Procedure

Oldendorff Carriers

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Document and Data Control

1.

List of Contents

2.
3.
4.
4.1
4.1.1
4.1.2
4.1.3
4.1.4
4.2
4.3
4.3.1
4.3.2
4.3.3
4.4
4.4.1
4.4.2
4.4.3
4.5
4.5.1
4.5.2
4.5.3
4.5.4
4.6
4.6.1
4.6.2
4.6.3
4.6.4
4.6.5
4.7
4.7.1
4.7.2
4.7.3
4.7.4
4.8
4.9
4.9.1
4.9.2
4.9.3
4.9.4
4.9.5
4.9.6
4.10
4.11
5.
6.
7.
8.
9.
10.

Purpose
Responsibilities
Description of Routines
Control of the QSE System
Responsibilities
Manual Distribution and Control
Revision of the QSE System
Instructions and Standing Orders
Control of External Documents and Data
Procedures
Responsibilities
Purpose of a Procedure
Structure of a Procedure
Emergency Response Plans
Responsibilities
Purpose of Emergency Response Plans
Revision of Emergency Response Plans
Control of Records
Responsibilities
Record Keeping
Archiving of Records
Destruction of Records
Circulars
Responsibilities
Purpose of Circulars
Issuing of Circulars
Registration of Circulars
Control of Circulars
Shipboard Standard Filing System
Responsibility
Filing System
Location of Files
Removal and Storage of Files
Automatic Supply System
Electronic Data and Software
General
Data Security
Back-up Strategy
Data Storage
Data Disposition
Loading Computer
Work Instructions
Fleetmanagement Software
Remarks
Documentation
References
Revision
Distribution
Attachments

Approved:

Released:

Capt. C. J. Scharffetter

Capt. L. Meissner

Document: PR-QS-01
Date: 04.11.2014
Revision: 17
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Purpose
OLDENDORFF CARRIERSs Quality, Safety and Environmental Protection Management
System Manual (short: QSE Manual) contains all of th e documentation, which is important
for the safe operation of the ship. Accordingly this procedure describes the:

control of documents and data of the QSE-System,

control of documents and data outside the Scope of the QSE-System,

control of procedures, emergency plans, and other system documents,

control of records and circulars,

shipboard standard filing system,

automatic supply system,

information technology systems.

This procedure applies to all departments of OLDENDORFF CARRIERS including all ships.

3.

Responsibilities
The various responsibilities are described under the clause 4 of this procedure.

4.

Description of Routines

4.1

Control of the QSE System

4.1.1

Responsibilities
The Designated Person Ashore (DPA) is responsible for the control of the QSE Manuals and
the Emergency Response Manuals. The wording of the manuals may not be changed
without authorization of the DPA.

4.1.2

Manual Distribution and Control

The distribution of the QSE Manuals and the Emergency Response Manuals is d efined in
the form Fo-OF-05 Supervision of System Revisions.
All controlled QSE Man uals and Emergency Response Manuals are marked with a
registration number. All documents within the manuals are marked with document number,
revision number, and revision date.
Copies of single parts of the manuals (e.g. policies, procedures) are to be marked as
uncontrolled copy and must not be registered. Completed forms need no marking as they
are filed according to this procedure for the required retention period.

4.1.3

Revision of the QSE System

Revisions in a QSE System document are indicated by marking the altered paragraph in
italic. The new revision date is indicated and the revision status is raised by one.
The approval of revised QSE System documents is documented by the signature of the
authorised person (e.g. department head). After the release of the revised QSE System
document by the DPA, the relevant status of revision and tables of contents are updated.
The QSE Department then sends changing instructions together with copies of the revised
documents to the manual holders according to the above distribution lists.
The manual holders carry out the system revision in accordance with the changing
instructions and confirm this in writing to the QSE Department. Obsolete documents must be
destroyed. The Manual holders ensure that the revision is brought to the notice of affected
members of staff and that it is implemented immediately.

4.1.4

Instructions and Standing Orders

Documents e.g. instructions, standing orders etc. shall be reviewed and approved for
adequacy prior to issue by the responsible person. This is do cumented - especially on
documents, which are posted - by th e signature of the responsible person and the issue
date.

4.2

Control of External Documents and Data

The form Fo-QS-03 'List of Co ntrolled Documents' is kept on board ships to maintain and
control important external documents existing 'on site'. The officers designated as
responsible in the form Fo-QS-03 is responsible for the control of the individual documents.

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OLDENDORFF CARRIERS ensures that the ongoing maintenance of external documents

can be carried out by passing on Revisions / Amendments to the vessels using subscriptions
to nautical publications, Notices to Mariners, etc.
Through organisations such as t he Shipowner Association (VDR), Classification Societies,
Flag State Adminis trations etc. as well as the subscription to ma ritime publications,
periodicals, and newspapers, OLDENDORFF CARRIERS regularly receives information on
changing regulations and procedures. This information is evaluated and distributed to the
vessels by the QSE Department if necessary.
4.3

Procedures

4.3.1

Responsibilities
The QSE D epartment is responsible for the adoption of pr ocedures into the QSE Manual.
The department heads (vessel: master) are responsible for the availability of va lid
procedures at the places of work to ensure that personnel are able to identify their
competences and resulting tasks.
The department heads (vessel: master) brief the employees about the procedures. This
activity - but not the responsibility for it - might be delegated. Additionally the revision status
of the procedures will be checked periodically in order to find out if they are still valid.
If an employee finds out that the written procedure or the process itself must be improved,
he is encouraged to inform his superior or the QSE Department as soon as possible in order
to revise the procedure.

4.3.2

Purpose of a Procedure
A procedure establishes a systematic and approved process for the performance of a
project. A procedure is an important provision that the results of a process correspond to the
planning. The main purpose of a procedure is to assure that the processes fulfil the
requirements and objectives of the company. The compliance with the established
procedures is the basis for the assessment of the efficiency of the process.
Procedures help to minimise problems occurring when personnel change at a place of work.
Procedures contribute to perform the activities relevant for quality, safety and environmental
protection under controlled conditions and to minimise the risks noticeably. By optimising the
processes the effici ency of the acti vities described will be substantially increased in all
departments of our company.

4.3.3

Structure of a Procedure
Procedures as carr iers of information and instructions of the quality, safety and
environmental protection manual are structured as standardised as possible to ease reading
and understanding. Following structure is compulsory:
List of Contents
1.
Purpose
2.
Responsibilities
3.
Description of Routines
4.
Remarks
5.
Documentation
6.
References
7.
Revision
8.
Distribution
9.
Attachments
10.
Sections without contents are marked as not applicable. Copies of procedures made from
the QSE Manual have to be marked as uncontrolled documents.

4.4
4.4.1

PR-QS-01

Emergency Response Plans

Responsibilities
Basically, every member of s taff is responsible for the identification of emergencies. The
QSE Department coordinates the suggestions of personnel and prepares the Emergency
Response Plans and is a lso responsible for the ongoing editorial maintenance of the
Emergency Response Plans.
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4.4.2

Purpose of Emergency Response Plans

OLDENDORFF CARRIERS exploits every opportunity to minimis e the occurrence of
emergencies by executing routines under controlled conditions. Emergency Response Plans
are in operation in order to cover the residual risk and for dealing with potential emergency
situations identified by the company.

4.4.3

Revision of Emergency Response Plans

All personnel, especially Shipboard Management and the QSE Department, undertake to
critically scrutinise the Emergency Response Plans during manoeuvres and after
emergencies have occurred, with the aim of optimising them.
Emergency Response Plans are revised on the basis of the experience gained in using them
or on account of changed circumstances.

4.5
4.5.1

Control of Records
Responsibilities
The head of the respective department, on board the Master, is responsible and accountable
for controlling records. This responsibility may be delegated. Records will be kept to fulfil
legal requirements and to guarantee the necessary traceability of proc esses performed by
the company.

4.5.2

Record Keeping
To the greatest possible extent records will be kept with the aid of forms, books etc. or
electronic data media, legibly and always complete with date, signature, initials etc. Each
record is so lab elled that it can be definitely related to a particular process or to a specific
object.

4.5.3

Archiving of Records
On board the ships the form Fo-QS-03 'List of Controlled Documents' is kept. The depository
of documents and those responsible are selected by th e master and entered in the
respective list. The minimum retention period is defined in a list attached to this procedure
(see clause No. 10).
Outer labelling of files, books, folders, diskettes, etc. ensures that they can be easily located.
During the retention period the records shall not be negatively affected by outside influences
and that unauthorised persons neither have access to them, nor can remove them (see also
clause 4.7).

4.5.4

Destruction of Records
After the minimum retention period se e attachment (clause No. 10) - has been elapsed
obsolete records shall be shredded and disposed in acco rdance with the ship's Garbage
Management Plan. The QSE Department may give additional instructions for the disposition
of specific records if de emed that necessary, e.g. for records which are held beyond the
minimum retention period.

4.6
4.6.1

Circulars
Responsibilities
The head of the issuing department is responsible for the content of circulars. The QSE
Department is responsible for the system conformity of circulars. The Master on board and
the department heads ashore are responsible for running the circulars file.

4.6.2

Purpose of Circulars
The shipping company circulars are an important instrument for the exchange of information
between the shorebased organisation and the ships. Therefore, OLDENDORFF CARRIERS
regulates the issue and control of circulars with this procedure.

4.6.3

Issuing of Circulars
In principle any staff member, who has determined a need for it, can issue a circular. First of
all he checks whether another ruling already exists for this topic (system documentation,
circular etc.). This ruling will be taken into account when drawing up the circular, or older
circulars will be c ancelled. The writer signs the circul ar (first signature). The department
head approves and signs it (second signature) as well.

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After the circular has been approved in the department the QSE Department checks it for
compliance with the Quality, Safety and Environmental Protection Management System of
OLDENDORFF CARRIERS. If the circular cannot be released it must be altered or
withdrawn.
4.6.4

Registration of Circulars
Each person wishing to issue a c ircular has it registered and receives an on-going
registration number to ensure retrievability. Circulars are registered in the forms Fo-QS-04a
'Valid Circulars' and Fo-QS-04b 'Valid ISM Circulars'. On receiving a circular it will be
entered in the respective form and filed by each person responsible, who moreover make
the content of the circular known to the staff affected.

4.6.5

Control of Circulars
Every ship of OLDENDORFF CARRIERS shall keep a ci rcular file (File E-08, see also
clause 4.7). This file shall contain an up-dated copy of the form Fo-QS-04a and Fo-QS-04b
as well as the paper copies of ISM and normal circulars, which have only been received
recently by mail. With every new revision of the QS E System the vessels will be supplied
with computer files of all ISM and normal valid circulars. It is not required to maintain paper
copies of circulars, which are available as computer files ('electronic circulars').
Consequently the paper copies of circulars shall be destroyed as soon as the 'electronic
circulars' have been received. Office staff has on-line access to all valid circulars by
electronic means.

4.7
4.7.1

Shipboard Standard Filing System

Responsibility
The Shipboard Standard Filing System has to be maintained as described below - on all
ships of the Oldendorff Carriers fleet in order to ensure the easy traceability of important
shipboard records. The Master, Chief Engineer and Chief Officer are responsible for the
correct filing of document s and records into the shipboard standard filing system and their
further processing. This responsibility may be delegated.
Locations of the files and resp onsibilities must be recorded on form Fo-QS-05 'Shipboard
Filing System'. The officer/ engineer responsible for a file shall ensure proper access to it for
other officers/ engineers dealing with the information filed.

4.7.2

Filing System
A) Master
FILE No. A-01: CERTIFICATES PART I
Validity of Certificates
Statutory Certificates
Reports
Notes:
(1) For ship s classed by GL (or rel evant files from other class societies) the file Statutory
Documents supplied by GL shall be considered as file No. A-01.
(2) If the Master wishes to h ave a 'h andy file' of c ertificates for handing to po rt agents, a
photocopy of each certificate shall be placed in file No. A-01.
FILE No. A-02: CERTIFICATES PART II
Fire Fighting Certificates
Life Saving Certificates
Flag-State Special
Wire Ropes, Ropes, Loose Gear Certificates (not belonging to Cargo Gear)
Lashing Equipment Certificates
Status of Certificates, Surveys, Checks, Tests, Replacements etc.
Miscellaneous
FILE No. A-03: CLASSIFICATION CERTIFICATES
Certificate Hull
Certificate Machinery
Quarterly Status of Surveys
Survey Reports
Notes: (1) For ships classed by GL (or relevant files from other class societies) the file 'Class

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Documents' supplied by GL shall be considered as file No. A-03.

(2) For ships classed by DNV the file Enhanced Survey Program (ESP or relevant files from
other class societies) shall be considered as file No. A-03.
(3) If considered necessary this file can be divided into Hull (A-03A) and Machinery (A-03B)
and the last file can be maintained by the Chief Engineer.
FILE No. A-04: CARGO GEAR RECORD BOOK
Cargo Gear Certificates
Cargo Gear Testing Records
Wire Ropes, Loose Gear Certificates
Note: If deemed necessary, this file can be maintained by the Chief Officer.
FILE No. A-05: INSPECTION RECORDS
Flag State Inspection Records
Port State Inspection Records
USCG Inspection Records
Third Party Inspection Records (Ship Vetting like Rightship)
Note: ISM Audit and ISPS Verification records have to be kept in file No. A-11 and
correspondence with Port State Authorities shall be kept in File A-23.
FILE No. A-06: COMMERCIAL PART I
Copy of Charter Party
Charterers' Standing Instructions
Voyage Instructions/Schedules
Voyage Reports required by Charterer
Agency Contacts
FILE No. A-07: COMMERCIAL PART II
Original B/Ls
Authorization to sign B/Ls
Notice of Readiness
On/Off Hire Reports
Delivery/Redelivery Certificates
Statement of Facts
Letter of Indemnity (LoI)
Notes of Protest (commercial)
Agriculture Reports (USA/Canada)
Port Disbursements
FILE No. A-08: PORT CLEARANCE
Port Clearance
Printed eNOAs (Notices of Arrival)
Crew List/ Crew List Receipts (USA and other countries)
General Declaration Customs (USA/Canada)
Crew's Effects Declaration
Free Pratique Certificate
Suez/Panama Canal Papers
Diver's Drug Search Inspection Reports
Other Papers issued by Port Authorities
FILE No. A-09: GENERAL BUSINESS MASTER
Protocol of Delivery
Copies of Handover Reports from other Departments
Inspection Records of the Company
Confidential Reports (temporary filing only until delivery)
Price Lists of Ship Chandlers/ Providers
General Correspondence (e.g. Crewing Agencies, Ship Chandlers, Providers)
Experience Report Supplier
FILE No. A-10: MASTERS ACCOUNT AND CREW WAGES/ALLOTMENTS
Canteen and relevant Correspondence
Masters Account and relevant Correspondence
Monthly Allotments and Cash Advance
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Wage Accounts
Private Radio Account
Correspondence with Crew Accounting Company (e.g. Atacora)

FILE No. A-11: INTERNAL AND EXTERNAL AUDITS/ INSPECTIONS

The information contained herein is confidential and proprietary.
Internal Audit Reports
Internal Audit Ship Assessment Reports
External ISM Audit Reports
ISPS Verification Reports
ILO Maritime Labour Convention Inspection Reports
FILE No. A-12: QSE ADMINISTRATION
The information contained herein is confidential and proprietary.
QSE System Revisions
List of Controlled Documents and Automatic Supply Information
Shipboard Standard Filing System
Deficiency Reports
Liberian Incident and Accident Reports
Accident Forms required by the Insurance Company (e.g. Gerling)
Review of the QSE and Security System
Correspondence with QSE Department
Note: Security Incident Reports and other security records have to be kept in file No. A-25.
FILE No. A-13: DRYDOCKING
Vessel's Yard Repair List
Anodes Plan
Drydocking Specification
Rudder/Shaft Clearance Reports
Thickness Measurements Reports
Drydocking Report
Relevant Correspondence
FILE No. A-14: INSURANCE
Certificate of Entry (P&I)
Certificates of Financial Responsibility (COFRs) for entire US (electronic), Alaska,
and California
Other Insurance Documents (e.g. SIGCo)
Vessel's Casualty Reports (including attachments)
Inspection Reports Insurance
Survey Reports (if available)
Sea Protests
Note of Protests (other than commercial)
Correspondence with Claims Department
FILE No. A-15: REGULATIONS AND INFORMATION
IMO Regulations
US Requirements
Port State/Flag State Requirements
Information Circulars from various Sources
Loss Prevention Circulars and Bulletins
Remark: Information distributed by the QSE D epartment for this file is included in a Li st of
Contents. This list shall be maintained onboard and additional information attached to the file
by the Master shall be recorded at the end of this list.
FILE No. A-16: CREW EMPLOYMENT AND QUALIFICATION
Contracts of Employment
Articles of Agreement
Collective Bargaining Agreements
Validity of Crew Documents
STCW Certificates
Medical Fitness Certificates/ Crew Medicals
Liberian or other Flag State Applications
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FILE No. A-17: ORDER/PURCHASE PROVISION

Vessel's Provision Requisitions
Provision Orders
Register of Provision Requisitions
Provision Supply Records
Provision Receipt Confirmations
Outstanding Provision Requisitions
Victualling Accounts
Provision Invoices
Delivery Receipts
Note: If the file becomes full, older documents shall be archived (see clause 4.7.4).
FILE No. A-18: PASSENGERS/SEAGOING TECHNICIANS
Passenger List
Passenger Declaration Form
Letter of Indemnity Passenger/Seagoing Wife
Insurance Contract Passenger/Seagoing Wife
Relevant Correspondence
FILE No. A-19: MAIL CORRESPONDENCE WITH OLDENDORFF CARRIERS
Correspondence to the Vessel
Correspondence from the Vessel
Note: This file shall only contain mail correspondence, which cannot be assigned to one of
the more specific files e.g. correspondence with claims department in file A-14 etc.
FILE No. A-20: ELECTRONIC CORRESPONDENCE WITH OLDENDORFF CARRIERS
Correspondence to the Vessel
Correspondence from the Vessel
Note: This file shall only contain fax, telex, e-mail correspondence which cannot be assigned
to one of the more specific files e.g. correspondence with claims department in file A-14 etc.
FILE No. A-21: MAIL CORRESPONDENCE WITH CHARTERERS/AGENTS
Correspondence to the Vessel
Correspondence from the Vessel
FILE No. A-22: ELECTRONIC CORRESPONDENCE WITH CHARTERERS/AGENTS
Correspondence to the Vessel
Correspondence from the Vessel
Note: Electronic correspondence means fax, telex or e-mail correspondence.
FILE No. A-23: CORRESPONDENCE WITH CLASSIFICATION SOCIETY, FLAG STATE
AND PORT STATE AUTHORITIES
Correspondence to the Vessel
Correspondence from the Vessel
FILE No. A-24: INMARSAT AND RADIO OPERATIONS
Correspondence with Telaccount
Correspondence with Inmarsat Stations
Information regarding Inmarsat, Iridium, Globe Wireless, Messaging Rules, etc.
Radio Traffic Accounts
Radio Traffic Service
Radio Logs
Miscellaneous Radio Correspondence
FILE No. A-25: SECURITY RECORDS
The information contained herein is confidential and proprietary.
Declarations of Security
Security of Previous Ports Records
List of Dangerous Substances (but not dangerous cargoes, see note)
Security Incident Reports
Drugs/Stowaways Searching Records
Reports about Stowaways, Piracy and Terror Attacks
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Drug Prevention Circulars

Reports about security defects, breaches of security, differing security levels, etc.
Security Contact Points
Security Related Correspondence and Communication Records
Note: Information about dangerous goods carried as cargoes shall be filed in File B-03.
FILE No. A-26: ENVIRONMENTAL TRAINING PROGRAM
Training Documents
Visit Reports
FILE No. A-27: MARITIME LABOUR CONVENTION DOCUMENTS
Declaration of Maritime Labour Compliance (DMLC) Part 1
Flag State Information about the ILO Maritime Labour Convention
Related Correspondence
Note: The DMLC Part 2 of the Company and further information to the ILO MLC 2006 can be
found in File No. F-11.
FILE No. A-28: CREW COMPLAINT RECORDS
Crew Complaint Reports
Additional Documents related to Complaints
Correspondence regarding Complaints
B) Deck Department
FILE No. B-01: CARGO RECORDS PART I
Stowage Plans
Stability Calculations
Ship Shore Safety Checklist
Loading/ Unloading Plans
Ports of Call List - Cargo
Loading Computer Test Print Out
FILE No. B-02: CARGO RECORDS PART II
Port Loading/Discharging Reports
Cargo Manifest
Mates Receipt
Draft Surveys
Other Cargo Papers
FILE No. B-03: DANGEROUS CARGO DOCUMENTS
Dangerous Cargo Plan/Manifest
Dangerous Goods Declaration
Container Packing Certificate
Dangerous Cargo Papers
Other Dangerous Goods Information
FILE No. B-04: MAINTENANCE DECK
Maintenance Plan Deck
Inspection Checklists - Accommodation and Recreational Facilities
Inspection Checklists Hatch Covers
Repair and Service Orders
Other Maintenance Records
FILE No. B-04A: HISTORY OF DECK EQUIPMENT REPAIRS/OVERHAULS
History of Deck Equipment Repairs and Overhauls
Other Repair and Overhaul Records
FILE No. B-05: INSPECTION REPORTS DECK
SOLAS Safety Checklist
Safety and Fire Fighting Equipment Checklists
FILE No. B-06: GENERAL BUSINESS DECK
Handover Report Chief Officer
Hatch Cleaning Papers
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Repair Notes
Service Reports (Deck Department)
Cathodic Protection Records

FILE No. B-07: DAMAGE REPORTS

Damage Reports
Stevedore Damage Reports
Container Damage Reports
Correspondence regarding Damages
FILE No. B-08: SPECIFICATIONS DECK
Technical Specification Deck
Paint Specification (On Board Maintenance Plan)
Cargo Gear Specification
FILE No. B-09: INVENTORIES DECK
Lashing Material Container/ Timber Reports
Stock Reports Paints/ Unused Paints
List of Spares for Special Cargo Equipment
Inventory Stores
Inventory Spare Parts
FILE No. B-10: ORDER/PURCHASE DECK
Vessel's Requisitions
Purchase Orders
Register of Requisitions
Supply Records
Receipt Confirmations
Outstanding Requisitions
Invoices/ Bills
Delivery Receipts
Note: If the file becomes full, older documents shall be archived (see clause 4.7.4).
FILE No. B-11: BALLAST WATER AND BIOFOULING RECORDS
Ballast Water Exchange Forms and Records
Ballast Water Logs
Biofouling Management Forms and Records
Other Relevant Information or Communication
C) Engine Department
FILE No. C-01: MAINTENANCE ENGINE
Maintenance Plan Engine
Regular Testing of Systems Related to Safety
List of Inspection, Measuring and Test Equipment
Inspection Equipment Cards
MARPOL Annex VI Maintenance Records and Checklists
Other Maintenance Records
Repair and Service Orders
FILE No. C-01A: HISTORY OF ENGINE EQUIPMENT REPAIRS/OVERHAULS
History of Engine Equipment Repairs and Overhauls
Other Repair and Overhaul Records
FILE No. C-01B: MAINTENANCE CARGO GEAR
Cargo Gear Maintenance Records
Selfunloader Maintenance Records
History of Selfunloader Equipment Repairs and Overhauls
Cargo Gear Repair and Overhaul Records
FILE No. C-02: GENERAL BUSINESS ENGINE
Protocol of Delivery
Voyage Reports
Repairs and Services (Engine Department)
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Tool Checking List

Yearly Running Hours
Relevant Correspondence

FILE No. C-03: TEST REPORTS

Megger Test Reports
Boiler Water Reports
Cooling Water Reports
Caltelco Reports
Other Test Reports
FILE No. C-04: RECORDS MAIN ENGINE
Operating Results of the Main Engine
Indicator Diagrams
Measurement of Piston and Liner
Measurement of Main Engines
Crankshaft Deflection Reports
FILE No. C-05: RECORDS AUXILIARY ENGINES
Operating Results of the Auxiliary Engines
Indicator Diagrams
Measurement of Auxiliary Engines
Crankshaft Deflection Reports
FILE No. C-06: BUNKER
Bunkering Records
Bunkering Checklist
Bunker Receipts/ Bunker Delivery Notes
Sludge Receipts
Low Sulphur Change Over Procedure
Other MARPOL VI Bunkering Documents
Other Bunkering Documents
FILE No. C-07: BUNKERING REQUIREMENTS
Note: Local Bunkering Requirements e.g. for USA/Washington State.
FILE No. C-08: LUBOIL
Luboil Analysis/Samples
Report: Unused Luboil
Luboil Chart
FILE No. C-09: SPECIFICATIONS ENGINE
Technical Specification Engine Systems
Misc. Specifications
FILE No. C-10: INVENTORIES ENGINE
Record of Spareparts M/E and A/E
Record of all Spares in E/R
Record of E/R Equipment
Inventory Paint/Chemicals
FILE No. C-11: ORDER/PURCHASE ENGINE
Vessel's Requisitions
Purchase Orders
Register of Requisitions
Supply Records
Receipt Confirmations
Outstanding Requisitions
Parts sent Ashore (including for deck department)
Invoices/ Bills/ Delivery Receipts
Note: On vessels with large amounts of orders the above file can be divided e.g. into C-11A
Order/ Purchase Engine, C-11B Order/Purchase Selfunloader-Plant, C-11C Parts Sent
Ashore. If the file becomes full, older documents shall be archived (see clause 4.7.4).
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FILE No. C-12: MARPOL ANNEX VI INFORMATION

Information about MARPOL Annex VI Requirements
Information about Air Pollution Prevention
Coastal and Port State Information about Air Pollution Prevention
D) Bridge
FILE No. D-01: BRIDGE ADMINISTRATION
Bridge Inventory (including GMDSS equipment)
List of Spare Parts
Service Reports of Bridge Equipment
List of Nautical Publications
Print out of GMDSS Equipment Tests
FILE No. D-02: NAVIGATION
Passage Plans
Pilot Information Cards
Pilot Receipts
FILE No. D-03: SECURITY WARNINGS
Security Warnings
Navtex Messages regarding Security
INMARSAT SafetyNet Information regarding Security
Distress Messages regarding Security
Note: More general security information/reports shall be filed in Part 5 of the Threat Analysis.
FILE No. D-04: AMVER/AUSREP
AMVER Reports
AUSREP Reports
SINGREP Reports
AMVER/AUSREP Circulars
Other Safety Schemes
FILE No. D-05: MARITIME SAFETY INFORMATION
Navigational Warnings
Navtex Messages
INMARSAT SafetyNet Information
Distress Messages
Other Maritime Safety Information
FILE No. D-06: WEATHER REPORTS
Weather Reports
Weather Charts
Weather Routing Information
FILE No. D-07: CHART CORRECTION LOG
Note: Not required if the electronic ChartManager or similar system is used.
E) General: All Departments
FILE No. E-01: CREW FAMILIARIZATION
Data Sheet Seagoing Personnel
Familiarisation of New Crewmembers
Familiarisation Booklet (Sample)
FILE No. E-02: CREW WORKING TIMES - DECK
Shipboard Working Arrangements/ Watch Plans
Record of Overtimes
Hours of Work/ Rest

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FILE No. E-03: CREW WORKING TIMES - ENGINE

Shipboard Working Arrangements/ Watch Plans
Record of Overtimes
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Hours of Work/ Rest

FILE No. E-04: TRAINING

Shipboard Training Forms and Records
Shiphandling Training Certificates (Copy)
HAZMAT Employee Training Certificates (Copy)
Test Paper for HAZMAT Employees
Training Participants Lists
FILE No. E-05: SAFETY RECORDS
Entering Tanks and other Confined Spaces Permits
Hot Work Permits
Minutes of Safety and Health Committee Meetings
Risk Evaluation Forms
Inspection Checklists - Occupational Health and Safety
FILE No. E-06: MEDICAL CARE
Inventory Medical Chest
Medical Visit Reports
Request for Medical Treatment
Master's Medical Report
Other Medical Reports
Vaccination List
Medical Requisitions
Invoices/Receipts
Relevant Correspondence
FILE No. E-07: ARRIVAL AND DEPARTURE REPORTS
Preparing for Arrival/Departure Engine
Preparing for Arrival/Departure Bridge
Note: A division of this file into two files for bridge and engine is not desirable.
FILE No. E-08: CIRCULARS
Note: For ISM and standard circulars, which are only available as paper copy.
FILE No. E-09: SAFETY DATA SHEETS
Safety Data Sheets (SDS) Working Chemicals
Other Safety Data Sheets (but not for dangerous cargo)
FILE No. E-10: PORT REGULATIONS
Port Regulations
Berth/Terminal Requirements
Other Port Information
F) Manuals/Plans
FILE No. F-01: SHIPBOARD OIL POLLUTION EMERGENCY PLAN (SOPEP)
FILE No. F-02a: CALIFORNIA NON-TANK VESSEL CONTINGENCY PLAN
Note: Covers the Requirements of California/USA.
FILE No. F-02b: ALASKA OIL SPILL CONTINGENCY PLAN
Note: Covers the Requirements of Alaska/USA.
FILE No. F-02c: PANAMA CANAL SHIPBOARD OIL POLLUTION EMERGENCY PLAN
Note: The PCSOPEP covers the Requirements for the Panama Canal.
FILE No. F-02d: OIL SPILL RESPONSE FIELD GUIDES FOR WASHINGTON AND
OREGON/ COLUMBIA RIVER
Note: Covers the Requirements of Washington State and Oregon.
FILE No. F-02e: US NONTANK VESSEL RESPONSE PLAN (NT-VRP)
Note: Covers the Requirements of the USA.
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FILE No. F-02f: CANADIAN SHIP (NON-BULK OIL) MEMBERSHIP AGREEMENTS

Note: Covers the required oil spill agreements for Canada, East and West Coast incl. the
Canada Shipping Act Documents.
FILE No. F-02g: SHIP POLLUTION RESPONSE ORGANISATION CONTRACTS IN
CHINA
Note: Covers the required pollution clean up contracts with a Maritime Safety Agency
approved Ship Pollution Response Organisation (SPRO) in China.
FILE No. F-03: GARBAGE MANAGEMENT PLAN
FILE No. F-04: BALLAST WATER AND BIOFOULING MANAGEMENT PLAN
FILE No. F-05: CARGO SECURING MANUAL
FILE No. F-06 Volume I: SOLAS TRAINING MANUAL - Manual Ship Safety Service
FILE No. F-06 Volume II: SOLAS TRAINING MANUAL - Ship Safety Manual
Note: Includes the Fire Safety Operational Booklet
FILE No. F-07: WORK INSTRUCTIONS
FILE No. F-08a: SHIP SECURITY PLAN
Note: The information contained herein is confidential and proprietary. In part 8 of the SSP
the relevant security contact points shall be filed.
FILE No. F-08b: SECURITY TRAINING MANUAL
FILE No. F-08c: THREAT ANALYSIS
Note: General information and reports regarding security shall be filed in part 5 herein.
FILE No. F-08d: SHIP SECURITY OFFICER TRAINING COURSE MANUAL
FILE No. F-09: US NPDES SYSTEM - VESSEL GENERAL PERMIT
FILE No. F-10: TECHNICAL FILE(S)
Note: According to MARPOL Annex VI requirements.
FILE No. F-11: DECLARATION OF MARITIME LABOUR COMPLIANCE (DMLC) PART 2
Note: According to ILO Maritime Labour 2006 requirements. Contains also additional
documents to facilitate the external verification process. The DMLC Part 1 of the Flag State
and further information to the ILO MLC 2006 can be found in File No. A-27.
FILE No. F-12: Ship Energy Efficiency Management Plan (SEEMP)
4.7.3

Location of Files
The files shall be stored considering the possible filing locations on board and the assigned
responsibilities. Nevertheless all officers shall have free access to all other files if necessary
or required by their duties. The location of the files shall be indicated in for m Fo-QS-05
'Shipboard Standard Filing System'.

4.7.4

Removal and Storage of Files

From shipboard standard files becoming full older records may be removed and retained in a
storage location using envelopes, files, or other suitable containments which shall be
permanently and clearly marked at least with the following information:
file number from which the removed files are taken from,
contents of envelope/containment,
and time period covered by the removed files.
The storage location of the removed records should be indicated on form Fo-QS-03 'List of
Controlled Documents'. If storage space should not be available on board, the Master shall

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arrange storage in the company's office (or equivalent) in liaison with the QSE Department.
After the minimum retention period (see clause No. 10), obsolete records shall be disposed.
4.8

Automatic Supply System

The latest revision of the nautical publications, which are part of the automatic supply
system, will be automatically supplied onboard as soon as a ne w issue is available by a
suitable sub-contractor. The purpose of this automatic supply system is to ensure that
always the valid nautical publications are on board. Presently the automatic supply system
covers Sailing directions (incl. supplements), IMO regulations and other books of the
sections I) to N) of the form Fo-QS-03 List of Controlled Documents Vessel (e.g. SOLAS,
MARPOL), BA Chart Catalogue, Tracings of permanent BA corrections, Admiralty Notices to
Mariners, Brown's Nautical Almanac, and Tide Tables.
Only the present stock of sailing directions and tide tables are part of the automatic supply
system. In case that additional sailing directions/tide tables are required a requisition shall be
sent to the office. In case that publications are not longer required and can be withdrawn
from the automatic supply system the office must be informed immediately. The 'Guide to
Port Entry' will not be supplied every year but every 3 to 5 years depending on the changes.
Nautical publications like charts, list of lights, list of radio signals are not part of the
automatic supply system and must be ordered by the ships command as soon as required
or when new issues are announced in the NtMs. The automatic supply system cannot
relieve the ships command to check in regular intervals that all required publications
onboard are up-to-date.

4.9
4.9.1

Electronic Data and Software

General
Where data in digital format is concerned, this data ha s to be stored in the assigned
directory on one of the onboard workstations. These directories are to b e shared (e.g.
accessible via the onboard computer network) to enable availability to everyone, either local
or remote. The ships computers are strictly to be used for ships business only and it is not
allowed to install any software, which has not been approved by the company.

4.9.2

Data Security
Where it is desired to transfer any files from DVD/ CD to any of the onboard workstations,
these files are to be scanned for computer viruses before doing so.

4.9.3

Back-up Strategy
The Master is responsible that the computer directories containing his and his officers
working files are backed up on a mo nthly basis on DVD/ CD in order to avoid the loss of
data. This task may be delegated to a suitable officer.

4.9.4

Data Storage
Reports, forms, and other electronic files shall be stored in t he assigned directory or on
DVD/ CD. The above data shall only be removed/ re-formatted after the minimum retention
period has been elapsed. Files created for private use are to be removed from the computer
directory by the responsible officer/ engineer before signing off.

4.9.5

Data Disposition
Digital data is to be disposed of by formatting of the digital media (NOT quick-format), after
which they can be re-used. If DVD/ CD-recordables (DVD/ CD-rewritables are to be
formatted and can then be re-used) are used as media for storing data, these shall be
disposed of by first breaking the DVD/ CD-recordable (wear eye-protection) after which they
are to be treated as plastic waste in accordance with the ship's Garbage Management Plan.

4.9.6

Loading Computer
The loading computer is part of the stability book let of the ves sel and approved by the
respective classification society. Consequently any misuse of the loading computer is strictly
prohibited e.g. using of the DVD/ CD drive for any other purpose than to install an upgraded
version of the stability software or to make regular back ups is not allowed.

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4.10

Work Instructions
Work instructions shall help to minimise problems in specific areas and/or on certain type of
vessels. In principle any staff member, who has determined a need for it, can issue a work
instruction considering whether another ruling already exists for this topic (system
documentation, circular etc.). The head of the issuing department is responsible for the
content of the work instruction and the system conformity of work instructions is checked by
the QSE Department. The Master on board is resp onsible for running the file for the work
instructions.

4.11

Fleetmanagement Software
Ships, which have fully implemented a fleetmanagement software on-board (e.g. BassNet),
do not have to maintain paper forms of the QSE System, which contents is covered by the
software. Extent, handling, access rights, responsibilities, document and data control of the
actual fleetmanagement software are regulated in WI-34 BassNet Fleetmanagement
Software.

5.

Remarks
Legal archiving regulations regarding various records are unaffected by this procedure.
Sludge disposal and garbage disposal receipts shall be filed in the corresponding record
books.
The originals of invalid procedures and other documents are filed for ten years by the
QSE Department. All other copies will be eliminated.
Changes of the QSE Sy stem after revisions shall be documented in a special register
(Fo-QS-02 Record of Changes)

6.

Documentation

7.

References

8.

Status of Revision of the relevant documents

Fo-QS-02 Record of Changes
Fo-QS-03 List of Controlled Documents - Vessel
Fo-QS-04a Valid Circulars
Fo-QS-04b Valid ISM Circulars
Fo-QS-04c Assorted Valid Circulars and Workinstructions
Fo-QS-04d Valid Work Instructions
Fo-QS-05 Shipboard Standard Filing System
Fo-OF-05 Supervision of System Revisions
Fo-OF-06 Supervision of Ship Security Plans

ISO 9001, ISM-Code, ISPS-Code

ILO Maritime Labour Convention 2006
Ship Security Plan
Threat Analysis
WI-34 BassNet Fleetmanagement Software
Liberian Regulations RLM 300
Emergency Response Plans
SOLAS Training Manual
Work Instructions in File F-07

Revision
Party responsible for the editorial revision of this procedure: Designated Person Ashore

9.

Distribution
All QSE Manuals

10.

Attachments
Retention Periods

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Retention Period: Shore Based Organisation

As long as valid
Flag State Certificates, Classification Certificates, Validity of Certificates
25 years from
termination
10 years from
termination

Personnel Records

10 years

Emergency Logbook, ISM/ISPS/ISO 9001/MLC System Records, Internal and

External Audit/ Inspection Records, Management Review Records, Newbuilding
Contracts, Accounts and substantiating vouchers

7 years

Purchasing/Sale Contracts

5 years from
sale/loss

Flag State Survey Reports (Copy), Classification Survey Reports (Copies), External
Inspections/Survey Reports, Drydocking Reports, Cylinder/Piston Inspection
Reports

5 years

Training Records, Deficiency Reports, Minutes of Safety and Health Committee

Meetings, Correspondence, Yard Lists, Repair Reports, Operating Results Engine,
Protocol of Deliveries, all Security Records, Crew Complaint Records, Medical
Reports, Alcohol and Drug Test Results, VGP Forms

2 years after
termination
2 years

Crewing Contracts, Collective Bargaining Agreements

Purchasing Records, Suppliers Lists, IT Records, Voyage Reports

1 year

Cooling Water Reports, Boiler Water Reports, Maintenance Plans

Remarks:

Other records shall be retained as deemed necessary by the responsible

department head

Management Agreements, Charter Parties, Insurance Contracts (policies),

Processing of Claims

The retention periods of electronic data shall follow the above rules.
Retention Period: Vessel
As long as valid
Flag State Certificates, Classification Certificates, Validity of Certificates
Until sale

Flag State Survey Reports, Classification Survey Reports, External Inspections/

Survey Reports, Drydocking Reports, Operating Results Engine, Cylinder/Piston
Inspection Reports, History of Equipment Repairs and Overhauls

10 years

Internal and External Audit/ Inspection Records (ISM/ISPS/ISO 9001/MLC)

7 years

Wage Accounts

5 years

Deck Log Book, Engine Log Book, Bell Book, Port Log, Oil Record Book, Garbage
Record Book, Medical Log Book, Watch/Night Order Book, Training Records,
Personnel Records, Repair/Maintenance Records, Bunkering Records/ Receipts/
Delivery Notes, Protocol of Deliveries, Deficiency Reports, Yard Lists,
Correspondence, Evidence of D isposal, Cargo Documentation Previous Voyages,
Voyage Reports, all Security Records, Minutes of Safety and Health Committee
Meetings, Inspection Checklists Occupational Health and Safety, Inspection
Checklists Accommodation and Recreational Facilities, VGP Forms

2 years

Provision Accounts, Familiarization Records, Requisitions, Qualification Records

Crew, Radio Log Book, Calibration Records, Quarantine Reports, Ballast Water
Records, Crew Complaint Reports

1 year

Overtime Records/ Hours of Work/ Rest, Watch Plans, Shipboard Working

Arrangements, Electronic Communication Records, all other Forms and Records
not mentioned above

The retention periods of electronic data shall follow the above rules.
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