外部审核须知

外部审核须知

External Audit Instruction

1. 目的 Objective

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 of Application

公司与船舶的SMS 外部审核。

The SMS external audit of company and vessel.

3. 定义 Definition

SMS 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 prevention 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 Obligation

指定人员负责SMS 外审及向审核机构报告SMS 情况。

Designate personnel to take charge of SMS external audit and report the SMS situation to audit authorities.

5. 工作过程 Course of work

5.1. 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 audit

5.1.1.1. 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 unconformity situations 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 cooperation

5.1.3.1. 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； Designated 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 audit 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 unconformity situations 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，纠正材料报指定人员，指定人员汇总并上报审核机构验证认可。

The unconformity situations 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 recognition.

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 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 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 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《SMP —1110 SMS文件和资料管理和控制程序》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 certification 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 preparation

5.2.1.1. 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 relevant department should finish the correct of unconformity situations 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 Company Safety Management System Audit Issuing Certificate Rules”.

5.2.3. 审核配合 Audit Cooperation

5.2.3.1. 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时向公司报告，并制订纠正措施。

The vessel should report the unconformity situations 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 unconformity

situations

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 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. 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 of 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” applicative 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 ” 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 authorities

5.3.1. 船东是本公司的船舶光租租出，安监部应及时告知指定人员，指定人员向主管机关

报告。

The ship owner is the bare boat charter, the Safety Supervision 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 mandatory administration agreement with ship owner\operator 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

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 designated personnel should take the copy DOC\copy DOC annual audit safety management certificate endorsement\safety 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”审核申请报告由指定人员或其委托SMS 办保存3年。

“Documents of Compliance” audit application report should be preserved by designed personnel or his authorized SMS Office for 3 years.

6.2. “安全管理证书”审核申请报告由指定人员或其委托SMS 办保存3年。

“Safety Management Certificate ” audit application report should be preserved by designed personnel or his authorized SMS Office for 3 years.

6.3. “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3

年。

“Documents of Compliance” audit report and unconformity situations list should be preserved by designed personnel or his authorized SMS Office for 3 years.

6.4. “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3年。

“Safety Management Certificate ” audit report and unconformity situations list should be preserved by designed personnel or his authorized SMS Office or vessel for 3 years.

6.5. “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.

6.6. “符合证明”年度审核签注由船舶保存1年。

“Documents of Compliance” annual audit endorsement should be preserved by vessel for 1 year.

6.7. “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.