Records: The Backbone of Audit Readiness
A Planned Maintenance System (PMS) is only as strong as its documentation. On the bridge and in the engine room, jobs get done by people—but in an inspection, jobs “exist” because the record proves they were planned, performed, verified, and filed. Organized evidence cuts inspection time, prevents non-conformities (NCs), and signals that your ship runs on discipline, not improvisation.
>> See the full Ship Planned Maintenance: Complete Guide to a Reliable PMS Onboard
Why PMS Records Matter
Regulatory and Practical Foundations
- ISM Code Section 10 anchors the requirement to plan and perform maintenance of ship and equipment. Your PMS records are the heartbeat that shows that planning and performance are real.
- Class and Flag surveyors expect traceable records that connect tasks to evidence—especially where statutory systems are concerned.
- Vetting, RightShip, and PSC teams use your records to judge control, culture, and competence in minutes. If your records are inspection-ready, so are you.
The “Record Chain” Concept
Think of each maintenance item as a chain that must be unbroken:
Task → Job Card → Evidence (photos, certificates, measurements) → Verification (sign-off) → Retention (indexed, retrievable).
If an inspector can follow that chain without friction, you’re audit-ready. If a link is missing (e.g., no signature, wrong folder, or an expired certificate), expect questions and potential NCs.
What to Record — and What Inspectors Expect
Core PMS Record Types
| Record Type | Example Contents | Required By |
| Job Cards | Description, date, signatures | ISM / Class |
| Permits / LOTO | Isolation, risk controls, references | ISM / Safety |
| Calibration Certificates | Instrument ID, range, validity, issuer | Class |
| Photos / Videos | Before/after proof, gauges, tags | Vetting |
| Verification Sign-off | Checker and approver, date, remarks | ISM |
Quality Criteria for Records
- Legible entries (typed or clearly written); no ambiguous corrections.
- Date and signature (or secure digital equivalent) for both performer and verifier.
- Consistent naming and equipment tags that match your PMS and onboard nameplates.
- Stored and backed up correctly, with version control and an index your crew actually use.
How to Organize PMS Records
Folder Structure (Digital or Physical)
Adopt a structure your crew can memorize and your inspector can navigate on their own.
Example:
/PMS/
├── Main_Engine/
├── Generators/
├── Deck_Machinery/
├── LSA_FFA/
├── Pollution_Prevention/
└── Calibration_Records/
- Keep each record type in subfolders by date or job number (e.g., /Main_Engine/2025-05-22_ME12k_Overhaul/).
- Mirror digital and physical binders where needed (e.g., “Certificates” and “Critical Equipment Tests”).
- Maintain a front-page index (“Read Me First”) that explains the map in one screen or one sheet.
Naming Conventions
Make filenames carry the story:
| File Name Example | Meaning |
| ME_Overhaul_12000hr_2025-05-22.pdf | Main Engine overhaul at 12k hours |
| FFA_CO2Test_2025-07-10.jpg | Photo evidence of CO₂ system test |
Pattern: Equipment_Task_Date (optional _Interval or _JobNo).
Examples: GEN2_BearingCheck_2025-09-01.pdf, OWS_FunctionTest_2025-06-15_JC-073.docx.
Tips:
- Use ISO date (YYYY-MM-DD) for sorting.
- Avoid spaces; use _ or -.
- Keep equipment tags identical to what’s on nameplates and in PMS.
Effective ship planned maintenance ensures that all tasks are documented correctly and are easily accessible for audits.
Record Retention and Traceability
Set retention by policy, but align to ISM & Class expectations:
- Standard guidance: keep 3–5 years of PMS records onboard and/or in accessible shore archives.
- Retain key certificates (e.g., CO₂ system tests, statutory equipment certificates) per Class/Flag—often until superseded plus policy-defined years.
- Use digital backups and cloud sync for multi-ship fleets; ensure offline copies for at-sea inspections.
- Ensure every certificate or photo traces back to a PMS task ID or job card number.
>> See the full Ship Planned Maintenance: Complete Guide to a Reliable PMS Onboard
Pre-Inspection Routine — From T-14 Days to T-1
14 Days Before Inspection
- Overdues & Backlog: Pull PMS overdue list; plan clearance or documented deferrals with risk assessment.
- Critical Systems Sweep: Confirm record completeness for Main Engine, Generators, LSA/FFA, OWS/Polution Prevention, Navigation, and Steering Gear.
- Calibrations: Reprint or renew calibration certificates nearing expiry; confirm instrument IDs match job cards.
- Verify Cross-References: Ensure tasks link to evidence (job number ↔ folder ↔ filename).
7 Days Before Inspection
- Reorganize & Compile: Tidy folder order; prepare summary lists (e.g., “Last 12 months of LSA/FFA tests”).
- Signatures & Dates: Check for any missing sign-offs; secure digital signatures if policy allows.
- Evidence Index Sheet: Prepare a one-page index mapping systems → tasks → evidence (filenames/locations).
- Spot-Check Reality: Randomly choose 5 tasks and physically verify the equipment condition matches the records.
1 Day Before Inspection
- Onboard Mini-Audit: Run a quick walkthrough with department heads.
- Final Sync: Load a read-only USB or tablet binder copy; ensure search works offline.
- Brief the Team: Who speaks to what: assign “record owners” for ME/GEN/LSA/OWS etc.
Verification and Approval Practices
- Who verifies? Typically the Chief Engineer (engine tasks) and Master (shipwide records) verify onboard; the Technical Superintendent performs shore-side oversight and periodic sampling.
- How to sign?
- Manual: Performer signs job card; verifier initials/date in a dedicated sign-off section.
- Digital: Use secure role-based accounts, time-stamped approvals, and immutable logs.
- Manual: Performer signs job card; verifier initials/date in a dedicated sign-off section.
- Close the loop: Verification should trigger correction (if needed), action tracking (CAR), and final filing in the correct folder with the correct filename.
- Tooling: Use a “Verification Stamp” (physical stamp or digital checkbox) stating Checked by / Date / Remarks / Follow-up Required (Y/N).
Common Record-Keeping Mistakes (and How to Avoid Them)
| Common Mistake | Result | How to Prevent |
| Missing signatures | NC for lack of verification | Include sign-off line in every job card; weekly check |
| Wrong folder location | Delays, suspicion of disorder | Standardize naming + use a master index |
| Duplicate or outdated files | Confusion, audit flags | Monthly clean-up and version control |
| No backup | Data loss risk | Sync with shore; maintain offline copies |
>> See the full Ship Planned Maintenance: Complete Guide to a Reliable PMS Onboard
Audit Readiness Toolkit
A. Checklist (Daily / Weekly / Monthly)
- Daily:
- Sign off completed jobs in PMS; attach photos immediately.
- Verify critical alarms and rounds entries are filed.
- Sign off completed jobs in PMS; attach photos immediately.
- Weekly:
- Sample-check 5 recent tasks for complete chains (task → evidence → sign-off).
- Confirm calibration certificate validity on any instrument used that week.
- Update Evidence Index Sheet.
- Sample-check 5 recent tasks for complete chains (task → evidence → sign-off).
- Monthly:
- Run duplicate/outdated file cleanup.
- Test restore from backup (prove retrievability).
- Review retention list: move superseded docs to archive per policy.
- Run duplicate/outdated file cleanup.
B. Scorecard (0–5 scale per item; target ≥4.0 overall)
- Completeness (all mandatory fields present)
- Accuracy (correct equipment tags, dates, instrument IDs)
- Timeliness (evidence uploaded within 24h of task completion)
- Traceability (task ↔ file naming aligns; index updated)
- Verification Quality (sign-off present, remarks meaningful)
- Backups & Access (redundancy, offline access tested)
C. Lessons Learned Log
Capture post-inspection findings and fixes so they stick.
Sample line:
| Date | Finding | Corrective Action | Verified By | Status |
| 2025-10-04 | ME lube filter change lacked verifier sign-off | Added verifier line to job card; toolbox talk held | C/E M. Santos | Closed |
Ship planned maintenance records are essential for demonstrating compliance during inspections.
Summary — Making PMS Records Inspection-Proof
Boil it down to five pillars your team can repeat from memory:
- Clear folder structure everyone understands.
- Consistent naming convention that tells the story in the filename.
- Verified evidence—signatures or secure digital approvals for every task.
- Retention policy (3–5 years unless company policy says otherwise), with backups.
- Regular pre-inspection checks (T-14 / T-7 / T-1) so surprise visits aren’t scary.
When these five show up in your ship’s daily rhythm, you don’t “prepare” for audits—you’re already ready.