SMS行業(yè)的雙語文件 外部審核程序External Audit Procedure

SMS行業(yè)的雙語文件外部審核程序ExternalAuditProcedure1.目的Objective本程序旨在規(guī)范公司向主管機關(guān)申請、取得公司的“符合證明”和船舶的“安全管理證書”以及如何保持證書有效性的方法和步驟。Thisprocedureaimatmakingapplication/acquiringandmethods/procedureofensuringeffectivenessofDocumentofComplianceandsafetymanagementcertificatestandard.2.適用范圍Applicatio本程序適用于公司/船舶如何通過主管機關(guān)初次審核、取得DOC/SMS相關(guān)證書，及其如何通過有效期內(nèi)連帶年度簽注，從而保持證書有效性的準(zhǔn)備工作和審核取證實施過程。Thisprocedureappliestothefirstauditofcompetentauthorities/acquiringrelevantcertificatesofDOC,andhowtogetyearlyendorsementbeforeexpirydatesoastoensureimplementingofpreparatoryworkandauditingworkforvalidityofcertificates.3.定義DefinitionSMS外部審核（簡稱SMS外審）指主管機關(guān)或其授權(quán)機構(gòu)對公司SMS是否符合ISM/NSM規(guī)則和國際、國內(nèi)強制性規(guī)定以及公司和船舶的安全和防污染運行是否符合公司SMS文件規(guī)定的審核，包括公司“符合證明”和船舶安全管理證書“安全管理證書”的初次審核、換證審核、年度審核/中間審核和臨時審核等。ExternalauditofSMSmeansauditcarriedoutbycompetentauthoritiesorauthorizedagencyofthem,inspectingwhetherthecompany?sSMSmeetinternational/intestinemandatoryprovisionaboutISM/NSM,whetherSMSrunningashore/onboardmeetrequirementofcompany?sSMSfiles.Theauditincludesthefirstaudit/recertification/annual/middle/temporaryauditofDocumentofComplianceandsafetymanagementcertificate.4.職能Responsibilities指定人員和各輪船長，是公司和船舶與主管機關(guān)溝通的聯(lián)絡(luò)員及應(yīng)對和接受審核的組織、領(lǐng)導(dǎo)者。DPandmasteronboardareliaisonmanbetweencompany/shipandcompetentauthorities,andorganizerandleaderwhenthereisanaudit.4.1.SMS辦公室是負(fù)責(zé)公司SMS運行事務(wù)的職能部門，擔(dān)負(fù)與主管機關(guān)實施審核/發(fā)證/監(jiān)督的應(yīng)對、申報和執(zhí)行之責(zé)，以及負(fù)責(zé)SMS相關(guān)文件、資料、證書的歸檔與有效性保持。SMSOfficeisfunctiondepartmentwhoresponsibleforrunningofSMS,toberesponsibleforreplying/reporting/implementingworksduringimplementingaudit/issuingcertificate/supervisoryprocedureofcompetentauthorities,SMSofficealsoinchargeoffilingandeffectivenessmaintainingofSMSrelevantfiles/document/certificates.5.程序Procedure5.1.公司“符合證明”的審核和管理AuditandmanagementofDocumentofCompliance5.1.1.審核準(zhǔn)備Prepareforaudit5.1.1.1.完成公司內(nèi)審，對內(nèi)審中發(fā)現(xiàn)的不符合規(guī)定的情況已糾正完畢；Finishinternalauditandallnon-conformitiesfoundininternalauditarecorrected.5.1.1.2.已召開SMS有效性評價會并已發(fā)出會議決議；Organizedameetingabouteffectivenessevaluationandissuedmeetingresolution.5.1.1.3.備妥申請審核應(yīng)附送的各種材料。Preparedalldocumentsneedtobeaudited.5.1.2.審核申請ApplicationforAudit審核申請報告由指定人員按主管機關(guān)《SMS審核發(fā)證規(guī)則》的規(guī)定起草并提交。ApplicationreportshoulddraftedandsubmittedbyDPaccordingto<SMSauditcertificationrules>5.1.3.審核配合Auditcoordinating5.1.3.1.指定人員接到審核機構(gòu)審核通知后，保持與審核組的聯(lián)系，了解審核計劃；DPshouldkeepcontactwiththeauditteamandlearnauditplanoncereceivednoticeofaudit.5.1.3.2.岸基相關(guān)部門和代表船（如有）按審核計劃要求配合審核組完成審核工作；Relevantdepartmentsashoreandship(ifone)shouldcoordinatewiththeauditteamtofinishauditaccordingtoauditplan.5.1.3.3.岸基相關(guān)部門和代表船（如有）對審核組開列的不符合規(guī)定情況確認(rèn)并制訂糾正措施。Relevantdepartmentsashoreandship(ifone)shouldconfirmanddrawupcorrectivemeasuresrefertonon-conformitieslistedbyauditteam.5.1.4.審核中發(fā)現(xiàn)的不符合規(guī)定情況，岸基相關(guān)部門和船舶應(yīng)在規(guī)定的糾正期限內(nèi)完成糾正，糾正材料報公司SMS辦公室驗證，經(jīng)指定人員確認(rèn)后上報審核機構(gòu)驗證認(rèn)可。Relevantdepartmentsashoreandshipmustcorrectthenon-conformitiesbeforeprescribedtimelimit,andsubmitcorrectivedocumentstoSMSforverifying,andthensubmittoauditingorganizationforverifyingandapprovalwhenapprovedbyDP.5.1.5.公司在取得“符合證明”后，正本由公司保管，并將副本寄送給公司體系內(nèi)船舶，由船長負(fù)責(zé)保存，以備主管機關(guān)或主管機關(guān)認(rèn)可的機構(gòu)的查驗，“符合證明”證書的有效期五年，其有效性服從于年度審核。公司確保SMS持續(xù)有效運行，按規(guī)定期限申請年度審核和換證審核，獲得“符合證明”年度審核簽注后，公司SMS辦公室負(fù)責(zé)將年度審核簽注寄送船舶，船舶收到后將年度審核簽注與“符合證明”副本一起存放備查。OriginalcopyofDocumentofComplianceshouldkeepincompany,copiessenttoshipinSMSandkeptbymaster,incaseofauditingofcompetentauthoritiesorauthorizedagencyofthem.IndateoftheDocumentofComplianceisfiveyears,anditseffectivenesssubmitstoannualaudit.ThecompanyshouldensuretheSMSrunningeffectively,applyforannualauditandrecertificationauditrefertoprescribedtimelimit.SMSofficeisresponsibleforsendingendorsementofannualaudittoship,andtheshipshouldkeeptheendorsementtogetherwiththeDocumentofComplianceforfuturereference.5.1.6.臨時審核Temporaryaudit若公司增加或管理了新船種的船舶，現(xiàn)有的“符合證明”不再適用于該船種的船舶，SMS辦公室應(yīng)按《SMS文件和資料控制程序》的規(guī)定修改公司SMS文件，經(jīng)指定人員審核確認(rèn)后，再按主管機關(guān)及其授權(quán)機構(gòu)審核發(fā)證規(guī)則規(guī)定，申請新船種公司SMS臨時審核，以取得“臨時符合證明”。該證明的有效期為六至十二個月。公司應(yīng)在臨時符合證明到期前的規(guī)定時間范圍內(nèi)向主管機關(guān)申請初次審核。IfnewkindofvesseladdandthecurrentDocumentofCompliancenotapplicativeanymore,SMSofficeshouldrevisetheSMSfilesaccordingto<SMSDocumentManagementandControlProcedure>andsubmitthefilestocompetentauthoritiesforapplicationoftemporaryauditandTemporaryDocumentofComplianceafterapprovedbyDP.IndateofTemporaryDocumentofComplianceissixtotwelvemoths.ThecompanyshouldapplyforfirsttimeauditbeforeexpireofthetemporaryDocumentofCompliance.5.2.船舶“安全管理證書”的審核和管理SafetyManagementCertificateAuditingandManagement.5.2.1.審核準(zhǔn)備Prepareforaudit5.2.1.1.完成船舶內(nèi)審，對內(nèi)審中發(fā)現(xiàn)的不符合規(guī)定的情況船舶已糾正完畢；Finishinternalauditandallnon-conformitiesfoundininternalauditarecorrected.5.2.1.2.備妥審核可能需要的材料。Preparealldocumentsmaybeneeded.5.2.2.審核申請Applyofaudit審核申請由公司SMS辦公室按主管機關(guān)《SMS審核發(fā)證規(guī)則》或主管機關(guān)授權(quán)機構(gòu)的《船舶安全管理體系認(rèn)證規(guī)范》規(guī)定，向主管機關(guān)或授權(quán)機構(gòu)指定的審核機構(gòu)提交；ApplicationshoulddraftedandsubmittedtocompetentauthoritiesorauthorizedagencyofthembySMSofficeaccordingtoprovisionsof<SMSauditcertificationrules>or<ShipSafetyManagementSystemCertificationrules>ofcompetentauthority.5.2.3.審核配合Auditcoordinating5.2.3.1.指定人員指派人員陪同審核員到船審核；DPappointspersonaccompanytheauditorgoonboardforauditing.5.2.3.2.船舶做好有關(guān)的審核配合事項；Shippreparesitemsforaudit.5.2.3.3.船舶對審核組開列的不符合規(guī)定情況及時向公司報告，并制訂糾正措施。Shipreportlistednon-conformitiestocompanytimelyandmakecorrectivemeasures.5.2.4.不符合規(guī)定情況的糾正與跟蹤Correctingandfollowingaboutnon-conformities.5.2.4.1.公司SMS辦公室應(yīng)督促船舶在規(guī)定的時間內(nèi)完成對審核中發(fā)現(xiàn)的不符合規(guī)定情況的糾正；SMSofficeshouldsuperviseandurgetheshiptocorrectfoundnon-conformitieswithinthestipulatedtime.5.2.4.2.對船舶上報的不符合規(guī)定情況的糾正材料進行驗證，并呈報審核機構(gòu)驗證確認(rèn)認(rèn)可。Verifycorrectivedocumentputforwardbyshipandsubmittoauditorganizationforverifyandexamine.5.2.5.船舶取得“安全管理證書”后，正本留船，由船長保存，以備主管機關(guān)查驗，副本由公司SMS辦公室保管。“安全管理證書”證書有效期為五年，其有效性服從于中間審核。公司SMS辦公室按主管機關(guān)及其授權(quán)機構(gòu)審核發(fā)證規(guī)則規(guī)定期限申請船舶的中間審核和換證審核，保持“安全管理證書”證書的有效。WhentheshipobtaintheSafetyManagementCertificate,theoriginalcopyshouldkeptonboardbymasterforfutureexamine,SMSofficekeepacopyincompany.IndateoftheSMCisfiveyears,anditseffectivenesssubmitstoannualaudit.SMSofficeappliesformiddleauditandrecertificationauditaccordingtorelevantprovision,keepthecertificateeffective.5.2.6.“臨時安全管理證書”的審核TemporarySafetyManagementCertificateaudit公司若增加或管理了新船，而且公司“符合證明”適用于該船種，SMS辦公室應(yīng)按主管機關(guān)或其授權(quán)機構(gòu)審核發(fā)證規(guī)則申請臨時審核，以取得該船的“臨時安全管理證書”；該證書有效期不超過六個月。SMS辦公室應(yīng)在臨時安全管理證書到期前申請初次審核。IfnewvesseladdedandthecurrentDocumentofComplianceisapplicative,SMSofficeshouldapplyfortemporaryauditandget?TemporarySafetyManagementCertificate?accordingtorelevantcertificationrule;validityperiodofthiscertificateissixmonths.SMSofficeshouldapplyforfirstauditbeforeexpiringofthetemporarycertificate.5.3.向主管機關(guān)及其授權(quán)機構(gòu)的報告Reporttocompetentauthoritiesandauthorizedagency5.3.1.安監(jiān)部應(yīng)及時告知指定人員，指定人員向主管機關(guān)及其授權(quán)機構(gòu)報告。SafetySupervisionDepartmentshouldinformDPtimely,DPreporttocompetentauthoritiesorauthorizedagencyofthem.5.3.2.如公司租入或管理了新船，應(yīng)該與船舶的船東、經(jīng)營人或光船租船人簽訂符合主管機關(guān)要求的安全委托管理協(xié)議，以明確船舶的安全和防污染管理責(zé)任。并按本文件“臨時審核”程序，要求申請公司臨時符合證明和船舶臨時安全管理證書。Ifthecompanycharteredormanagednewvessel,thecompanyshouldsignasafetymandatoryadministrationagreementwithowner/operator/bareboatchartereraccordingtorequirementofcompetentauthorities.AndapplyfortemporaryDocumentofCompliance/SafetyManagementCertificateaccordingtoprocedureoftemporaryaudit.5.3.3.船舶退出公司安全管理體系時，SMS辦公室應(yīng)將船舶的DOC副本、DOC副本年度審核簽注、“安全管理證書”證書收回,退交主管機關(guān)及其授權(quán)機構(gòu)。IfavesseldropsouttheSMSofcompany,SMSofficeshouldtakebackcopyofDOC/DOCendorsementofthisyear/SafetyManagementCertificateandsentbacktocompetentauthoritiesandtheirauthorizedagency.6.文件Documents6.1.“符合證明”審核申請報告由SMS辦公室保存3年