Documents & SMS: what SIRE 2.0 inspectors ask and find
Certificates, the safety management system and the PIQ have to agree with each other and with the ship, and the crew should know where the SMS covers each job.
Do this before the inspector arrives: Lay out certificates against the PIQ and know where the SMS covers each.
What the inspector wants to see
- Certificates that match the PIQ
- Knowing where the SMS covers each procedure
- Audit findings and management-of-change records
Questions inspectors ask about Documents & SMS
How do you keep the statutory certificates up to date, indexed and filed?
Inspectors check that every certificate is current and that the file is indexed so any certificate and its survey dates can be produced at once.
How do you verify that statutory certificates are authentic, and how often?
Cross-check certificate numbers against the class survey status report, and verify electronic certificates on the class/issuer website. Know the company's verification frequency.
Does the vessel have any conditions of class or memoranda?
A hard-copy class status report was asked for. Memoranda on statutory items are treated as conditions of class. The survey status report should also list CSM items.
How do you prove that drug and alcohol samples were actually collected?
Keep the sample receipts for each individual on board so the inspector can verify the samples were really taken.
Which visitors need a familiarisation, and what is it checked against?
Superintendents, surveyors, vetting inspectors, terminal and cargo reps, bunker suppliers, chandlers. Records must match the gangway log; sailing visitors do both pages.
How often are marine and technical superintendent visit reports expected?
Two combined reports within 14 months, no more than 7 months apart (including a 1-month grace period). Office visits at 6-month intervals.
There are 43 Documents & SMS questions in NilObs, with spaced repetition so the ones you miss come back. Practise them free.
Real Documents & SMS observations, and how to avoid them
The company procedure for the Coating Technical File did not list its required contents (yard coating records, specs, inspection, repairs); these sat in a dry-dock folder.
Avoid it: Know what the Coating Technical File must contain and keep coating records in that file.
Records showed an eight-month gap between technical superintendent visits, with no other marine or safety superintendent visit in between.
Avoid it: Keep superintendent visit reports on board and flag to the office if visits are overdue.
A cargo audit finding (risk assessment reference missing from the cargo plan) was still open past its seven-day close-out deadline.
Avoid it: Track internal audit findings to closure within the deadline and update the system.
The SMS required an up-to-date certificate index in the statutory certificate files, but none was found in either file.
Avoid it: Keep the certificate index current and placed in the certificate files as the SMS requires.
Load line certificate showed winter and WNA marks not on the hull (WNA not applicable over 100 m), and IOPP Form B left fitted items unticked.
Avoid it: Cross-check certificate and IOPP supplement entries against the ship's actual marks and fittings.
Class had issued a conditional safety construction certificate because of the lost anchor.
Avoid it: Track conditional certificates' validity and the actions needed to clear them before expiry.
No records were on board of the previous marine superintendent inspection, so the interval between visits and shore review could not be checked.
Avoid it: Keep copies of previous superintendent inspection reports on board for review.
The International Ballast Water Management Certificate on board was a short-term certificate valid for only two months.
Avoid it: Track short-term certificate expiry and the repairs needed to obtain a full-term certificate.
Who answers for Documents & SMS
Master, Marine Superintendent, Vetting Manager / Superintendent, HSEQ Manager, Designated Person Ashore, Fleet Manager, Crewing Manager, Other role. NilObs picks the questions and the daily drill for your role.
Rehearse Documents & SMS before your next inspection.
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