中英文SMS内部审核程序模板

1、SMS 内部审核程序 SMS Internal Audit Procedure1 目的 Objective本程序旨在审核公司安全管理体系（SMS）涉及的各部门、船舶所开展的安全和防止污染活动及其结果是否符合ISM规则要求，安全管理体系是否持续有效运行，为安全管理体系的有效性评价 及改进提供依据。To verify whether management system activities and related results comply with the requirement of the ISM and to determine the continuous effectiveness

2、of the SMS management system and to provide the evidence for the SMS Effectiveness Verification.2 适用范围Application本程序适用于公司安全及防止污染活动内部审核工作。This procedure applies to the internal audits of the safety and pollution prevention activities of the company.3 职责 Responsibilities3.1 指定人员DPA进彳T SMS内部审核工作的策划、组织、

3、实施，并对内部审核报告的最终审查结果负责；To be responsible for the planning /organization /performance of the internal audits and also to be responsible for the final audit report.对内部审核组长、审核员进行资格认可。To appraise the qualification of chief auditor and the appointed internal auditors.3.2 ISM 部 ISM Department负责制定内部审核年度计戈 U;

4、To be responsible for drawing up the internal audit planning.公司内部审核首、末次会议的记录；To make records for the opening and closing meeting of the company;审核中各种记录的归档。To make a file for all kinds of records of the audits.3.3 内部审核组长 Chief auditor of the internal audits负责具体组织和实施SMS内部审核；To be responsible for the o

5、rganizing and performance of the internal audit;确定内 审核大纲；To be responsible for establishing the outlining of the internal audit;协调审核组整个审核过程的工作；To be responsible for the co-ordination of the internal audit procedure;汇总审核组成员的审核结果，准备内部审核报告。To collect the data and summarize the outcome of the auditors a

6、nd preparing the audit report.3.4 内部审核员 Internal Auditor根据组长安排实施内部审核；To perform the internal audit as per the arrangement of the chief auditor.负责记录和报告审核的证据与结论；To be responsible for making records and drawing conclusions对于在审核中发现的不符合项填写不符合项记录，并根据情况确认被审核部门制定的纠正措施计划；To file in the Non-Conformity Records

7、if some non-conformity were found and confirm the rectification measures of the audited department respectively.对被审部门、船舶的不符合项纠正措施进行验证。To verify the rectification measures taken by the auditee departments and the ships.3.5 被审核部门 Auditee确认在审核中被发现的不符合项，制订纠正措施并负责组织实施。按时请求内审员对不符合 项的纠正措施予以验证。To acknowledg

8、e the findings of nonconformity and draw up rectification measures. To apply for the verification to the nonconformity rectifications in time.4 工作程序 Working Procedure4.1 内部审核计划 Internal Audit Plan对公司SMS所涉及各部门、船舶的内部审核每年至少一次。All the departments and the ships should be audited at least once a year.ISM部

9、每年元月制定安全及防止污染活动年度内审计划，安排在一年内的审核，确定审 核范围、频次、明确审核目的、要求和内容，经指定人员审核、总经理批准实施。此计 划原件ISM部归档，复印件发给公司领导及各相关职能处室、船舶。ISM department shall make a Internal Audit plan every January for the activities of safety and pollution prevention, and arrange the annual internal audit plan ascertaining the times / scope/ ob

10、jectives /requirements and the details. This plan should be verified by the DPA and approved by GM before implementation, and original plan will be filled by ISM department and the copies will be assigned to the leaders of the company and the functional departments and ships concerned.指定人员每年三月前对公司从事

11、审核的人员进行重新资格评定，作为本年度公司从事内 部审核的正式人选The DPA shall reappraise the qualifications of the auditors in March every year and reconfirm the formal auditor who will engage in the company internal audit.指定人员根据年度内部审核计划制定每次审核的具体计划，并组织实施。According to the Annual Internal Audit Plan the DPA shall make specific audi

12、t plan for every audit and undertake to organize the implementation.4.2 组成审核组 Composing of the Auditing Group指定人员根据资格评定的结果选派人员组成审核组。The DPA shall select the auditors who shall compose the Internal Audit Group as per the outcome the eligibility appraisal.审核组一般由一人或多人组成，成员由指定人员选派。审核组长一般由指定人员担任， 也可由指定人员

13、任命合适人选担任。The Internal Audit Group to be constituted by one auditor or many persons whom appointed by the DPA. And the DPA will undertake the Chief Auditor or appointed by him.4.3 内部审核准备Internal audit preparation审核组成立后，审核组长组织召开内部审核准备会议，明确内部审核大纲，其内容至少包括：Once the audit team has been established the chi

14、ef auditor will call for a meeting and establish the outline of the internal audit which the following should be included at least:? 本次内部审核的受审核部门、审核的目的、范围；The department to be audited this time/the objective and the scope? 依据的文件；The documents to be based.? 审核的时间、内部审核员分工；Time of auditing / the task a

15、ssignment of internal auditor? 首次会议、末次会议、审核组内部会议以及与受审方负责人及有关人员交换意见的会议安排。The arrangement of opening / closing meeting /the internal meeting and the meeting for the view exchanging between the auditee and the personnel concerned.审核组长及审核组成员进一步熟悉内审工作所依据的文件，包括： ISM 规则、 SMS 文件、国际国内有关规则、规定、法规等。The Chief Au

16、ditor and the auditors should be familiar with the documents which are based on ISM CODE /documents of SMS/ the related domestic and international regulations/provisions and acts.由审核组长向审核组成员明确各种表格的填写方法，组织审核组成员制定内审专用文件，至少包括：The auditors shall be instructed to fill up various forms and to make the spe

17、cific documents for the internal audits by the Chief Auditor, at least including:?内部审核通知?内部审核计划? 内部审核检查表ISM 部负责提供审核所依据的文件，包括 ISM 规则、 SMS 文件以及内审工作中所需记录：ISM Department will be responsible for provide the ground documents, including ISM Code/SMS documents and all the internal audit records.? 不符合项记录审核组长

18、安排内审员提前一星期向受审部门发出内部审核通知及内部审核计划。The Chief Auditor shall notify the auditee with the and 受审核部门确定陪同人员并做好必要的准备工作，包括：The auditee shall arrange the accompanied personnel and the job to prepare which including:?验证本部门SMS 文件的有效性；To verify the effectiveness of the SMS documents of self-department.?进一步熟悉ISM 规则

19、、SMS 文件、相关的国际国内规则、规定、法规等；To further familiarize with the ISM CODE / SMS documents and the related international and domestic regulations / provisions and acts etc.? 规范管理好各种客观证据；To standardizing the management of various kinds of objective evidence.? 被审核部门认为必要的其它准备工作等。Other preparing works which the

20、auditee consider as necessary.? 内部审核的实施The execution of Internal Audits? 公司机关与船舶的SMS 内部审核分开进行。The Internal Audit of the company and the ships should be carried out separately.审核组长主持召开内部审核首次会议，参加人员及内容如下：The Chief Auditor presides over the opening meeting and the participants and contents as following

21、:? 公司 SMS 内部审核参加人员：总经理、指定人员、审核组成员、被审核方负责人等；The participants of the company SMS internal audits: GM/SM/members of the audit team and the chief of the auditee.? 船舶 SMS 内部审核参加人员：船长、审核组成员、三副及三管轮以上高级船员；The ship internal audits participants: Master/members of the audit team/officers over third mate and fo

22、urth engineer.? 内容：阐明审核的目的、将涉及的部门、审核组成员分工、审核抽样的过程、被审核方确认内部审核计划及需说明的问题等。Contents: To clarify the objectives of the audit/sections concerned/task assignment for the audit team members/the procedure of the sample taking/the internal audit plan confirmed by the audit and something needed to be illustrat

23、ed.现场审核On-Scene Audit审核员根据内部审核计划及内部审核检查表对职能部门、船舶进行现场审核，审核员通过交谈、查阅文件、检查现场、收集证据等方式、方法检查SMS 运行情况，发现不符合项由审核员填写不符合项记录， 在不符合项陈述栏中提出纠正措施要求，并由受审方确认以保证不符合项能够完全被理解，有利于纠正，如有争议的问题可进行重新确认或由审核组长确定。The auditor will proceed to carry out the on-scene audit to the functional departments and the ships according to the

24、 and . In order to check the performance of the SMS, the audit will be carried out by way of face to face talking /documents checking/on-scene checking and evidence collecting etc.召开审核组内部会议，审核员向审核组长报告现场审核的情况及发现的不符合项，审核组长在不符合项记录中确认。A internal audit team meeting will be held and the auditor will repor

25、t outcome of the on-scene audit as well as the non conformity to the Chief Auditor who will confirm it in the .召开与受审方负责人及有关人员交流会，以交换意见，及时发现审核中的问题并进行解 决。An intercommunion meeting shall be held between the leaders of the auditee and the personnel concerned so as to exchange their comment and find the

26、problems during on-scene audit and settle the problem in time.现场审核结束由审核组长主持召开末次会议，报告审核结果，参加人员及内容如下：The closing meeting will be chaired by the Chief Auditor who will give an audit summary and the participants and contents as following:? 参加人员：与首次会议相同。Participants: same as the opening meeting.? 内容：介绍审核

27、总体情况、宣读不符合项记录及存在问题、受审核方领导根据不符合项记录制定纠正措施，确定纠正措施完成期限，由审核员在不符合项 记录中确认；高层领导者讲话等。The contents: Summarizing the whole situations and declare the and the existing problem. The auditee will draw up a rectification measures containing the rectifying come in line with the .审核组将不符合项记录复印，正本由ISM 部归档，填写不符合项记录发放记录

28、不符合项记录一份由内审员保存，一份复印件发放到相关部门，并由该部门签收。The audit team shall copy the .ISM Department will file place the original on file and file in the . The auditor will keep the original copy of and distribute one copy to other related department who will sign to acknowledge the receipt.由审核组长或其指定的审核组成员编写内部审核报告， 审核

29、组长及各审核组员签字确认，经指定人员审核。由审核组填写内部审核报告发放记录报送总经理及有关部门、船舶签收。The Chief Auditor or the appointed auditor of the audit team will make the , which will be signed and confirmed by the Chief Audit or the auditor and verified by the DPA. The Audit Team will file in theand present to the GM/the departments concern

30、ed or the ships for their sign and acknowledge the receipt.内部审核报告内容：受审核的部门、审核目的、范围、日期、审核依据的文件、审核员、 受审部门主要参加人员、内部审核综述及审核结论、不符合项分布情况。The contents of the Internal Audit Report: The Auditee/audit objectives scope date documents to base/auditor/auditee/Summary of Internal Audit and the Audit Conclusions,

31、 the distribution of Non-Conformity.内部审核报告的发放范围：总经理、指定人员、受审核部门、船舶、不符合项所涉及的相关部门；内部审核报告原件ISM 部存档。The scope of the Internal Audit Report distribution: GM/DPA/Auditee/Ships and the related departments; the Original Internal Audit Report shall be placed on file by the ISM Department.受审核部门纠正措施完成后，将纠正措施完成情

32、况和客观证据提交审核组，审核员对纠正措施进行验证，并同时在每份不符合项记录中填写验证结果，被审核部门存留一份，其余由ISM 部归档，ISM 部在不符合项记录发放记录中填写纠正措施实施完成日期，如未关闭，按不符合规定情况/事故/险情的报告、调查分析和实施纠正措施的程序中的规定执行。The report of implementation of rectification measures and the objective evidence will be presented to the Audit Team for verifications after implementation hav

33、e been completed by the Auditee who will file in the every outcome of verification in the, and one copy will be kept by the Auditee and the others will be placed on file by ISM Department. ISM Department will make a record of the rectification complete date to close the Non Conformity and if there h

34、appens some non conformity situation which is unable to close it will be handled as per the regulations of 内部审核通知Notification of Internal Audit编号 File No.: SPD-010-01兹定于 年_月日至 年月日对你部门（船舶）所涉及的SMS运行情况进行内部审核，现将本次审核计划发给你们，希确定陪同人员并作必要的准备工作。特此通知Please be informed an internal audit of the running condition

35、 of SMS on your vessel would be conducted from to. Attached is the schedule for the coming internal audit.Please look for information and arrange accompanying people and make necessary preparations to facilitate the internal audit.Thank you签发人Issuer 签发日期Date： 内部审核计划Planning of Internal Audit编号 File

36、No. : SPD-010-02受审部门 Being Audited Dep.审核日期Audit Date审核目的 Audit Purpose审核范围Audit Scope依据文件 Documents Referenced审核项目 Audit Items审核员Auditor内部审核检查表Check List of Internal Audit编号 File No. : SPD-010-03受审部门 Being Audited Dep.:审核日期 Audit Date参考文件 Document Referenced :章节号 Chapter No.:审核内容 Audit Contents证实方法

37、、抽样程度、接触人员Confirmation Method, Degree of Spot Checking, Persons Contacted检查结果记录 Audit Result Record审核员 Auditor :审核组长Chief Auditor制定日期 Date of Compilation批准日期 Date of Approval不符合项记录Non-Conformity Records编号 File No. : SPD-010-04不符合项序号 NCR No.:受审部门 Dep. Audited :审核时间Audit TimeISM规则条款ISM Codes不符合项陈述 Des

38、cription of Non-Conformity程序文件 Procedure Documents场所 Location受审方确认 Confirmed By Dep. Audited性质 Property审核员Auditor :审核组长Chief Auditor :纠正措施计划 Measures to Be Taken严重Major责任人 Person In Charge一般Common计划完成日期Estimated Date验证 Verification审核员确认Confirmed By Auditor是否需跟踪审核 If Not Followed是否YesNo不符合项是否关闭If Not Closed是否YesNo验证人Verifier说明：使用时在 内打“Tick in the blanks不符合项记录发放记录Issuant Records of Non-Conformity编号 File No. : SPD-010-05编RNo.发放日期Issuant Date接受人Receiver纠正措施实施计划完成日期Estimated Rectification Date纠正措施实施完成 日期 Comple