外部审核程序.doc

外部审核程序external audit procedure1. 目的 objective 本程序旨在规范公司向主管机关申请、取得公司的“符合证明”和船舶的“安全管理证书”以及如何保持证书有效性的方法和步骤。this procedure aim at making application/acquiring and methods/procedure of ensuring effectiveness of document of compliance and safety management certificate standard. 2. 适用范围 application 本程序适用于公司/船舶如何通过主管机关初次审核、取得doc/sms相关证书，及其如何通过有效期内连带年度签注，从而保持证书有效性的准备工作和审核取证实施过程。this procedure applies to the first audit of competent authorities/acquiring relevant certificates of doc, and how to get yearly endorsement before expiry date so as to ensure implementing of preparatory work and auditing work for validity of certificates.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规则和国际、国内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“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。external audit of sms means audit carried out by competent authorities or authorized agency of them, inspecting whether the companys sms meet international/intestine mandatory provision about ism/nsm, whether sms running ashore/on board meet requirement of companys sms files. the audit includes the first audit/recertification/annual/middle/temporary audit of document of compliance and safety management certificate. 4. 职能 responsibilities指定人员和各轮船长，是公司和船舶与主管机关沟通的联络员及应对和接受审核的组织、领导者。dp and master onboard are liaison man between company/ship and competent authorities, and organizer and leader when there is an audit.4.1. sms办公室是负责公司sms运行事务的职能部门，担负与主管机关实施审核/发证/监督的应对、申报和执行之责，以及负责sms相关文件、资料、证书的归档与有效性保持。sms office is function department who responsible for running of sms, to be responsible for replying/reporting/implementing works during implementing audit/issuing certificate/ supervisory procedure of competent authorities, sms office also in charge of filing and effectiveness maintaining of sms relevant files/document/certificates.5. 程序 procedure 5.1. 公司“符合证明”的审核和管理audit and management of document of compliance5.1.1. 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；finish internal audit and all non-conformities found in internal audit are corrected.5.1.1.2. 已召开sms有效性评价会并已发出会议决议；organized a meeting about effectiveness evaluation and issued meeting resolution.5.1.1.3. 备妥申请审核应附送的各种材料。prepared all documents need to be audited.5.1.2. 审核申请 application for audit审核申请报告由指定人员按主管机关sms审核发证规则的规定起草并提交。application report should drafted and submitted by dp according to 5.1.3. 审核配合 audit coordinating5.1.3.1. 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；dp should keep contact with the audit team and learn audit plan once received notice of audit.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；relevant departments ashore and ship (if one) should coordinate with the audit team to finish audit according to 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。relevant departments ashore and ship (if one) should confirm and draw up corrective measures refer to non-conformities listed by audit team.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，纠正材料报公司sms办公室验证，经指定人员确认后上报审核机构验证认可。relevant departments ashore and ship must correct the non-conformities before prescribed time limit, and submit corrective documents to sms for verifying, and then submit to auditing organization for verifying and approval when approved by dp.5.1.5. 公司在取得“符合证明”后，正本由公司保管，并将副本寄送给公司体系内船舶，由船长负责保存，以备主管机关或主管机关认可的机构的查验，“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，公司sms办公室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。original copy of document of compliance should keep in company, copies sent to ship in sms and kept by master, in case of auditing of competent authorities or authorized agency of them. indate of the document of compliance is five years, and its effectiveness submits to annual audit. the company should ensure the sms running effectively, apply for annual audit and recertification audit refer to prescribed timelimit. sms office is responsible for sending endorsement of annual audit to ship, and the ship should keep the endorsement together with the document of compliance 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，sms办公室应按sms文件和资料控制程序的规定修改公司sms文件，经指定人员审核确认后，再按主管机关及其授权机构审核发证规则规定，申请新船种公司sms临时审核，以取得“临时符合证明”。该证明的有效期为六至十二个月。公司应在临时符合证明到期前的规定时间范围内向主管机关申请初次审核。if new kind of vessel add and the current document of compliance not applicative any more, sms office should revise the sms files according to and submit the files to competent authorities for application of temporary audit and temporary document of compliance after approved by dp. indate of temporary document of compliance is six to twelve moths. the company should apply for first time audit before expire of the temporary document of compliance.5.2. 船舶“安全管理证书”的审核和管理safety management certificate auditing and management.5.2.1. 审核准备 prepare for audit5.2.1.1. 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；finish internal audit and all non-conformities found in internal audit are corrected.5.2.1.2. 备妥审核可能需要的材料。prepare all documents maybe needed.5.2.2. 审核申请 apply of audit审核申请由公司sms办公室按主管机关sms审核发证规则或主管机关授权机构的船舶安全管理体系认证规范规定，向主管机关或授权机构指定的审核机构提交；application should drafted and submitted to competent authorities or authorized agency of them by sms office according to provisions of or of competent authority.5.2.3. 审核配合 audit coordinating5.2.3.1. 指定人员指派人员陪同审核员到船审核；dp appoints person accompany the auditor go onboard for auditing.5.2.3.2. 船舶做好有关的审核配合事项；ship prepares items for audit.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。ship report listed non-conformities to company timely and make corrective measures.5.2.4. 不符合规定情况的纠正与跟踪correcting and following about non-conformities.5.2.4.1. 公司sms办公室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；sms office should supervise and urge the ship to correct found non-conformities within the stipulated 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，并呈报审核机构验证确认认可。verify corrective document put forward by ship and submit to audit organization for verify and examine.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，副本由公司sms办公室保管。“安全管理证书”证书有效期为五年，其有效性服从于中间审核。公司sms办公室按主管机关及其授权机构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。when the ship obtain the safety management certificate, the original copy should kept onboard by master for future examine, sms office keep a copy in company. indate of the smc is five years, and its effectiveness submits to annual audit. sms office applies for middle audit and recertification audit according to relevant provision, keep the certificate effective.5.2.6. “临时安全管理证书”的审核 temporary 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，sms办公室应按主管机关或其授权机构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”；该证书有效期不超过六个月。sms办公室应在临时安全管理证书到期前申请初次审核。if new vessel added and the current document of compliance is applicative, sms office should apply for temporary audit and get temporary safety management certificate according to relevant certification rule; validity period of this certificate is six months. sms office should apply for first audit before expiring of the temporary certificate.5.3. 向主管机关及其授权机构的报告 report to competent authorities and authorized agency5.3.1. 安监部应及时告知指定人员，指定人员向主管机关及其授权机构报告。safety supervision department should inform dp timely, dp report to competent authorities or authorized agency of them.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“临时审核”程序，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 chartered or managed new vessel, the company should sign a safety mandatory administration agreement with owner/operator/bareboat charterer according to requirement of competent authorities. and apply for temporary document of compliance/safety management certificate according to procedure of temporary audit.5.3.3. 船舶退出公司安全管理体系时，sms办公室应将船舶的doc副本、doc副本年度审核签注、“安全管理证书”证书收回, 退交主管机关及其授权机构。if a vessel drops out the sms of company, sms office should take back copy of doc/doc endorsement of this year/safety management certificate and sent back to competent authorities and their authorized agency.6. 文件 documents6.1. “符合证明”审核申请报告由sms办公室保存3年。a