ILO Conv. 170Suitable protective clothing is available for hazardous jobsICS/ISF ISM GuidelinesProcedure for bunkering operations4. Lifesaving, Fire Safety, Security,Emergency Preparedness GuideRef.Audit CheckCommentsMandatorySOLAS III Reg. 19.6Weekly tests and inspection of life saving appliances including general alarm systemSOLAS III Reg. 19.7A report of a monthly inspection of the life-saving appliances is recorded in the log-bookSOLAS III Reg. 18.4Records of training and instructions in the use of life-saving appliances and fire-extinguishing appliancesMARPOL 73/78 Protocol 1Reports to authorities on incidents involving harmful substancesMARPOL Annex V Guideline 4.3Company procedures for the collection and disposal of garbage are available on board including Garbage Record Book (dep. on flag)MARPOL Annex V Guideline 4.3There are facilities on board for the separate collection of different garbage categories (plastics, food wastes, other garbage) (depending on flag)MARPOL Annex V Guideline 4.3Personnel are aware of requirements for the collection and disposal of garbage (depending on flag)MARPOL Annex IVSewage system / operation (depending flag)STCW 95 A-1/14.2.1.2Officers are familiar with the operation of the cargo area fixed fire fighting system(s)RecommendedISGOTT 4.8.2Areas where smoking is permitted are clearly markedISGOTT 2.2-4.8.1Smoking procedures are clearly displayed in a public locationISGOTT 4.10.2There is a Company procedure to prohibit the use of portable non-intrinsically safe equipment in hazardous areasISGOTT 5.1.1-5.2.1Bunker loading and transfer procedures are readily availableISGOTT 18.7-18.8There are procedures covering the use of oxygen meter(s) for personal useISGOTT 4.8Normal smoking procedures are being complied with by personnelISGOTT 4.10.2The use of portable non-intrinsically safe equipment in hazardous areas was NOT observed during the inspectionISGOTT 4.6.3 6.5.4Lighting on deck is in an operational conditionISGOTT 11Special procedure for entry into enclosed spacesISGOTT 2.8Procedure for hot work availableISGOTT 4.12Work on pipelines and pressure vesselsISGOTT 4.12Working aloft or outboardISGOTT 4.12Working on electrical circuitsAPBS 17.5Working with asbestos (asbestos is totally forbidden by some countries)ISGOTT 9.12-13.2.10-14.4Small craft alongsideILORequired personnel protection equipment in use as intendedAPBS 21.1.15 ISGOTT 4.6.3-6.5.4Lighting in and around accommodation, in machinery spaces and all other working areas is in an operational conditionAPBS 8 ISGOTT 4.6The gangway accommodation ladder is safely riggedISGOTT 4.1.4Tanker and Terminal Safety procedures have been agreedICS/ISFActions when in high risk areasISM GuidelinesActions in the event of terrorists boardingISM Guidelines IMO Res. A738(18) MSC/circ. 622Actions to prevent piracyISM GuidelinesActions when at anchorISM GuidelinesActions when alongsideISM GuidelinesRequirement to carry out searches of the shipISM GuidelinesActions in the event that foreign objects are found on boardISM GuidelinesActions in the event that stowaways are found on board5. Deck and Ballasting Operation (excl. Cargo) GuideRef.Audit CheckCommentsMandatorySOLAS II-1 Reg. 25-10-3Securing of closing appliances for openings in the shell platingRecommendedICSBallast operation, stabilityOCIMF Mooring GuidesThe Company has procedures on safe mooring which reflect industry standards (including Single Point Mooring if applicable)OCIMF Mooring GuidesThere are sufficient crew available to safely moor the ship (min. crew onboard)OCIMFAll mooring lines are correctly spooled on mooring drumsISGOTT 3.2.3Anchors are cleared for use when entering portISGOTT 7.5Ballast operation, pollution preventionSSSCLWhile in port, ship's staff maintain a regular inspection of the moorings and accommodation ladderAuditorSQM

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