Address:

No. 69 UBI Road 1, #05-25, Oxley Bizhub, Singapore 408731

Tel: +65-83998746 and +65-63155464

Quality Pays $ Safety Earns £ Environment & Energy Saves €

 CONTROLLED DOCUMENTS
Prepared by
Capt. Naveen S Singhal,
IRCA, UK accredited Auditor
JAG Consultants Pte Ltd, Singapore
www.jag-dm.com singhal.ns@gmail.com
Tel: +65-83998746

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Resolving CONTROLLED Doc mystery
Clearing the mist and myth of CONTROLLED documents

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Topics included in the presentation
Ø What is a Document and Record
Ø What are a CONTROLLED document
Ø Why CONTROL documents
Ø Examples of Internal documents
Ø Examples of External documents
Ø Controlling Soft documents
Ø Obsolete-Cancelled documents
Ø What are UNCONTROLLED document

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What is a DOCUMENT and RECORD
DOCUMENT is RECORD is

LIVE HISTORY

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Why CONTROLLED document? (Internal)
What is the status of docs in Circulation?
• Need to ensure that all docs in circulation are current
• Need to know how many copies are in circulation
• List of recipients and/or List of where displayed
Tracking changes to docs
• Changes need to be tracked through revision numbers
• Hence the need to have a revision number for each doc
• Date of revision to be tracked
• Know the revisions of past so as to plan future revisions
Retention of records
• How long should record be retained?

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What are CONTROLLED document
Scope of Company’s activities

Log books And ALL other Oil rec book

Company docs &
records Safety Committee
minutes
Main Engine
makers Manual
SAMPLE SIRE/CDI Insp
Audit check list CONTROLLED report

DOCUMENTS
IMO-SOLAS C/E Standing
publication orders

GA plan of ship in Bill of Lading Mail from Master

the office records for Cook relief

Scope of Company’s activities

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Why CONTROLLED document? (External)
To track the status of docs in Circulation?
• Track Edition number & Year of pub of current docs
distributed
• Track how many copies are in circulation of current docs
• Track List of recipients and/or List of where any doc is
displayed (Policies etc)

Tracking changes to docs

• Track Changes to edition numbers

Retention of old and expired documents

• If retained then identified OBSOLETE or CANCELLED?
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Controlling SOFT documents
Ø Restrict the access and Control of editable (and or
confidential) documents (internal) such as
ISM/SMS/IMS Manuals, Forms, Check lists
Ø So as to upload only non-editable versions for use
Ø To maintain a list of locations/computers where soft
copies are placed or up-loaded
Ø Train personnel ashore and and onboard on deleting
such formats which they have saved on their computers
& which have been superseded by amended versions

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What are OBSOLETE/CANCELLED docs
Ø Are those documents which are retained for reference
use for future such as Old publication of a SOLAS
manual
Ø Any such obsolete documents need to be identified
OBSOLETE or CANCELLED so as to prevent any
person to use the same inadvertently

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What are UNCONTROLLED documents
Ø There should be no UNCONTROLLED document within the
documentation management system of a company
Ø Permitting ship’s staff to print documents under the pretext:
UNCONTROLLED if printed is a gross misunderstanding on
the significance of controlling documents.
Ø Permitting staff to use copies which are NOT CONTROLLED
is like authorizing staff to use docs which the Company has
not approved (Can have serious legal implications)
Ø UNCONTROLLED docs are those which go out of a
Company’s Management system such as handing over a
copy of a UKC policy or any other SMS doc

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Examples of docs of INTERNAL origin
Ø Company Manuals (ISM/ SMS/ IMS)
Ø Company forms and check lists
Ø Company files and folders
Ø Company policies displayed
Ø Company brochures and marketing literature
Ø All Company documents other than FINANCE docs
Ø Charts, Log books, ORB, Master’s & CE night orders
Ø Garbage log, Familiarization manual for office staff
Ø Muster list, Compass error deviation card, Ship’s Master
Ø Circulars, alerts, emails
Ø Etc……

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Examples of docs of EXTERNAL origin
Ø Maker’s manual for machinery
Ø SIRE/CDI/ PSC inspection reports
Ø Lodicator manual, Gas analyzer operating manual
Ø Class status report, SOLAS, MARPOL publication
Ø Statutory, Class and regulatory certificates
Ø ISO Certificates displayed and filed
Ø Bill of lading, Bunker delivery note,
Ø Etc……

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Benefits of CONTROLLING documents
All staff and employees would

Ø Doc controller would know how many docs are in circulation

Ø Know who are the current holders of documents
Ø Doc controller would know whom to forward the amendments
Ø Staff will have access to ‘latest’ ‘controlled’ version of docs
Ø Prevent accidents by using only ‘current’ ‘controlled’ docs
Ø Know where to file documents (records and docs) (storage)
Ø Know for how long they must retain the records
Ø Caution: Though all docs are to be controlled, however due to
various reasons ‘all’ the docs may not be controlled but the
hazards/risks associated with lack of such control are far more for
say a ‘Bunkering procedure’ than in comparison for a .

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