Article 30 The relevant provisions of these Rules on the initial examination of ships shall apply to the scope and content of the examination of new certificates of ships.
Chapter IV Additional Audit
Article 31 If a company holding the Certificate of Conformity has any of the following circumstances, the license-issuing organs shall conduct additional examination on the company in due time:
(1) a ship under its management incurs a Marine traffic accident of a major class or above, or a ship under its management incurs a Marine traffic accident of a relatively large class and bears equivalent or above liability, or a ship under its management incurs two or more Marine traffic accidents of a general class within any six months and bears equivalent or above liability;
(2) ships under their management are stranded for two or more times with a retention rate of 10 percent or more in any six months due to defects in the operation of the system, or the same ships under their management are stranded for two or more times in any six months due to defects in the operation of the system;
(3) of the company and the management of the ship at any six months the rules listed in the third paragraph of article 58 of maritime crime and to achieve three or more incidence of ten percent or more, or managed by the same ship in the six months of any rules listed in the third paragraph of article 58 maritime illegal behavior to achieve three or more;
(IV) The Company completes rectification within the prescribed time for major non-conformities that cannot be corrected immediately;
(5) the company is listed as a key tracking shipping company;
(6) If the registration place of the company changes, the authority of examining and issuing license of the company's safety management system is transferred to the examining and issuing organ;
(vii) Other major events that may affect the effectiveness of the company's safety management system.
Article 32 If a ship holding a Safety Management Certificate has any of the following circumstances, the license-issuing organ shall conduct additional examination on the ship in due time:
(1) Occurrence of water traffic accidents of general grade or above with equal or higher responsibilities;
(2) delayed due to defects in system operation;
(3) Two or more maritime illegal acts listed in paragraph 3 of Article 58 of these Rules occur within any six months;
(4) The ship completes rectification within the prescribed time for major non-conformities which cannot be rectified immediately;
(5) re-commissioning of a ship that has been suspended for more than three months but not more than nine months;
(6) There is a change in the shipowner or bareboat charterer entrusted to manage the ship;
(7) The ship is changed from an international route to a domestic route or the type of ship is changed without any change in the company responsible for ship safety and pollution prevention management;
(8) Other major events that may affect the effectiveness of the ship safety management system.
Article 33 If there is any circumstance listed in Item (6) of Article 31 and Item (5) to (7) of Article 32 of these Rules, the company shall inform the license issuing authority in written form and prepare the following materials:
(1) Safety management system audit and registration form;
(2) Relevant information and objective evidence.
Article 34 The scope of the additional audit shall cover the causes of the events leading to the audit and the relevant aspects that affect the compliance of the Company's or ship's safety management system with the ISM rules or NSM rules and its operational effectiveness.
The scope and content of additional audit carried out in accordance with Item (4) of Article 31 and Item (4) of Article 32 of these Rules shall be subject to the relevant provisions of these Rules on the initial audit of companies and ships.
Chapter V Other Provisions
Article 35 The audit of the representative vessel shall be carried out at the same time as the Company's audit as far as possible. If the audit cannot be carried out at the same time due to shipping schedule or other reasons, it shall be completed within three months before the Company's audit.
Article 36 If the representative ship selected by the Company during the examination needs to undergo the initial, intermediate or replacement examination, if the institution issuing the ship Safety Management Certificate is the maritime administrative institution, the representative ship examination shall be carried out together with the initial, intermediate or replacement examination; If the institution issuing the ship Safety Management Certificate is a non-maritime administrative institution, the maritime administrative institution shall conduct the examination jointly with the corresponding institution.
Article 37 If an international sailing ship, as a representative ship, is unable to return to China for examination and verification, the license-issuing organs may approve the examination and verification results of the corresponding organs within three months.
Article 38 If a ship stops sailing for more than nine months, it shall return the Safety Management Certificate to the license-issuing organs for examination and approval, and inform the license-issuing organs for examination and approval to conduct temporary examination again when the ship resumes sailing.
Article 39 If there is no ship under management in the company's system during the annual and certificate replacement examination, the license-issuing organs may conduct examination and verification under the following conditions:
(1) The safety management system has been in operation for more than three months on at least one ship of the relevant type within one year prior to the audit;
(ii) The Company undertakes in writing that the safety management system will operate for more than three months on at least one ship of the relevant type within one year after the audit.
Article 40 If a company fails to pass the temporary examination and approval, it may inform the license-issuing organ to carry out the temporary examination and approval again after the rectification of the non-conformity to the provisions.
Article 41 If a company fails to pass the initial examination, it may inform the license-issuing authority to carry out the initial examination again on the condition that it completes the rectification of the non-conformity and satisfies the provisions in Article 10 of these Rules.
If the company does not meet the conditions for the initial examination and approval when it completes the rectification of non-conforming conditions, it may inform the license-issuing organs to carry out temporary examination and approval again.
Article 42 If the company fails to pass the additional examination and verification listed in Item (6) of Article 31 of these Rules, it may inform the license-issuing authority to carry out temporary examination and verification again after the rectification of the non-conformity.
Article 43 If a ship fails to pass the temporary examination and approval, it may inform the license-issuing organs to carry out the temporary examination and approval again after the rectification of the non-conformity.
Article 44 If a ship fails to pass the initial examination and approval, it may inform the license-issuing organ to carry out the initial examination and approval again after completing the rectification of the non-conformity and meeting the provisions of Article 25 of these Rules.
If the vessel does not meet the requirements for initial examination and approval when it completes the rectification of non-conforming conditions, it may inform the license-issuing organs to carry out temporary examination and approval again.
Article 45 If a ship fails to pass the additional examination and verification listed in Items (5) to (7) of Article 32 of these Rules, it may inform the license-issuing organs to carry out temporary examination and verification again after the rectification of the non-conformity.
Article 46 The Company shall immediately correct any major non-conformity found in the audit. If it cannot be corrected immediately, it shall be subject to the provisions of Article 46 of the Provisions on the Administration of Certification of the Safe Operation and Pollution Prevention Capacity of Shipping Companies and Certificate Issuing of Ship Safety Management; After the rectification of the material non-conformity within the prescribed time, the Company shall conduct additional audit according to Item (4) of Article 31 and Item (4) of Article 32 of these Rules.
Article 47 If "Certificate of Conformity", "Temporary Certificate of Conformity", "Safety Management Certificate" and "Temporary Safety Management Certificate" become invalid for some reason, the company or ship may inform the license-issuing organ to conduct temporary examination again.
If "Certificate of Conformity", "Temporary Certificate of Conformity", "Certificate of Safety Administration" and "Temporary Certificate of Safety Administration" are cancelled, the company or ship shall complete the non-conformity and rectification of related problems before informing the license-issuing organ to carry out temporary examination again.
Article 48 If the China Maritime Safety Administration accepts the request of the competent authorities of other countries or regions for the examination of vessels with non-five-star flag and their companies in accordance with the provisions of the ISM Rules, the China Maritime Safety Administration or its designated maritime administrative authority or authorized recognized organization shall carry out the examination with reference to these Rules and relevant provisions.
Where the competent authorities of other countries or regions put forward special requirements for the entrusted audit, the China Maritime Safety Administration or its designated maritime administrative agency or authorized recognized organization shall take them into consideration.
Chapter VI Responsibilities and Obligations
Article 49 The audit of the safety management system carried out by the company and the ship is an act of sampling verification conducted by the maritime administrative authority, and shall not exempt the company, its management personnel, the ship and the crew from the responsibility of observing the relevant international and domestic safety and environmental protection conventions and laws.
Article 50 The Company shall cooperate with the audit work of the safety management system and truthfully provide relevant information and materials as required by the audit work.
Article 51 The company shall take measures to rectify the non-conforming situation and report the rectification of the non-conforming situation to the license-issuing organs for examination and verification within a specified time as required. The license-issuing organs for examination and verification shall organize verification.
In case of non-conformity, the company can apply for Temporary Certificate of Conformity, Certificate of Conformity, Temporary Safety Management Certificate and Safety Management Certificate only after verification by license-issuing organs.
Article 52 The Company shall, in a timely manner, revise the documents of the safety management system, change of ships under management, change of the company's organizational structure and main management personnel on shore, internal audit, effectiveness evaluation and management review of the shipping company to find out major problems in the operation of the system, accidents, detention, administrative penalties and other information. And if there is any circumstance mentioned in item (6) of Article 31 and Item (5) to (7) of Article 32 of these rules, it shall report in writing to the examination and approval license issuing organs.
Article 53 The China Maritime Safety Administration may send members to recheck and supervise the audit process and results, or directly appoint an audit team to audit the company or the ship. License-issuing organs and auditors shall consciously accept management and supervision.
Article 54 The auditors shall keep confidential the relevant documents they come into contact with in the course of examination and handling them with caution.
Article 55 The Company may complain to the China Maritime Safety Administration or the corresponding maritime administration authority about the auditor's improper behavior and may request the auditor to be replaced.
Article 56 If the auditor violates these Rules or other relevant provisions, China Maritime Safety Administration or license-issuing organs shall handle it in accordance with relevant provisions.
Article 57 License-issuing organs shall equip necessary personnel, equipment and materials for carrying out the examination and approval work, provide necessary logistic support, and may purchase services from social forces when necessary.
The auditor shall participate in the examination and related work in the permanent residence. The examination and certification organ shall reimburse the accommodation, food, transportation and other expenses according to the standards stipulated in the management of travel expenses.
Chapter VII Supplementary Provisions
Article 58 The meanings of the following terms in these Rules:
"Company" means the legal person responsible for the safe operation and pollution prevention management of the ship under the ISM Rules or the NSM Rules.
"Holdup ratio" refers to the ratio of the number of times the ships under the Company's management are held due to defects in the operation of the system and the number of times the ships under the Company's management are subject to ship safety inspection (including port state supervision and inspection and flag state supervision and inspection) during the same time period.
"Maritime illegal act" means an act under any of the following circumstances:
(1) escaping from the scene after an accident;
(2) failure to report an accident as required;
(3) forging, altering, buying, selling, lending or falsely using ship inspection certificates, ship registration certificates, seafarers' fitness certificates or other fitness certificates;
(4) sailing beyond the approved navigation area;
(5) to carry passengers in excess of the passenger quota;
(6) to carry goods beyond the approved load line;
(7) the number of crew members assigned to the ship is lower than the quota requirement stipulated in the minimum safe manning Certificate of the ship;
(8) recruiting persons who have not obtained valid certificates in accordance with the Regulations of the People's Republic of China on Seafarers to work on the ship;
(9) The main safety and pollution control personnel of a shipping company take part-time jobs on board or in other companies in violation of regulations;
(10) to refuse or obstruct the supervision and inspection by the maritime administrative authority or to resort to fraud while accepting supervision and inspection;
(11) Vessels carrying dangerous goods enter or exit ports without permission or engage in the transfer of liquid dangerous goods in bulk;
(12) discharging into the sea pollutants or other substances whose discharge is prohibited by the Marine Environment Protection Law;
(13) transporting highly toxic chemicals through closed waters of inland rivers and other dangerous chemicals whose transport is prohibited by the State in inland rivers;
(14) discharging ship residual oil or waste oil into water bodies in violation of the provisions of the Law on the Prevention and Control of Water Pollution.
"Incidence rate" refers to the ratio between the maritime illegal acts committed by the Company and the vessels under its management and the number of vessels under its management during the same period (if the number of vessels under its management changes during the period, the number of vessels under its management at the time of the last maritime illegal acts).
Article 59 The records in the digital management system used by the company, which can realize the whole-process control of the operation of the company's safety management system or whole-process control of some management elements, can be used as objective evidence to verify the operation of the company's safety management system.
Article 60 These Rules shall enter into force as of date. The Notice of the Maritime Administration of the People's Republic of China on Printing and Issuing Rules for the Examination and Certification of the Safety Management System of Shipping Companies (Maritime Safety No.120 [2015]) shall be abrogated at the same time.
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