有效性評價和管理復查程序

1、有效性評價和管理復查程序Effectiveness Evaluation and Management Review Procedure目的本程序旨在通過對SMS有效性評價和管理復查及船舶復查，不斷對SMS的運行進行 改進和完善，確保SMS的適用性、有效性和持續(xù)性。This procedure means to enhance the effectiveness of SMS management system, and to improve SMS by evaluation for SMS efficiency and management/ship review, so as to en

2、sure continuity, conformity and efficiency of SMS.適用范圍 Application本程序適用于對公司SMS有效性評價、管理復查及船舶復查。This procedure applies to SMS effectiveness evaluation and management/ship review of the company.職責 Responsibility公司總經理有責決定定期對SMS的有效性評價和適時提出對SMS的管理復查要求， 負責批準SMS有效性評價結論和管理復查報告決定。General manager is responsibl

3、e for establishing the requirement of the effectiveness evaluation and management review, approve conclusion of the effectiveness evaluation report and management review report.指定人員按總經理指示，負責組織SMS有效性評價會議；有責審核有效性評價和復 查報告。DPA is responsible for organizing meeting of effectiveness evaluation comply with

4、 instruction of general manager; verifying report of effectiveness evaluation and management reviewing.SMS辦公室負責草擬SMS有效性評價和管理復查計劃及其兩會所做出的結論、 決定和報告。SMS office is responsible for drafting plan of and conclusion/decision/report of the two meetings.SMS有效性評價和復查會議的參會人員：總經理、指定人員、各部門經理等，與會人 員報告轄區(qū)情況、評價SMS運行、商

5、討相關對策、做出相關結論、執(zhí)行會議決議， 實施糾正措施。The participant: General manager, DPA, manager of each department, the participants report situations in their responsibility range, evaluate running of SMS, discuss relevant counter-measures, make relevant conclusion, implement resolution of meeting, carry out corrective

6、 actions.船長組織船舶復查，提供SMS在船運行證據(jù)、實施糾正措施、改進船舶安全與防污 染工作，并將復查結果報告指定人員。Master organize SMS review onboard, provide running evidence of SMS, carry out corrective actions, improve safety and anti-pollution works onboard and report the review result to DPA.高級船員參加船上SMS復查，報告SMS在部門運行情況。Senior officers take part

7、in SMS review onboard and report SMS running situation in their department.SMS 有效性評價程序 Procedure of effectiveness evaluation有效性評價的內容 ContentsSMS有效性評價可就以下一項或幾項內容適時進行審議：The auditing content of SMS Effectiveness Evaluation is the one of or several following items:組織機構及責任和權力的執(zhí)行情況；Organization institutio

8、n and the responsibility, authority implementation condition.SMS文件的符合性及操作性；The conformity and the maneuverability of SMS內部審核情況；The result of internal audit安全和環(huán)境保護方針的實現(xiàn)情況；The implementation condition of the Safety and Environmental Protection Policy培訓情況；The training situation資源落實情況和保障情況；Practicing an

9、d supporting situation about resource.不符合規(guī)定情況、事故、險情的糾正結果；Correct result about Non-Conformities, Accidents and Hazardous Occurrences主管機關安全檢查情況及適應性；Safety examine situation of competent authorities and adaptability.上次對SMS評價發(fā)現(xiàn)的問題和采取糾正措施的效果。The problems found in the last SMS evaluation and the effective

10、ness of rectification measures taken.SMS有效性評價時間和方法 Time and methods有效性評價每年至少一次，在公司岸基內審后必須進行一次，以專題會議形式，由 指定人員組織。Effectiveness evaluation should be carried out at least one time each year; DPA should organize the effectiveness evaluation after internal audit and in form of special conference.SMS有效性評價參

11、加人員The participant總經理、指定人員、各部門經理參加，具體由指定人員根據(jù)評價內容確定。General manager, DPA, manager of each department, DPA decides who should attend according to content of evaluation.指定人員提出評價要求，確定時間和參加人員，并由SMS辦公室按上述要求編寫SMS有效性評價和管理復查計劃，報指定人員審核和總經理審批后，下發(fā)至相 關部門和人員，SMS辦公室必須存檔一份。DPA establishes requirement of the effecti

12、veness evaluation, fix the time and participant. SMS office compiles , sent to relevant department and person after approved by DPA and general manager, SMS office hold one copy on file.參加會議部門/人員報告體系的運行情況，審議內審報告，按評價計劃中確定的內容 進行分析討論，提出提高SMS符合性、適用性、有效性的措施。Attended department/person report running situa

13、tions of SMS, deliberate internal audit report, analyze and discuss content listed in evaluation plan, put forward improving measures about conformity, applicability and availability.SMS辦公室主任做好會議記錄，并根據(jù)作出的決議，起草SMS有效性評價報告。Director of SMS office make minutes, and draft SMS effectiveness evaluation repo

14、rt refer to resolution of the meeting.SMS有效性評價報告經指定人員審核、總經理批準后，SMS辦公室發(fā)至各部/船舶/ 人員。SMS office distributes the SMS effectiveness evaluation report to each department/ship/person when the report is approved by DPA and general manger.對有效性評價中發(fā)現(xiàn)的問題，會議應確定具體的糾正措施。The meeting should decide specific corrective

15、 actions refer to questions found in effectiveness evaluation.有關責任部門/船舶/人員負責糾正措施的落實，并填寫SMS有效性評價/管理復查 報告表。Relevant department/ship/person carries out the corrective actions and fills in .由指定人員或其委托合適人員對糾正措施實施的有效性進行驗證，驗證人員向指定 人員報告驗證情況，由指定人員確認糾正措施效果，并作為下一次有效性評價的依 據(jù)。DPA or person appoint by DPA verify th

16、e validity of corrective action, the verifier report result of verifying to DPA for confirmation, the result would seems as basic of next effectivenessevaluation.有效性評價決定如涉及體系文件的修改時，應按文件和資料管理控制程序執(zhí)行。If there would be a change of SMS according to decision of effectiveness evaluation, that should be car

17、ried out according to ,公司 SMS 管理復查程序 Management review procedure復查的內容 ContentsSMS管理復查可就以下一項或幾項內容適時進行審議；The following items to be concerned in the SMS review:有效性評價結果；Result of effectiveness evaluation事故、險情和不符合規(guī)定情況的統(tǒng)計結果；Statistical result of Non-Conformities, Accidents and Miss Risks Situation內審和外審結果；

18、Result of internal/external audit公司的崗位人員設置及人員配備的合理性；Rationality of post arrangement and manning公司內、外部環(huán)境條件變化；The change of internal/external environment of company船舶復查報告；Ship SMS review report安全管理體系是否有實際作用；Whether SMS has actual effect船隊更新、相關法規(guī)更新；Replace of fleet, update of relevant laws and regulati

19、ons.上次對SMS管理復查發(fā)現(xiàn)的問題和采取糾正措施的效果。Problem found in the last SMS efficiency evaluation and effectiveness of the rectification measures takenSMS管理復查的時間和方法Time and methods根據(jù)公司SMS的有效性評價表明有必要進行復查的時候，總經理以專題會議形式組 織實施。The General Manager is responsible for convening a management review meeting when necessary in

20、 accordance with the result of effectiveness evaluation.發(fā)生下列情況公司必須對SMS進行復查；The SMS management review should be carried out in the following cases:船舶發(fā)生重大事故及以上或連續(xù)發(fā)生事故；When the significant accident appeared or accident occurred continuously船舶滯留；Vessel be detained內審發(fā)現(xiàn)存在有重大不符合規(guī)定情況；Significant non-conform

21、ity appeared in internal audit.有效性評價的結果對體系運行的有效性提出了質疑；The result of the efficiency evaluation shows query about running efficiency of SMS.發(fā)證(DOC、SMC、法定檢驗證書)機構的建議；The suggestions of certification organizations (DOC, SMC, Class certificate and legal verification certification)船隊變化；對公司SMS產生重大影響的強制性新規(guī)定出

22、臺等。The change of the fleet, publish of mandatory regulations which have significant impact to the company.SMS管理復查參加人員Participant總經理、指定人員、各部門經理等參加，具體由總經理根據(jù)復查內容確定。General manager, DPA, manager of each department, general manager decides who should attend according to content of review.總經理提出管理復要求，確定時間和

23、參加人員，并由SMS辦公室主任按上述要求編寫SMS管理復查計劃表，報指定人員審核和總經理審批后，下發(fā)至相關部門和 人員，SMS辦公室必須存檔一份。General manager establishes requirement of the effectiveness evaluation, fix the time and participant. SMS office compiles , sent to relevant department and person after approved by DPA and general manager, SMS office hold one

24、copy on file.參加會議部門/人員報告體系的運行情況，審議有效性評價報告，按復查計劃中確定 的內容進行分析討論，提出提高SMS符合性、適用性、有效性的措施。Attended department/person report running situations of SMS, deliberate internal audit report, analyze and discuss content listed in review plan, put forward improving measures about conformity, applicability and avai

25、lability.SMS辦公室做好會議記錄，并根據(jù)做出的決議，起草SMS管理復查報告表。Director of SMS office make minutes, and draft refer to resolution of the meeting.SMS管理復查報告經指定人員審核，總經理批準后，由SMS辦公室發(fā)至各部門/人 員/船舶。SMS office distributes the SMS management review report to each department/ship/person when the report is approved by DPA and gene

26、ral manger.管理復查中發(fā)現(xiàn)的問題，會議應確定具體糾正措施，并由指定人員或委托合適人員 對糾正措施實施的有效性進行驗證，驗證人員向指定人員報告驗證情況，由指定人 員確認糾正措施效果，并作為下一次管理復查的依據(jù).The meeting should decide specific corrective actions refer to questions found in management review. DPA or person appoint by DPA to be responsible for verifying the validity of corrective ac

27、tion, the verifier report result of verifying to DPA for confirmation, the result would seems as basic of next management review.管理復查決定如涉及體系文件的修改時，應按文件和資料管理控制程序執(zhí)行。If there would be a change of SMS according to decision of management review, that should be carried out according to .船長 SMS 復查程序 Master

28、s Review of the SMS復查時間Time每年不少于一次。At least once review every year.復查依據(jù) Basic of review有關強制性法規(guī)、規(guī)定及建議適用的規(guī)則、標準和指南和公司SMS文件。Mandatory regulations, suggested regulations, standard, guidance and SMS file of company.復查內容 ContentsSMS文件的符合性及可操作性；The conformity and maneuverability of SMS documents船舶內審和外審結果；Re

29、sult of ships internal/external audit船舶人員配備的合理性；Rationality of manning on board對SMS方針、程序和操作規(guī)定的了解和遵守情況；Knowledge and implementing condition about SMS policy, procedure and operational provisions船員培訓情況；Training of crew船上文件、報告和記錄的保管；Preservation of files, report and records onboard上次對管理復查發(fā)現(xiàn)的問題和采取糾正措施的效果。Problem found in the last SMS efficiency evaluation and effectiveness of the rectification measures taken復查步驟 Step of review船長落實以下準備工作：Master carries out followed works:確定復查的重點內容；Decide key content of review確定會議時間；Asce