YANTAI HAIRONG SHIPPING SERVICE COMPANY 编号File No。：FG-SSM—001 安全管理手册 System Safe Management manual 版号Version：R2.0 页数Total Pages：38 生效日期Valid From:2016—02—25 安全管理手册 System Safe Management manual 修改记录 Amendment Record
No。 拟制Draw Up: Date Page 赵富亭 Measure Audit Approve 审核Audit: 陈建新 审核Audit：
安全管理手册目录Index of System Safe Management manual
安全管理手册实施声明Statement On Implement SMS ................................................................................... 2 前言Preface ........................................................................................................................................................ 4 公司概况Company Brief .................................................................................................................................... 4 定义Definitions .................................................................................................................................................. 4 一 总则General ................................................................................................................................................. 7 二 安全和环境保护方针Safety and Environmental Protection Policy ........................................................... 9 三 公司的责任和权力Company Responsibility and Authority ...................................................................... 11 附件Annex：公司安全管理组织结构图Structure of Safety Management Organization ........................... 12 四 指定人员Designated Person Ashore ......................................................................................................... 13 关于安全经理授权声明Statement of Authority for Safe Controller .............................................................. 15 五 船长的责任和权力Master’s Responsibility and Authority ....................................................................... 16 关于船长权力的声明Statement of the Master’ Authority .............................................................................. 18 六 资源和人员Resources and Personnel ....................................................................................................... 19 七 船上操作方案Shipboard Operations ......................................................................................................... 22 八 应急准备Emergency Preparedness ........................................................................................................... 24 九 对不符合规定的情况、事故和险情的报告和分析 Reports and Analysis of Non—Conformities,
Accidents and Hazardous Occurrences ............................................................................................................ 26
十 船舶和设备的维护Maintenance of Ship ＆ Equipment ........................................................................ 28 十一 文件管理Documentation Control .......................................................................................................... 31 附件:公司的安全管理体系文件结构Diagram of ISM Document Structure ................................................ 33 十二 公司的审核、复查和评价Company Audit, Review and Evaluation ................................................... 35 十三 发证、审核和监督Certification， Audit and Control ........................................................................ 36 十四 核发临时证书 Issuance of Temporary Certificate…………………………………………………….36 十五 审核 Audit………………………………………………………………………………………………38 十六 证书格式 Form of Certificates………………………………………………………。..………………38
安全管理手册实施声明Statement On Implement SMS
本公司的安全管理体系(SMS）是依据《国际安全管理规则》(ISM CODE）的要求,参照国际海事组织、主管机关、船级社和海运行业组织所建议的适用规则、标准和指南，并结合本公司的实际情况而建立的.
As per requirement of ISM Code， we, YANTAI HAIRONG SHIPPING SERVICE COMPANY，
R2.0 2 安全管理手册Safety Management Manual
establish our SMS referring to rules, standard and guide proposed by IMO, Administration, Classification and other maritime organization and combining with our company’s speciality。
本手册真实的描述了安全管理体系，是全体员工工作的法规性、纲领性文件，用以统一、协调全公司的各项安全管理活动，现批准实行。全体员工必须克尽职守，严格地按照《安全管理手册》规定的内容实施。
The Manual actually includes all points of SMS and provides appropriate guideline for the company standard and corresponding managements aspect of safety and pollution prevention。 I, as the General Manager of the company， hereby approve the manual become effective. All staff of the company should comply with it.
本手册亦可作为主管机关审核使用。
The Manual is also for Administration auditing reference。
本手册自2016年02月25日起实施。
The Manual will come into force from June 02, 2012
总经理：陈建新
General Manager： CHEN JIANXIN
批准日期：2016年02月25日
Date: FEB. 25, 2016
R2.0 3 安全管理手册Safety Management Manual
前言Preface
本《安全管理手册》是根据《1974年国际海上人命安全公约》第九章附件《国际船舶安全营运及防污染管理规则》（简称《国际安全管理规则》或《ISM CODE》)和国际有关法规,同时参考国际海事组织、主管机关、船级社和海运行业组织所建议的适用的规则、指南和标准建立起来的公司安全管理体系的总体描述.
The manual incorporates the text of ISM Code of SOLAS Chapter IX， together with relevant regulations of International Convention as well as rules， standard and guide proposed by IMO, Administration， Classification and other maritime organizations.
它是阐明建立安全管理体系的目的、安全和环境保护方针、安全管理目标和为达到上述目的、方针、目标公司应采取的措施，用以指导员工熟悉公司安全管理体系(SMS）、执行安全管理体系文件,保证公司安全管理体系持续有效运行的法规性、纲领性文件；同时也是为船旗国主管机关和港口国了解公司安全管理体系提供的必备文件.
The manual declares the purpose of SMS, safety and environment protection policy, objectives and procedures to provide appropriate guide to all staff for further familiarity and implement of SMS ensuing its constantly effective. Meanwhile, the manual is the necessary document on purpose of auditing of Flag Administration and Port State Control.
本《安全管理手册》由公司总经理批准发布实施。
The manual approved by General Manager comes into effect. 公司概况Company Brief
YANTAI HAIRONG SHIPPING SERVICE COMPANY始创于2014年。 YANTAI HAIRONG SHIPPING SERVICE COMPANY established in 2014.
YANTAI HAIRONG SHIPPING SERVICE COMPANY主要经营管理国际航线的杂货轮。公司现设有ISM部、机务部、航运部、人事部四个船舶管理部门。
YANTAI HAIRONG SHIPPING SERVICE COMPANY consisting of ISM, Technical, Shipping and Manning Department，which is dealing in management of ocean general cargo ships .
公司地址Address：NO.175 NANDA ST. YANTAI， CHINA
电话Office Phone：+86—535-6265575；传真Fax：+86-535—6265515 电子邮件Email： leesterfei＠126.com 定义Definitions 1.
国际安全管理规则《ISM CODE》
系指由国际海事组织大会通过的，并可由该组织予以修正的《国际船舶安全营运和防止污染管理规则》简称《国际安全管理规则》。
ISM CODE means 〈International Management Code for the Operation of Ships and for Pollution Prevention〉 adopted by the IMO Assembly, as amended.
主管机关Administration
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系指船旗国。
Administration means the Government of the State whose flag the ship is entitled to fly。
公司Company
系指船舶所有人，或已承担船舶所有人的船舶营运责任并在承担此种责任时同意承担本规则规定的所有责任和义务的任何机构或个人，如管理人或光船租船人。本手册所指“公司”系YANTAI HAIRONG SHIPPING SERVICE COMPANY。
Company means the Owner of the ship or any other organization or person such as the manager， or the bareboat charterer, who has assumed the responsibility for operation of the ship from the ship owner and who on assuming such responsibility has agreed to take over all the duties and responsibility imposed by the Code。 “Company” appeared in this manual is YANTAI HAIRONG SHIPPING SERVICE COMPANY。
船舶Vessel
系指本公司经营，管理的所有国际航运船舶。
Vessel means all international trading vessels under operation and management of YANTAI HAIRONG SHIPPING SERVICE COMPANY.
安全管理体系（SMS）Safe Management System
系指能使公司人员有效实施公司安全和环境保护方针所建立的文件化、结构化的管理体系。 SMS means a structured and documented system enabling Company personnel to effectively implement the Company safety and environmental protection policy。
指定人员Designated Person
系指岸上同最高管理层直接联系的某个人或几个人，其责任和权力是监控各船营运的安全和防止污染事务，并保证按要求提供充足的资源和岸上支持。本公司指定人员为安全经理.
Designated Person means a person or persons ashore having direct access to the highest level of management。 The responsibility and authority of the designated person or persons should include monitoring the safety and pollution prevention aspects of the operation of each ship and ensure that adequate resource and shore-based support are applied。 As required, DP is called Safety Controller in our company。
不符合规定的情况Non—conformity
系指客观证据表明不满足安全管理体系所规定的要求,或对人员、环境、船舶及货物的安全会造成危险或损害的可观察到的情况。
Non—conformity means an observation where objective evidence indicates the non-fulfillment of a specified requirement， or perhaps threaten to the safety of life, environment， ship, and cargo。 重大不符合规定的情况Major Non-conformity
系指对人员或船舶安全构成严重威胁或对环境构成严重危险，并需要立即采取纠正措施的可辨别的背离，此外，还包括未能有效和系统执行《国际安全管理规则》的有关条款.
Major non—conformity means an identifiable deviation which poses a serious threat to personnel or ship safety or a serious risk to the environment and requires immediate corrective action ； in addition , the lack of effective and systematic implementation of a requirement of the ISM Code is also considered
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as a major non—conformity.
险情Hazardous Occurrence
系指如果进一步发展会造成事故的情况(事故前兆）。
Hazardous occurrence means it may become to accident if developing further more。 （Portent of accident）.
事故Accident
系指造成人员伤亡或造成环境、船舶或其货物损害的事件。
Accident means something happened to cause people injured or environment， ship or cargo damaged. 审核Audit
系指调查并确认某一活动或操作是否符合安全管理体系所规定的要求。 Investigate and verify some operations whether comply with the rules of ISM.
客观证据Objective Evidence
系指以观察、衡量或测试为基础并能被审核的，有关安全或安全管理体系要素存在和实施的量或质的信息记录或事实声明。
Objective evidence means qualitative or quantitative information, records or statements of fact
pertaining to the existence and implementation of an SMS element, which is based on observation， measurement or test and which can be verified。
符合证明（DOC）Document of Compliance
系指发给符合《国际安全管理规则》要求的公司的证明文件。
DOC means a document issued to a company that complies with the requirements of the ISM Code。
安全管理证书(SMC）Safety Management Certificate
系指发给船舶以表明其管理符合已认可的安全管理体系（SMS）的证书。
SMC means a document issued to ship， which signifies that the company and its shipboard management operation is accordance with the approved safety management system。
安全记录Safety Record
系指为已完成的安全和防污染活动或达到的结果，提供客观证据的文件.
Safety Record means some documents showing objective evidence for the results of completed safety and pollution-prevention activity
管理复查Management Review
是由最高管理者就公司的安全和环境保护方针、目标对现行的安全管理的符合性、持续有效性和总体适合性,包括安全和环境保护方针、目标所作的正式而系统的全面检查和评价。
It’s a systemic and comprehensive that the highest level management carry out review and evaluation to verify whether company’s safety and environmental-protection activities comply with efficiency of SMS.
内部审核Internal Audits
是指由公司内部审核员所进行的为判断安全管理体系是否符合ISM规则，安全管理活动和有关结果是否符合安全管理体系规定和计划安排，以及这些安全管理体系规定和计划安排是否得到有效
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实施并适合达到安全和防污染目标的系统而的审查.
Internal audit is a independence audit carried out by company internal auditor so as to verify whether SMS comply with ISM CODE, whether safe management activity and relevant results comply with SMS and arranged plan and whether SMS and arranged plan also reach to requirement of safety and pollution—prevention。
程序Procedure
系指为完成某项活动所规定的途径。
Procedure means the access to achieve some safety managements.
操作文件Operational Document
系指为完成某项专门活动所制定的详细的作业文件.
Operational document means a document established just for carrying out some works in safety.
观察项Observation
系指在安全管理审核期间所得出的并由客观证据所证实的陈述。它也可以是审核员对SMS提出的如果不改正可能会导致不合格的陈述。
Observation means a statement of fact made during a safety mananement audit and substantiated by objective evidence。 It may also be a statement made by the Auditor referring to the SMS which, if not corrected, may lead to a non—conformity in the future。
周年日Anniversary Day
系指与DOC或SMC证书的到期日相应的每年的日期。
Means the day and month of each year that corresponds to the date of expiry of the relevant DOC or SMC。
公约Convention
系指经修正的《1974年国际海上人命安全公约》
Mean amended 一 总则General 1. 公司建立安全管理体系的目的Purpose of SMS Establishment 保证海上安全，防止人员伤亡,避免对环境，特别是海洋环境造成危害以及对财产造成损失。 The purpose of the Code is to ensure safety at sea， prevention of human injury or loss of life, and avoidance of damage to the environment， in particular to the marine environment, and to property。 公司的安全管理目标Purpose of Safe Management 提供船舶营运的安全做法和安全工作环境； Provide safe practices for ship operation and a safe working environment; 针对已认定的所有风险，制订防范措施；Establish safeguards against all identified risks； 7 安全管理手册Safety Management Manual 2. R2.0 3. 4. 5. 不断提高岸上及船上人员的安全管理技能,包括安全及环境保护方面的应急准备. Continuously improve safety-management skills of personnel ashore and aboard ships, including preparing for emergencies related both to safety and environmental protection. 本公司安全管理体系的保证The Safety—Management System Reference 符合强制性的规定及规则;Compliance with mandatory rules and regulations； and 对国际海事组织、主管机关、船级社和海运行业组织所建议的适用的规则、指南和标准予以 充分考虑。 That applicable codes, guidelines and standards recommended by the Organization， Administrations, classification societies and maritime industry organizations are taken into account。 适用范围Application 本公司安全管理体系相关的所有部门和经营、管理的船舶及人员。 The requirements of this Code applied to all departments， ships and personnel related to SMS. 本公司安全管理体系的功能Functional Requirements for SMS 安全和环境保护方针； Safety and environmental-protection policy； 确保船舶的安全营运和环境保护符合有关的国际和船旗国有关法律的指令和程序； Instructions and procedures to ensure safe operation of ships and protection of the environment in compliance with relevant international and flag State legislation; 规定船、岸人员的权限和和相互间的联系渠道； Defined levels of authority and lines of communication between， and amongst, shore and shipboard personnel； 报告事故和不符合ISM规则要求情况的报告程序； Procedures for reporting accidents and non-conformities with the provisions for this Code; 对紧急情况的应急准备和处理程序; Procedures to prepare for and respond to emergency situations; and 内部审核和管理复查程序。 Procedures for internal audits and management reviews. R2.0 8 安全管理手册Safety Management Manual 二 安全和环境保护方针Safety and Environmental Protection Policy 1. 公司的安全和环境保护方针Safety and Environmental-Protection Policy of Company 更安全的航行、更清洁的海洋Safest Sailing and Cleanliest Ocean 公司通过建立、实施和保持安全管理体系，提供船舶安全营运的安全做法和安全的工作环境， 针对已认定的风险制定防范措施,不断提高岸上及船上人员的安全管理技能; The company provide safe practices for ship operation and a safe working environment through establishment ，implement and maintenance of SMS ;establish safeguards against all identified risks and continuously improve safety-management skills of personnel ashore and aboard ships。 确保船舶的安全和防止环境污染操作符合强制性规定及规则并符合适用的建议性规则、指南 和标准; To ensure that ship safe operation and pollution—prevention are compliance with mandatory rules and regulations， and also compliance with applicable codes, guidelines and standards by the Organization。 以实现保证海上安全,防止人员伤亡,避免对环境特别是海洋环境造成危害及对财产造成损失 的目的。 To ensure safety at sea， prevention of human injury or loss of life, and avoidance of damage to the environment, in particular to the marine environment, and to property. 公司实现安全和环境保护方针、目标的措施 Measure of Implement Safety and Environment Protection Policy 建立、实施、保持符合ISM规则的安全管理体系； Establish, implement and keep of SMS compliance with ISM code 提供船舶营运的安全做法和安全工作环境； Provide safety practices and a safe working environment for ship operation； 严格遵守国际、国内强制性的规定和规则； Strictly comply with relevant mandatory regulation and rule of international and Flag State Legislation; 对国际海事组织、主管机关、船级社和海运行业组织所建议的适用的规则、指南和标准予以 考虑; The applicable codes， guidelines and standards recommended by the Organization， Administrations, classification societies and maritime industry Organizations should be taken into consideration。 9 安全管理手册Safety Management Manual 2. R2.0 确保向船舶提供足够的资源和岸上支持； To ensure that adequate resources and shore-based support are supplied for the operation of each ship. 严肃执法管理，不断提高全体员工安全、环境保护意识，增强应变能力和安全管理技能； Strictly manage and continuously improve safety-management skills of personnel ashore and aboard ships， including preparing for emergencies related both to safety and environmental protection. 激励全体员工熟悉公司安全管理体系，执行各项工作程序和操作规程。 Motivating all staff and crew to be familiar with SMS and perform all working procedure and operation rule。 R2.0 10 安全管理手册Safety Management Manual 三 公司的责任和权力Company Responsibility and Authority 1. 公司所属船舶和被委托经营管理的船舶均由本公司负责管理。 YANTAI HAIRONG SHIPPING SERVICE COMPANY. takes on responsible for management of ship is owned of self and is appointed by the owner. 公司已与被委托管理的船舶的所有人签定了符合主管机关规定要求的管理协议: The Company have got the management agreement with the ship Owner complying with the requirements of administration； 当船舶安全和防止污染活动与生产、经营、效益发生矛盾时，应坚持安全第一和保护环境的原则; When ship safety operation and pollution—prevention are conflict with benefit of company， the company should take safety and environmental—protection as our first principle. 公司做为船舶管理公司同意承担《国际安全管理规则》所规定的所有责任和义务； The company as the shipping management hereby agree to take on all responsibilities and obligations according to ISM code。 在不妨碍船长行使法定义务和权力的前提下，公司对处理涉及船舶安全和防止污染的事务具有最终决定权； The company has the definitive right of treat with every thing with regard to ship safe management and pollution—prevention， however company's any action and decision cannot disturb shipmaster fulfil his proper obligation and power. 公司制定了《安全管理职责手册》，对管理、从事和审核涉及安全和防止污染工作的所有人员规定了他们的责任、权力和相互关系;并保证为船舶提供足够的资源和岸上支持。 The company have compiled 公司保证向安全经理提供足够的资源和岸上支持，以便安全经理能够切实履行其职责. The Company should ensure to provide adequate resources and shore-based support to the safe manager to fulfill his duty. 相关文件 Relevant Document FG-SSR-001《安全管理职责手册》 2. 3. 4. 5. 6. 7. 8. R2.0 11 安全管理手册Safety Management Manual 附件Annex:公司安全管理组织结构图Structure of Safety Management Organization 总经理 General Manager 指定人员 D.P ISM部经理 ISM Manager 人事部经理 Manning Manager 机务部经理 Technical Manager 航运部经理 Shipping Manager 公司船队 SHIPPING CO.,LTD Fleet R2.0 12 安全管理手册Safety Management Manual 四 指定人员Designated Person Ashore 为保证各船舶的安全营运和提供公司与船舶之间的联系渠道,公司任命安全经理为可直接同最高管理层联系的指定人员，确保按需要向船舶提供足够的资源和岸上支持。 To ensure the safety management of each of ship and to provide a link between the company and those on board， the company have designated a person ashore （Safety Controller） having direct access to the highest level of management to ensure that adequate resources and shore-based support are applied, as required. 1. 责任Responsibilities 执行公司的安全和环境保护方针； To implement the safety and environmental—protection policy of the company; 保持船舶与公司最高管理层的联系渠道畅通； To keep the link between the company and those on board in order. 确保船舶得到足够的资源和岸上支持； To ensure that adequate resources and shore-based support are applied。 监控SMS运行，保证其持续有效运行； To monitor and ensure SMS running effectually and continually. 对公司及船舶安全和防污染工作进行监控； To monitor safety operation and pollution—prevention for company and each vessel。 评审不符合规定情况、事故、险情的报告，提出纠正措施要求，监控纠正措施的实施； To review report of non-conformity, accidents, and hazardous occurrences, and to bring forward rectified measures and requirements ，and to monitor it rectified accordingly。 审核安全管理体系的有效性和实施程度； To audit validity and practicability of SMS. 组织SMS有效性评价； To arrange evaluation of SMS。 负责迎接外审准备，做好与审核机构的联系工作。 To be in charge of external audit preparing and communication with auditor. 2. 权力Authority 要求公司相关处室为船舶提供足够的资源和岸上支持的权力; To require departments of the company provide enough resources and support to ship. R2.0 13 安全管理手册Safety Management Manual 3. 要求责任部门、船舶对不符合规定情况实施纠正的权力； To require departments and ships to rectify the identified deficiencies。 有权向最高领导层报告所观察到的缺陷. To report the deficiencies to the highest level of management. 附件：关于安全经理授权声明Annex： Statement of Authority for Safety Controller R2.0 14 安全管理手册Safety Management Manual 关于安全经理授权声明Statement of Authority for Safe Controller 为保证各船的安全营运和提供公司与船上之间的联系渠道，确保公司SMS有效持续运行,任命 FRANKY LEE 为安全经理(即ISM规则要求的岸上指定人员,替代人 赵富亭 ），全面负责公司安全管理体系运行的管理和监控,有权要求公司相关处室为船舶提供 足够的资源和岸上支持；要求责任部门、船舶对不符合规定情况实施纠正的权力；向最高领导层报告所观察到的缺陷. 公司各有关部门应为船舶提供足够的资源和岸上支持，以便其充分行使公司赋予的职责和权力。 To ensure the safe operation of ships and to provide a link between the company and those on board and to keep the SMS in effectually， hereby appoint FRANKY LEE as Safety Controller (Designated Person Ashore, substitute ZHAO FUTING）， who is responsible for: Supervising the implementing of SMS； Providing adequate resources and shore base support to each ship; Requiring departments and ships to rectify the identified deficiencies； Independently and derectly reporting the deficiencies observed to the highest level of management. All relevant departments of the company should provide enough resources and strong support to ships so that they can fulfil their duties and authorities. 总经理 General Manager ： 陈建新 CHEN JIANXIN 日期Date :25 FEB 2016 R2.0 15 安全管理手册Safety Management Manual 五 船长的责任和权力Master’s Responsibility and Authority 公司执行国际海事组织(IMO）A.443(Ⅺ）决议，船长具有绝对的权力,有权做出关于船舶安全和防污染事务的决定，全面负责船舶的安全和防污染工作. Complying with No.3 chapter of the resolution IMO A. 443（XI）, the company clearly define and document the master’s responsibilities and overriding authorities with regard to making decisions with respect to safety and pollution prevention and implementing SMS operation onboard. 1. 船长在SMS中的责任The Master’ Responsibilities in SMS 执行公司的安全和环境保护方针，完全熟悉公司的SMS并负责保持其在船上的有效运行； To implement the company’s Safety & Environmental Protection Policy, and familiar with company's SMS and to ensure SMS running effectually onboard； 在船舶安全和防止污染方面负全面责任； To be fully responsible for the management aspect of Safety and Environmental Protection onboard; 激励船员执行公司的安全和环境保护方针； To motivate the crew to implement the Safety & Environmental Protection Policy of the company； 以简明的方式发布相应的命令和指令,并保证所有的命令和指令得到有效执行; To issue appropriate orders and instructions in a clear and simple manner， and ensure all command to be implemented efficiently onboard； 审核SMS具体要求的执行情况; To verify the practicability of SMS； 复查安全管理体系，并负责向安全经理报告SMS不足之处和改进建议; To review SMS onboard and report non-conformities， comments and suggestions to the Safety Controller； 《安全管理职责手册》中要求的其他责任。 Other duties in the Safety Management Responsibility Manual。 2. 船长在SMS运行中的权力The Master’s Authorities in SMS 船长有权在任何时候要求公司给予必要的支持和协助； Master is entitled to request the company to provide necessary shore based support and assistance Anytime; 当船舶、人员、财产和海洋环境受到威胁时，船长有权从船上各方面的最高利益出发而采取 最有效行动； When safty of ship, life, property and environment are threatened ， master has the overriding R2.0 16 安全管理手册Safety Management Manual 3. authority to take whatever action he considers to be in the best interests of ship’s safety； 船长有权制止船员违章、违规,要求公司更换不合格的船员,并提出处理意见; Master is entitled to interdict crew from disobeying rules and regulations and request the company to change the incompetent crew; 为保证SMS正常、有效的运行，船长有权发布必要的命令和指令，并要求船员执行。 To ensure SMS is efficient on board , Master has authority to issue necessary orders and instructions for crew’s implementation。 相关文件Relevant Documents 附件Annex：船长权力的声明 Statement of the Master’ authority FG-SSR-001《安全管理职责手册》 FG—COD-001《船长对SMS的复查》 关于船长权力的声明Statement of the Master’ Authority 为确保执行国际海事组织《关于船长在海上安全和海洋环境保护方面的决定权》的A.443（Ⅺ)号决议，公司现就船长的权力声明如下： To ensure implementation of resolution IMO A。 443(XI)， hereby declare the master’s authority as follow： 船长是船舶的最高领导者，在船舶安全操作和防止船舶污染环境方面负有绝对权利，因而船长在职权范围内发布的命令，船上任何人均应遵守. Master is the highest leader onboard ship and has the overriding authority and responsibility in respect of ship safety operation and pollution prevention。 So all crews onboard should fully observe the orders issued by Master. 船长在任何情况下,根据其职业判断，有绝对权力采取决定性行动，防止船员和其他人员受到伤害,保护船舶和其它船舶或财产的安全,以防止船舶对环境造成污染。 In all situations, the master has overriding authority in any situation to take any actions according to his professional judgment for prevention of danger to safety of crew, ship and pollution to environment and property. 船长可在任何时候为执行其职责向公司请求援助。公司各有关部门应为船舶提供足够的资源和岸上支持，以便其充分行使公司赋予的职责和权力 Master is entitled anytime to request assistance from the company, which should provide necessary shore based support to enable the master to carry out his duties。 总经理: 陈建新 General Manager： CHEN JIANXIN 日期Date：FEB 25, 2016 R2.0 18 安全管理手册Safety Management Manual 六 资源和人员Resources and Personnel 1. 船长Master 公司制定了《船长具有指挥资格、熟悉SMS、得到必要支持的保证措施》.保证公司指派的船长符合STCW公约和其他有关规则、规定的要求,具备适当的指挥资格和能力，并完全熟悉公司的SMS；公司保证船长任何时候均能及时得到必要的支持，以便船长可靠地履行其职责。 The company formulate 船岸人员Personnel 船上人员Personnel onboard • 船员Seafarers 公司应确保每艘船按照国际和国际要求配备合格、持证和身体健康的船员。 The Company should ensure that each ship is manned with qualified， certificated and medically fit seafarers in accordance with national and international requirements. • 配员准则Standard of Crew Manning 公司应确保每艘船适当配员以包含维持船上安全操作的所有方面。 The company should ensure each ship is appropriately manned in order to encompass all aspects of maintaining safe operations on board . 岸上人员Personnel Ashore 公司主要安全管理人员和机务管理人员必须具有具体海务管理经验。 ISM executive and technical executive should be qualified and experienced in marine management。 职责的熟悉Conversance of Responsibility 公司按STCW78/95公约的要求,保证所有船员熟悉其具体职责以及与其日常或应急有关的所 有船舶布置、装置、设备、操作程序和船舶特性和局限性等； As per the requirement of STCW78/95， the company has to ensure all crew employed to be familiar with their own responsibilities as well as ship's arrangement， equipment, operation procedure and particulars； 船舶在编船员能在紧急情况下和在执行与安全或防止、减轻污染至关重要的职能时有效地协 19 安全管理手册Safety Management Manual 2. 3. R2.0 4. 5. 6. 调其活动； Ensure all crew employed onboard to effectively perform their duties in case of emergency and implement some important operations relating to safety or pollution prevention. 公司已建立《新聘和调岗人员熟悉职责的保证程序》，保证涉及安全和环境保护工作的新聘和 新调至该岗位人员熟悉公司的SMS及其职责，规定此类人员上岗前须经过培训考核； The Company has established document of 〈Procedure for New Employee to be Familiar With Responsibility> to ensure that all new employed or transposed person must be trained and examined before commencing to work so that they could be familiar with SMS and their responsibilities in respect of safety and environment protection 。 公司已制定《船长开航前指令的标明及下达规定》，确保船长在开航前获得以文件形式下达的 相关指令。 The company has established document of 有关规则Regulation Concerned 公司制定了《外来文件和资料的控制须知》，保证与SMS相关的所有人员均能获得有关规定、 规则和指南; The Company has established 得到充分的理解； The company has established 培训Training 公司建立了《船岸人员培训程序》，不断标识SMS有关的船岸人员可能需要的培训需求，并保证向所有相关人员提供这种培训； The company has established 〈Training Procedure for Personnel Ashore and onboard>， which is continuously indicated necessary requirement of SMS and ensure the training shall be provided to all personnel ashore and onboard。 SMS信息SMS Information 公司已制定《安全管理体系信息传递程序》，以保证船上人员籍此能够获得用他们懂得的语言书写的有关SMS信息。 The company has established 〈Transmitting Procedure for SMS Information〉 to ensure that all personnel ashore and onboard shall be provided necessary SMS information written in their working language。 20 安全管理手册Safety Management Manual R2.0 7. 8. 交流Intercommunion 公司规定所有人员主要的工作语言为“汉语普通话”,公司主要SMS文件和SMS有关信息以“中 文”编写; The company prescribe that SMS working language is Mandarin, SMS documents and information are in Mandarin also。 公司保证聘用的人员会运用“汉语普通话\"和应用“中文”在执行SMS有关任务时能够进行有效 的交流和信息传递； The company ensures that the personnel employed should be able to communicate and transmit information by Mandarin while performing SMS operation. 公司规定船舶在涉外信息交流时使用英语,公司保证相关岗位船员在涉外履行其职责时能使 用英语进行有效的交流。 The language for vessel's external communication is English， crew member shall be ensured to be able to communicate externally in English while performing duties。 相关文件Relevant Documents FG—SMP-001《新聘和调岗人员熟悉职责的保证程序》 〈Procedure for New Employee to be Familiar With Responsibility〉 FG-SMP—002《船岸人员培训程序》 FG-COD—002《船长具有指挥资格、熟悉SMS、得到必要支持的保证措施》 FG—COD-003《船员配备规定》 FG-COD-004《船舶开航前指令的标明及下达规定》〈Procedure of Sailing Instruction> FG-COD-013《外来文件和资料的控制须知》 R2.0 21 安全管理手册Safety Management Manual 七 船上操作方案Shipboard Operations 1. 船上操作方案的制定Development of Plans for Shipboard Operations 认识到所有的船上操作都会影响到安全和防污染，公司将船上有关操作分为“关键操作”和“特 殊操作”,从而在制定操作计划时能够排列重点顺序,把最大的注意力集中到那些对安全和环保最关键的船舶操作上； Shipboard Operations are divided into 2 parts of Critical and Special Operations so that the pivotal operation concerning with safety and pollution prevention are become the focus of attention when we establish our plans for shipboard operations。 公司建立了《船舶操作方案和须知的制定程序》，已标明了船上“关键操作”和“特殊操作”，对 已标明的船上“关键操作”和“特殊操作”制定了操作方案和须知；规定了船上操作方案和须知的制定、实施、监督检查与更改等控制方法； The Company has established the document of 〈Procedure of developing Plans for Shipboard Operation〉 exactly identifying Critical Shipboard Operation and Special Shipboard Operation， which is guide for establishment plan and procedure for ship's operations. 操作方案、须知已形成船舶操作性文件手册。 The above operation plans and procedures have been covered in Ship Operation Document。 关键操作Critical Shipboard Operation • 关键操作系指其错误会立刻导致危及人员、环境或船舶的事故或情况的操作； Critical Shipboard Operation are those where an error may immediately cause an accident or a situation which could threaten people， the environment or the ship; • 对于关键操作，操作时要严格按照操作程序和工作须知进行,船长、轮机长或相关高级船 员要密切监督操作是否符合要求. Particular attention should be paid to the critical operation adhering to strict instruction in the conduct of critical operations, and whenever master, chief engineer or other officers concerned should closely monitor safety performance。 特殊操作Special Shipboard Operation • 特殊操作系指其错误仅在已造成危险情况或事故已发生时才会明显看出来的操作； Special shipboard operations are those where errors may become apparent only after they have created hazardous situations or when accidents have occurred。 • 对于特殊操作，操作时要严格按照操作程序和工作须知进行，船长、轮机长或相关的高 级船员有责任检查船员的执行情况。 Particular attention should be paid to the critical operation adhering to strict instructions in the conduct of critical operations， and Master， Chief Engineer and Officer concerned are 22 安全管理手册Safety Management Manual R2.0 2. responsible for inspection and monitoring. 除上述“关键操作”和“特殊操作”外，涉及安全和防污染的其它船舶日常管理活动，要严格按 照说明书和有关规定进行； Besides of Critical Operation and Special Operation， other usual management activities with respect of safety and pollution prevention should be carried out strictly complying with regulation concerned and operation manual。 上述各项操作已明确规定并分配给适任船员。若发现从事上述操作的船员不适任,船长、轮机 长应立即安排他人替代，并报ISM部安排接任船员到船。 Above—mentioned operations have been exactly defined and distributed to eligible crew. Master， Chief Engineer should arrange for substitution and report to ISM department in case of someone incompetented。 相关文件Relevant Documents SMP—004《船舶操作方案和须知的制定程序》 SMP—008《标明关键性设备和系统的程序》〈Procedure for identifying key equipment and system〉 R2.0 23 安全管理手册Safety Management Manual 八 应急准备Emergency Preparedness 公司制定了《紧急情况反应程序》，对船舶可能发生的紧急情况做了标明并对紧急情况的报告、联络、应急行动和记录以及船、岸应急反应小组成员的职责等做了相应的规定。以保证在船上发生紧急情况时，船、岸都能够及时采取有效行动，最大限度的减少人员伤亡,避免对海洋环境造成危害和对财产造成损失。 The Company has established 1. 应急准备Emergency Preparedness 公司成立了以总经理为组长的公司应急反应小组；船舶成立了以船长为组长的船上应急反应 小组;要求公司和船上应急反应小组必须熟悉已标明的紧急情况,针对出现的紧急情况迅速判断其发生的可能原因、性质及可能产生的后果，并熟悉为控制事态的发展而应采取的措施和请求第三方援助的步骤； The company and ship established emergency response team of shore—based and shipboard respectively. The emergency response team must be familiar with emergency situation identified， promptly verify the reason, kind and result incurred by emergency situation， and understand how to control the status and request assistance from third parties. 公司制定了《紧急情况反应程序》、《船舶应急演习制度》；规定每年至少进行一次船岸联合演 习，具体演习项目由公司临时决定。船舶保证定期对已标明的紧急情况进行演习和训练。确保所有参加应急行动的人员均清楚其本身在应急反应中所负的责任，熟悉应急反应程序以及能够检查现有的应急反应措施是否有效; The Company established 〈Emergency Response Procedure>， 公司和船上保存最新有效的向各国有关当局报告紧急情况时的联系电话、公司应急反应小组 成员以及公司主管部门的通讯录（见《通信、导航设备管理使用须知》).供船岸应用时查阅； The company and ship always remain updated communication list of national coast authorities and network between management ashore and ships. 公司确保二十四小时与船舶间的通讯联络畅通及与安全和防污染有关人员可随时投入紧急情 况处理. Company should ensure to keep 24hours communication between shore base and ship in normal condition and all persons in charge of safety and pollution prevention should keep standby condition all time so as to deal with some emergency without any delay. R2.0 24 安全管理手册Safety Management Manual 2. 3. 应急反应Emergency Response 船舶发生紧急情况时，船岸参加应急行动的人员应立即按照《紧急情况反应程序》、《船舶应 急手册》做出有效反应，及时采取应急措施.应急措施应以保证海上安全、防止人员伤亡、避免对环境，特别是海洋环境造成危害以及对财产造成损失为首要因素; When the emergency occurring on the ship， shore based and shipboard emergency response personnel should respond immediately according to 〈Emergency Response Procedure> and 公司根据MARPOL73/78公约附则I第26条的要求，在每艘船建立了得到主管机关批准的《船 上油污应急计划》；当船舶发生油污染事故时,按该计划采取措施、处理和控制污染事故； The company have established SOPEP approved by the administration authority in accordance with requirements of MARPOL 73/78 Convention； If oil pollution occurred onboard, crew should take action according to SOPEP. 公司制定了《应急情况反应程序》，确保公司岸上机构在任何时候对涉及船舶所面临的危险、 事故和紧急情况做出反应，并提供足够的岸上基地支持。 The company has established 相关文件Relevant Documents SMP—005《紧急情况反应程序》 〈Emergency Response Procedure〉 FG-VEM-001《船舶应急演习制度》 FG—VPP-001《船舶防污染管理规定》 〈Regulation of Using ＆ Management for Communication Equipment〉 《船舶应急手册》 R2.0 25 安全管理手册Safety Management Manual 九 对不符合规定的情况、事故和险情的报告和分析 Reports and Analysis of Non—Conformities， Accidents and Hazardous Occurrences 公司制定了《不符合规定的情况/事故/险情的报告、调查分析和实施纠正措施的程序》,以确保发生的各种不符合规定的情况、事故及险情得到及时报告和处理，并预防类似情况的再次发生。 The company have established document of 〈Reporting Procedure for Non—Conformities， Accidents and Hazardous Occurrences〉 ensuring all non—conformities， accidents and hazardous occurrences are duly reported and disposed to prevent those similar situations occur again. 1. 报告和分析Report and Analysis 任何偏离SMS文件规定的行为，都应采取纠正措施进行纠正,记录在案并按照SMS中所确定 的程序按要求向公司主管部门报告； Any action infracting SMS should be rectify, record and report to the administration department of company according to the procedure of SMS。 公司主管部门负责人和船长要按《不符合规定的情况/事故/险情的报告、调查分析和实施纠正 措施的程序》分别负责报告本部门和船上发生的所有不符合规定的情况、事故及险情； Personnel in charge of administration department of the company and master should be responsible for reporting their own department and ship’s non-conformities, accidents and hazardous occurrences according to Report should be written and submit to Safety Controller complying with 〈Non—Conformities， Accidents and Hazardous Occurrences Report> 安全经理收到报告后，对报告进行记录并组织主管部门负责任人和船长对报告内容进行调查、 分析;必要时，立即向总经理报告； The Safety Controller should investigate and analyse the reports with manager concerned and master 。If necessary， report to General Manager immediately. 公司主管部门负责人和船长应定期召开部门和船舶会议，检查和总结SMS运行情况并提出修 改和改进建议; Personnel in charge of administration department of company and master should hold meeting regularly summarizing operating of SMS and submitting suggestions or amendments。 安全经理定期将公司SMS运行情况、有关建议及不符合规定的情况、事故及险情进行汇总， 报告总经理并提交公司安全管理复查会议。 Safety Controller should regularly collect and report to the General Manager about SMS operation， some suggestions and non-conformities and also submit it to safety management meeting for review. 2. 纠正措施Corrective Action R2.0 26 安全管理手册Safety Management Manual 3. 船岸人员在日常工作、自查、船旗国检查、港口国监督检查、船舶检验或第三方检查、船长 SMS复查、公司SMS有效性评价和管理复查等活动中，发现的不符合规定的情况、事故及险情报告，在进行调查、分析基础上,安全经理指定主管部门负责人或船长，按《不符合规定的情况/事故/险情的报告、调查分析和实施纠正措施的程序》制定纠正措施; To any non—conformities found by personnel ashore or onboard during FSC, PSC inspection， classification survey or third party inspection， master's SMS review， company effectivity evaluation and review, the safety controller should appoint manager ashore or master to establish rectified plan according to 〈Reporting Procedure for of Non-Conformities, Accidents and Hazardous Occurrences Procedure〉 纠正措施制定后，主管部门负责人或船长应立即组织实施，必要时，安全经理可以直接向总 经理报告，并根据总经理指示布置主管部门负责人和船长采取纠正措施; The said manager ashore or the master should put in practice as soon as rectified plan established. However， the safety controller can report non-conformities to the General Manager directly and arrange personnel in charge to rectify them accordingly。 主管部门负责人或船长负责将实施结果反馈给安全经理。安全经理跟踪、验证纠正措施的实 施情况，直到问题得到满意解决为止; The said manager ashore or the master is responsible for providing feedback of performance result to Safety Controller， who should follow and check up the whole rectified actions till the satisfactory performance. 对事故和险情采取纠正措施后，主管部门应发布信息给相关职能部门和各船舶，防止类似情 况再次发生； After accidents and hazardous have been rectified, the company should inform all function department concerned and vessels to prevent the same occurrence again。 公司根据SMS的运行情况、有关建议和对不符合规定的情况、事故及险情的分析以及公司内 部的情况变化，按《SMS文件控制程序》对SMS文件进行不断地修正、改进和更新; According to All maritime accidents should be investigated and analyzed according to SMP—006《不符合规定的情况/事故/险情的报告、调查分析和实施纠正措施的程序》 〈Reporting Procedure for Non—Conformities， Accidents and Hazardous Occurrences Procedure> FG-COD-010《船舶事故调查、处理、奖惩办法》 〈Investigation, Disposal， Rewards and Punishment for Ship Accident Regulation〉 FG—SPD-009《SMS文件控制程序》 27 安全管理手册Safety Management Manual R2.0 十 船舶和设备的维护Maintenance of Ship & Equipment 公司制定了《船舶设备维护程序》，以保证按计划、安全和及时地对船舶及设备进行维护修理和有关检验，从而使公司所管船舶能够符合船级社、主管机关和港口国的要求，提高船舶及设备的可靠性，保证船舶始终处于适航状态。 The company have established document of 1. 维护、修理和检验Maintenance， Repair And Survey 机务部负责船舶维护、修理工作的管理和监督.公司机务必须熟悉船级社、主管机关和港口国 验船师登轮检验的有关要求，以及船舶和设备情况，监督船上执行《船舶设备维护程序》，提供足够的技术支持和技术性反馈；船长有责任领导船员严格执行公司的《船舶设备维护程序》； Technical department is in charge of management and monitoring for ship’s maintenance and repairing。 All technical super intender must be familiar with not only relevant rules and regulations of the classification， administration of flag state and port state control but also ship and equipment condition。 According to 机务部根据有关国际公约、船旗国和港口国的规范、规则及船级社的要求，结合船舶现状及 船舶检验周期，制定年度修理计划,报总经理审批后组织实施。公司制定了《关于船舶修理和质量验收的规定》，对船舶的修理做了具体规定； The technical department should establish an annual plan for ship maintenance and organize performance after approved by the General Manager according to the rules or regulations of relevant international convention， flag ＆ port state and the classification， as well as ship condition and survey status. Company have established document of 〈Ship’s Repairing and Accepting Procedure〉 按照设备说明书的要求或船舶设备实际情况,公司制订了《船舶预防检查、维修养护周期和分 工》。船上按《船舶设备维护程序》的要求制订年度维护计划，经公司审核确认后实施,确保船上对船舶和设备按照规定的时间间隔进行检查和维护；公司机务定期检查计划的落实情况; The Company have established 迅速报告公司机务部，说明可能的原因，机务部接到报告后，应详细研究，提出纠正措施，并提供船长所要求的必要的岸上支持，具体操作按《船舶设备维护程序》进行； R2.0 28 安全管理手册Safety Management Manual 2. 3. 4. Corresponding actions should be taken by master and his crew for ship’s maintenance. If shore base supports are needed, master should report to the technical department timely and specify the reasons。 The technical department is liable to provide adequate shore support as per 正措施的程序》执行； If any non-conformities on ship maintenance are found, rectified actions should be taken as per 在船舶维护过程中产生的各种记录、报告、技术资料、证件等要进行有效保存。 Various of records, reports, technical documents， certificates come from process of ship maintenance should be filed. 关键性设备和系统Pivotal Equipments and Systems on Board 公司制定了《标明关键性设备和系统的程序》,按程序标明了那些会因突发性运行故障而导致 险情的设备和技术系统，包括备用设备及装置或非连续使用的技术系统,制定了旨在提高这些设备和系统可靠性的具体措施,这些措施包括定期对这些设备和系统进行检测和试验，以保证其保持长期良好的工作状态； The company have established 〈Identification Procedure for Shipboard Equipments and Systems >， to identify equipments， technical systems and their spare equipments or uncontinuous using systems, which could cause sudden failure of which may result hazardous situations, and provide specified measures aimed at promoting the reliability of such equipments or systems and these measures should include the regular testing of stand-by arrangements and equipments or technical systems that are not in continuous use so as to ensure them in good working condition. 关键性设备和技术系统的功能检测，已纳入船舶日常操作性维护，要求船舶部门负责人监督 日常维护和检修工作。 Function test of pivotal equipments and systems have been brought into ship’s routine maintenance work, which should be supervised under leader of ship。 船上备品备件的管理Shipboard Stores and Spare Parts Management 公司制定了《船舶物资、备件供应与管理规定》。 The company have established document of 相关文件Relevant Document FG—SPD—007《船舶设备维护程序》 〈Ship and Equipment Maintenance Procedure> FG—COD—005《关于船舶修理和质量验收的规定》 29 安全管理手册Safety Management Manual R2.0 SMP—008《标明关键性设备和系统的程序》 〈Reporting Procedure for Non-Conformities， Accidents and Hazardous Occurrences 〉 FG—COD—006《船舶物资、备件供应与管理规定》R2.0 30 Ship's Materials， Spare Part Supply Rule〉 安全管理手册Safety Management Manual 〈 十一 文件管理Documentation Control 公司建立了《SMS文件控制程序》,规定了安全管理体系文件及与安全管理体系有关的所有文件和 资料的控制范围和要求，确保公司与SMS有关的所有文件的批准、发布、更改和提供处于受控状态，保证文件的有效性和适用性。 The company have established document of 公司将与SMS文件和与之有关的所有文件做为受控文件，并分为： Controlled documents are consist of SMS documents and other relevant documents as follows： SMS文件：SMS Documents 外来文件:External Document • 适用的国际公约；Applicable international convention • 国内外强制性规范、规则；Compulsive rule， code • 适用的规则、导则和标准;Applicable codes, guidelines and standards • 船旗国、港口国的规定；Flag state， port state regulations • 船级社规范、规则；Classification standards, regulation 资料：Data • 海图、航海出版物及航行通告；Nautical chart， publication and marine notice • 船舶与设备的技术资料，包括图纸、操作说明书等。 Technical documents， include drawing， operating manual and etc. 2. 文件控制Documentation Control 《SMS文件控制程序》及《外来文件和资料的控制须知》对所有受控文件的批准、发布和保 管做出了具体规定，以保证各有关部门和船舶均能获得有效的文件； R2.0 31 安全管理手册Safety Management Manual 3. 《SMS文件控制程序》对所有受控文件的更改做出了具体规定,以保证文件的更改由经授权的 人审查批准,并做出具体标识，以易于识别； 〈Procedure for SMS Documentation Control〉 provide the provision for amendments of controlled documents ensuring such amendments to be approved and identified by accredited person. 《SMS文件控制程序》对文件的作废做出了具体规定,以保证被废止的文件得到及时清除; SMS文件及外来文件列入SMS文件清单,各部门与船舶只发放与之有关的受控文件； SMS and external documents should be listed and each department and ship should only be provided some documents， which are relevant to their work and management。 各部门负责人与船长确保所有存放的受控文件得到妥善保管；保证本部门有关人员在上岗前、 新聘船员在开航前阅读到与之相关的职责、程序和须知； Master and principal officer onboard should keep all controlled documents properly and ensure related crew of their department to know well their responsibilities， safety procedures and rules before sailing and taking over. 各部门负责人与船长负责控制与其部门和船舶有关的文件的有效性和可操作性,及时将失效 文件的信息通知安全经理。 Manager ashore and master should keep related documents in affectivity and workability, and timely inform Safety Controller of everything concerning invalid documents。 相关文件Relevant Document SMP-009DS/CX/009《SMS文件控制程序》 FG-COD-012《SMS文件编写指南》 〈SMS Document Compiling Guide〉 FG—COD—013《外来文件和资料的控制须知》 附件Annex：公司的安全管理体系文件结构Diagram of SMS Document Structure 4. R2.0 32 安全管理手册Safety Management Manual 附件:公司的安全管理体系文件结构Diagram of ISM Document Structure 安全管理手册 Safe Management Manual 安全管理程序手册 Safe Management Procedure Manual 公司操作性 手册 综合管理手 册 甲板部操作 手册 轮机部操作 手册 船舶维护手 册 船舶应急手 册 船舶防污染 手册 固体散装货 船操作手册 Dry Bulk Carrier Operation Manual 安全管理职责手册 Safety Management Responsibility Manual Company Operation Document Vessel Synthesis Management Manual Vessel Deck Department Operation Manual Vessel Engine Department Operation Manual Vessel Maintenance Manual Vessel Emergency Manual Vessel Pollution Prevention Manual 1. 安全管理手册Safe Management Manual 阐明了公司安全和环境保护方针和目标,并总体描述了公司SMS，是公司安全管理纲领性文件。 Clarify the policy and aim of safety and environmental protection and presumptively describe the company’s SMS。 That is top guiding document for safety management of company. 33 安全管理手册Safety Management Manual R2.0 2. 3. 4. 安全管理程序手册Safety Management Procedure Manual 它针对SMS中每一安全管理要素，规定了公司、船、岸应该进行的安全管理工作和开展安全管理活动的途径，是安全管理手册的支持性文件. The Company Procedure Manual is the supporting document to Safety Management Manual, providing guidance of daily safe management for ship and shore base. 安全管理职责手册Safe Management Responsibility Manual 规定公司相关部门、人员和船员的安全管理职责； Stipulate safe management responsibility for related department， personnel and seafarer. 公司、船舶操作性文件Company & Vessel Operation Document 公司操作性文件是船岸执行安全程序，开展安全管理活动的支持性文件; Company Operation Document is support document for company and ship to implement safety management procedure。 船舶操作性文件是对涉及船舶安全和防止污染的船上操作提供支持的文件。 Vessel Operation Document is support document for ship’s operations, which are relevant to safety management and pollution prevention。 R2.0 34 安全管理手册Safety Management Manual 十二 公司的审核、复查和评价Company Audit， Review and Evaluation 1. 公司内部审核Company Internal Audits 为了保持公司的安全管理体系的连续性、符合性和有效性，达到ISM规则的要求，公司制订 了《SMS内部审核程序》； To verify the continuity, coincidence and validity of SMS and comply with the requirements of ISM code， company have established document of 〈SMS Internal Audits Procedure〉； 该程序规定公司内部审核周期每年至少一次，内审对象是公司SMS相关各部门和人员、船舶; 内部审核由安全经理组织实施；实施审核的人员不从属于被审核的部门； Under supervision of Safety Controller, the internal audits should be conducted at least once every year for all organizations, persons and ships. Company auditor should be qualified appropriately and be independent of the areas being audited； 对审核计划、审核内容、审核实施、纠正措施、跟踪检查验证、内审报告等亦做了相应规定。 Audit plan， contents， performance, rectifying， validate are also prescribed。 SMS有效性评价 SMS Affectivity Evaluation 为评价SMS有效性，公司制定了《SMS有效性评价程序》； Company has established procedure for company 〈SMS affectivity evaluation>. 该程序规定评价的周期每年至少一次，原则上在公司内部审核后一周内进行； The period of evaluation should be conducted at least once every year, usually carry out within one week after internal audit. 对参加评价人员的组成、评价的内容、计划、方式、实施等亦做了相应规定； Persons concerning with evaluation， evaluation contents, plan and performance are also prescribed in the document. 根据评价的结论，确定是否进行SMS复查；在有效性评价中发现的问题，责成相关部门制定 并实施纠正措施，并予以验证。 SMS review should be carried out depend on conclusion of the evaluation。 Management department concerned should validate after rectifying the non-conformity detected in the process of evaluation. 相关文件Relevant Document SMP—010《SMS内部审核程序》 〈SMS Internal Audits Procedure> SMP-011《SMS有效性评价程序》 35 安全管理手册Safety Management Manual 2. 3. R2.0 十三 发证、审核和监督Certification, Audit and Control 公司按船旗国主管机关或其认可的机构的有关规定，由安全经理提出SMS的初次审核申请，DOC年度审核和换证审核申请，以及SMC的初次、期间、附加和换证审核申请,DOC应在每年周年日的前或后3个月内接受由主管机关、主管机关认可的机构或在主管机关的要求下，由另一缔约国进行的年度审核;SMC的中间审核应在第2个周年日和第3个周年日进行；如果换证审核在DOC或者SMC到期日前3个月内完成，则新证书的起算日即为原DOC到期日；如果换证审核在DOC或SMC到期日前完成,则新证书的起算日为换证审核完成日。 According to requirements of administration of flag state or an organization recognized by the administration， the Safety Controller should apply for DOC Initial Audit， Annual Audit and Renewal Audit as well as SMC Initial Audit， Intermediate Audit, Additional and Renewal Audit。 Annual Audit is to be carried out complying with requirement of the Administration or the organization recognized by the Administration， within three month before and after each anniversary date of DOC。 The SMC Intermediate Audit should be taken place between the second and third anniversary date of the issue of the SMC, when the Renewal Audit is completed within three months before the expiry date of the existing DOC， the new DOC is to be valid from the expiry date of the existing DOC, when the renewal audit is completed more than three months before the expiry date of DOC, the new DOC is to be valid from the date of completion of the Renewal Audit。 安全经理负责迎接外审准备工作,并做好与审核机构的联系等工作. The Safety Controller should be in charge of preparing for external audit and communication with the auditing organization。 公司DOC正本和船舶SMC副本由公司ISM部统一保管,每艘船舶的SMC正本和公司的DOC副本由船长保管。 The original DOC and the copy of SMC should be placed in the ISM department and the original SMC and copy of DOC should be placed onboard。 ISM部和船长应确保DOC/SMC的有效性。 ISM department and master should ensure the DOC and SMC to be valid. 公司DOC和船舶SMC证书，应在船旗国、港口国主管机关或其认可机构检查时出示。 The DOC and SMC should be placed onboard in order that the master， if so asked, may produce it for the inspection of the Port State Control, the Flag State or Administration。 应注意：在DOC、SMC审核中，当存在严重不合格证据时，主管机关可以撤销此证明，如果DOC失效，则相关的安全管理证书和/或临时安全管理证书也失效。 Attention: The Administration should withdraw the DOC if there is evidence of major non—conformity found in DOC， SMC Audit, relevant safety management certification and/or interim safety management certification should be invalidated if the DOC invalidated。. 十四 核发临时证书 Issuance of Temporary Certificate 14。1 对于下列公司，为便利其初始实施本规则，在审核该公司业已建立的安全管理体系满足本规则1。2.3的目标要求后，可向其签发一份“临时符合证明”,但前提是该公司已做出在“临时符合证 R2.0 36 明\"有效期内运行满足本规则全部规定的安全管理体系的计划： To facilitate the Company’s implementation of these rules， a Temporary DOC may be issued to the Company in the following cases after it is confirmed through inspection that safety management system established by the Company meets the requirement set in Article 1.2.3 of the rules， provided that the Company has run the safety management system plan that conforms to all provisions of these rules during valid term of the Temporary DOC: .1 公司新成立，或 The Company is newly established， or 。2 现有“符合证明”新增船舶种类。New types of ships are added in the existing DOC 该“临时符合证明”应由主管机关或主管机关认可的机构,或者应主管机关的请求由另一缔约国签发，有效期不超过12个月.船上应当保存一份“临时符合证明”的副本以便督查. The Temporary DOC, of which valid term shall not exceed 12 months, shall be issued by competent authorities， institutions recognized by such authorities, or government of another contracting state consigned by competent authorities. A copy of the Temporary DOC shall be placed on board for supervision and examination。 14。2 下述情况下可向船舶签发“临时安全管理证书”： Temporary SMC may be issued to the Ship in the following cases： .1 新造船交付使用； 。2 公司新承担一艘船舶的营运责任； 。3 船舶换旗。 Newly built ships are delivered for use The Company newly assumes duties of operation for a Ship Flag of the Ship is changed 该“临时安全管理证书”应由主管机关或主管机关认可的机构，或者应主管机关的请求由另一缔约国签发,有效期不超过6个月。 The Temporary DOC， of which valid term shall not exceed 6 months， shall be issued by competent authorities， institutions recognized by such authorities， or government of another contracting state consigned by competent authorities。 14。3 特殊情况下，主管机关或应主管机关请求的另一缔约国，可以对“临时安全管理证书\"做自其届满之日起不超过6个月的展期。 Under special circumstances, competent authorities or government of another contracting state consigned by competent authorities may extend the Temporary SMC for no more than 6 months, calculating from expiration date of such SMC。 14.4 “临时安全管理证书”应在审核下述情况后签发给船舶： Temporary SMC shall be issued to the Ship after the following conditions are all met, .1 “符合证明\"或“临时符合证明\"覆盖了该船种; Type of the Ship is covered by DOC or Temporary DOC； .2 公司在该船实施的安全管理体系涵盖了本规则的关键要素并在为签发“符合证明”的审核中已做评估或在为签发“临时符合证明\"的审核中已表明； Safety management system implemented by the Company on the Ship includes all material elements under the Rules, and has been assessed during the inspection for issuance of DOC or manifested during the inspection for issuance of Temporary DOC； .3 公司已做好三个月内审核该船的计划； The Company has made up a plan for internal audit on the Ship within three months; .4 船长和高级船员熟悉安全管理体系以及其实施的计划安排; R2.0 37 The Master and officers are familiar with safety management system and plans for its implementation； .5 已标明的重要指令在开航前已下达； Important instructions that are marked have been made prior to sailing； .6 已用工作语言或船上人员懂得的其它语言提供了有关安全管理体系的信息 Information on safety management system has been provided in working language or other languages that are understood by personnel on board. 十五 审核 Audit 15.1 本规则要求的所有审核，应当按照主管机关充分考虑国际海事组织制定的指南后认可的程序进行。 All the audit prescribed in these Rules shall be conducted in accordance with procedures approved by competent authorities, taking into account the guidelines formulated by the IMO. 十六 证书格式 Form of Certificates 16。1 “符合证明”、“安全管理证书”、“临时符合证明”和“临时安全管理证书”应当按照本规则附录所示格式制作。如果所用语言既非英文又非法文，证书文字应当包括其中一种。 DOC， SMC， Temporary DOC and Temporary SMC shall be made in accordance with forms stipulated in Appendices to the Rules。 If language used is neither English nor French， either English or French version shall be included。 16。2 除了本规则13。3的要求,“符合证明”和“临时符合证明”中所载明的船舶种类可加以签注,以反映安全管理体系中所述的任何船舶操作.” Besides requirements of Article 13。3 of the Rules, types of ships listed in DOC or Temporary DOC may bear endorsement， so as to manifest the limitation on ship operation stipulated by safety management system。 R2.0 38 因篇幅问题不能全部显示，请点此查看更多更全内容
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