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1、1. 目的 Purpose取得和保持“符合证明”和“安全管理证书”的有效性。To obtain and maintain the effectiveness of documents of compliance and safety management certificate.2. 适用范围 Scope 公司与船舶的SMS外部审核。The SMS external audit of company and vessel.3. 定义 DefinitionSMS外部审核（简称SMS外审）指主管机关或其授权机构对公司SMS是否符合ISM/NSM规则和国内外强制性规定以及公司和船舶的安全和防污染运行
2、是否符合公司SMS文件规定的审核，包括公司“符合证明”和船舶“安全管理证书”的初次审核、换证审核、年度审核/中间审核和临时审核等。SMS external audits refers to the competent authority or its authorized organization to company SMS whether to conform to the rules and NSM ISM/mandatory provisions and the domestic and foreign company and ship safety and pollution pre
3、vention operation compliance with company SMS documents prescribed audit, including the initial audit, repeat audit, annual audit/intermediate audit and temporary audit etc. of company “documents of compliance” and ship safety management certificate .4. 职责 Responsibilities指定人员负责SMS外审及向审核机构报告SMS情况。De
4、signate personnel to take charge of SMS external audit and report the SMS situation to audit authorities.5. 细则Detail5.1. 公司“符合证明”的审核和管理The audit and management of company “documents of compliance”5.1.1. 审核准备 Prepare for audit5.1.1.1. 完成公司内审，对内审中发现的不符合规定的情况已纠正完毕；Complete company internal audit, the N
5、.C. during the internal auditing have already corrected;5.1.1.2. 已召开SMS有效性评价会并已发出会议决议；Already held SMS validity evaluation meeting and has issued a conference resolution;5.1.1.3. 备妥申请审核应附送的各种材料。Keep ready for various materials which shall be required for audit.5.1.2. 审核申请 Audit application审核申请报告由指定人
6、员按主管机关航运公司安全管理体系审核发证规则的规定起草并提交。Audit application report should be drafted and submitted by designated personnel, which should be according to the provisions of Shipping Company Safety Management System Audit Issuing Rules.5.1.3. 审核配合 Audit cooperation5.1.3.1. 指定人员接到审核机构审核通知后，保持与审核组的联系，了解审核计划；Designa
7、ted personnel after received audit notification from the audit instruction, keep in touch with the audit group to realize the audit plan.5.1.3.2. 岸基相关部门和代表船（如有）按审核计划要求配合审核组完成审核工作；Shore-based related departments and representative vessel (if any) should cooperate with audit group to complete the audi
8、t work according to the audit plan.5.1.3.3. 岸基相关部门和代表船（如有）对审核组开列的不符合规定情况确认并制订纠正措施。Shore-based related departments and representative vessel (if any) should confirm and work out a corrective action for the N.C. which were drew up by the audit group.5.1.4. 审核中发现的不符合规定情况，岸基相关部门和船舶应在规定的纠正期限内完成纠正，纠正材料报指定
9、人员，指定人员汇总并上报审核机构验证认可。The N.C. which were found in audit working, shore-based related departments and vessels should finish the corrective action in regulation deadline; the corrective material should be reported to designated personnel whom collect and report to audit institutions for validation rec
10、ognition.5.1.5. 公司在取得“符合证明”后，正本由指定人员或其委托SMS办保管，并将副本寄送给公司体系内船舶，由船长负责保存，以备主管机关查验，“符合证明”证书的有效期五年，其有效性服从于年度审核。公司确保SMS持续有效运行，按规定期限申请年度审核和换证审核，获得“符合证明”年度审核签注后，指定人员或其委托SMS办负责将年度审核签注寄送船舶，船舶收到后将年度审核签注与“符合证明”副本一起存放备查。After the company obtained the documents of compliance , the original edition should be safe
11、kept by designed personnel or his precatory SMS office and send the copy edition to the vessel which in the company system, the captain was responsible for preservation in order to competent authorities inspection; the effective valid time of documents of compliance is five years, such effectiveness
12、 submitted to annual audit. The company should ensure SMS continue effectiveness working and apply for the annual audit and exchange certificate audit, when obtain documents of compliance , the designed personnel or his precatory SMS office is responsible for sending the annual audit endorsement to
13、the vessel, after received it the vessel should put the annual audit endorsements and will prove copy meet together deposit for future reference.5.1.6. 临时审核 Temporary audit若公司增加或管理了新船种的船舶，现有的“符合证明”不再适用于该船种的船舶，指定人员应按体系文件控制的规定修改公司SMS文件，并按主管机关审核发证规则规定，申请新船种公司SMS临时审核，以取得“临时符合证明”。“临时符合证明”有效期不超过12个月。指定人员应
14、在临时符合证明到期前的规定时间和要求申请初次审核。If the company increase or management of a new vessel type, the existing documents of compliance no longer applies to this type of vessel, designated personnel should according to regulation modification company SMS documents, and according to the competent authority audit c
15、ertification rules, apply for a new ship corporate SMS interim audit to achieve interim documents of compliance.5.2. 船舶“安全管理证书”的审核和管理 Audit and management of vessel “safety management certificate”5.2.1. 审核准备 Audit preparation5.2.1.1. 完成船舶内审，对内审中发现的不符合规定的情况船舶已纠正完毕；Completing the internal audit, the r
16、elevant department should finish the correct of N.C. in internal audit. 5.2.1.2. 备妥审核可能需要的材料。Prepare material which may need in audit.5.2.2. 审核申请 Audit application审核申请由指定人员按主管机关航运公司安全管理体系审核发证规则规定，向主管机关提交；The audit application should be submitted to the competent authority according to “Shipping Comp
17、any Safety Management System Audit Issuing Certificate Rules”.5.2.3. 审核配合 Audit Cooperation5.2.3.1. 指定人员指派人员陪同审核员到船审核；Designated personnel should assign other person to audit on board with auditors;5.2.3.2. 船舶做好有关的审核配合事项；Vessel should complete the audit cooperation matters;5.2.3.3. 船舶对审核组开列的不符合规定情况及
18、时向公司报告，并制订纠正措施。The vessel should report the N.C. to the company and formulate the correct action.5.2.4. 不符合规定情况的纠正与跟踪 Corrective actions and tracking of N.C.5.2.4.1. 指定人员应督促船舶在规定的时间内完成对审核中发现的不符合规定情况的纠正；The designated personnel should urge the vessel to correct unconformity situation during the audit
19、 in prescribed time.5.2.4.2. 对船舶上报的不符合规定情况的纠正材料进行验证，并上报审核机构验证确认认可。To prove the unconformity situation which was reported by the vessel and report to audit institution to verify and approve.5.2.5. 船舶取得“安全管理证书”后，正本留船，由船长保存，以备主管机关查验，“安全管理证书”副本由指定人员或其委托SMS办保管。“安全管理证书”证书有效期五年，其有效性服从于中间审核。指定人员按主管机关审核发证规则规
20、定期限申请船舶的中间审核和换证审核，保持“安全管理证书”证书的有效。After the vessel achieve safety management certificate, original should be on board preserved by the captain, ready to competent authorities inspection, safety management certificate copy edition should safe keep by designated personnel or its precatory SMS office.
21、The period of validity for “Safe Management Certificate” is five years; such effectiveness should be submitted to middle audit. The designated personnel apply the vessel middle audit and exchange certificate audit according to the competent authority audit rules, which could keep the effectiveness o
22、f the “Safe Management Certificate”.5.2.6. “临时安全管理证书”的审核 “Interim Safety Management Certificate” audit公司若增加或管理了新船，而且公司“符合证明”适用于该船种，指定人员应按主管机关审核发证规则申请临时审核，以取得该船的“临时安全管理证书”。 “临时安全管理证书”有效期不超过六个月。指定人员应在临时安全管理证书到期前申请初次审核。If the company added or managed new vessel and company “documents of compliance” app
23、licative to such vessel, the designated personnel should apply temporary audit according to the relevant issuing certificate rules by competent authority, in order to obtain the “Interim Safety Management Certificate” for such vessel. The period of validity for “Interim Safety Management Certificate
24、” is not exceed six month. The designated personnel should apply the first time audit before expire of “Interim Safety Management Certificate”.5.3. 向主管机关的报告Report to competent authorities5.3.1. 如船东是本公司的船舶光租租出，体系办应及时告知指定人员，指定人员向主管机关报告。If the ship owner is the bare boat charter, the Safety Supervision
25、 Department should inform designed personnel in time whom should report to competent authorities.5.3.2. 如公司租入或管理了新船，应该与船舶的船东、经营人或光船租船人签订符合主管机关要求的安全委托管理协议，以明确船舶的安全和防污染管理责任。并按本文件5.2.6申请船舶的临时安全管理证书，或按本文件5.1.6和5.2.6的要求申请公司临时符合证明和船舶临时安全管理证书。If the company hire or manage a new vessel who shall sign safety
26、 mandatory administration agreement with ship owneroperator or bare boat charterer according to the requirement of competent authorities, in order to ensure the vessel safety and anti-pollution management responsibility. Meanwhile, apply the vessel “Interim Safety Management Certificate” as per the
27、5.2.6 of this document or apply the company “Interim Documents of Compliance” and the vessel “Interim Safety Management Certificate” according to 5.1.6 and 5.2.6 in this document.5.3.3. 船舶退出公司安全管理体系时，指定人员将船舶的DOC副本、DOC副本年度审核签注、安全管理证书收回, 退交主管机关及其授权机构。When vessel exited safety management system, the de
28、signated personnel should take the copy DOCcopy DOC annual audit safety management certificate endorsementsafety management certificate of the vessel, meanwhile retreat such certificates to competent authorities and their authorized agency.6. 文件 Documents 6.1. “符合证明”审核报告和开列的不符合规定情况由指定人员或其委托SMS办保存。“D
29、ocuments of Compliance” audit report and N.C. list should be preserved by designed personnel or his authorized SMS Office .6.2. “安全管理证书”审核报告和开列的不符合规定情况由指定人员或其委托SMS办、船舶保存。“Safety Management Certificate” audit report and N.C. list should be preserved by designed personnel or his authorized SMS Office
30、or vessel.6.3. “符合证明”正本由指定人员或其委托SMS办保存5年，DOC副本由船舶保存5年。The original edition of “Documents of Compliance” should be preserved by designed personnel or his authorized SMS Office for 5 years, the copy edition should be preserved by vessel for 5 years.6.4. “安全管理证书” 副本由指定人员或其委托SMS办保存5年，“安全管理证书”正本由船舶保存5年。The copy edition of “Safety Management Certificate” should be preserved by designed personnel or his authorized SMS Office for 5 years, the copy edition should be preserved by vessel for 5 years.
