Chapter I General Provisions
Article 1 The Regulations are developed in accordance with Regulations on Seafarer of the People’s Republic of Chinaand relevant international conventions.
Article 2 The Regulations apply to the establishment, implementation, audit and certification of the quality management system (hereinafter referred to as QMS) for the seafarer management of maritime safety administrations (hereinafter referred to as MSAs).
The above-mentioned seafarer management covers seafarer registration, training, examination, certification, service, competency follow-up management and Medical Certificate management etc.
Article 3 The MSAs performing seafarer management shall establish and implement seafarer management QMS in accordance with The Regulations, and shall pass the audit conducted by China MSA and bring their seafarer management under the continuous control of QMS in order to meet the established objectives.
Article 4 China MSA is the competency authority for the implementation of The Regulations.
Chapter II General Requirements of QMS
Article 5 Quality Policy and Quality Objectives
MSAs shall set its quality policy and quality objectives while establishing seafarer management QMS. Quality policy is the general quality purpose and direction of seafarer management which shall be consistent with the general policy of MSA. Quality objectives are the aims for seafarer management in quality management, which shall conform to the quality policy and be measurable.
Article 6 Responsibility, Authority and Communication
MSAs shall set the responsibilities and authorities concerning seafarer management within their organizations. Responsibilities, limits of authority and interrelations shall be clearly defined and documented for all related departments and posts which manage, implement and verify seafarer management activities. Appropriate processes shall be developed to communicate the effectiveness of the QMS.
Top management of MSAs shall promote the establishment, implementation and continuous improvement of the QMS and guarantee the essential resources for the continuous and effective operation of the QMS.
Top management shall appoint a designated person from its top management circle who, irrespective of other responsibilities, shall have responsibilities and authorities as following:
(i) responsibilities ofmanagingthe establishment, implementation and continuous improvement of the QMS;
(ii) reporting to top management regardingthe operation and improvement of the QMS; and
(iii) taking effective measures for promoting personnelquality awareness.
Article 7 Human Resources
MSAs shall establish documented procedures for the control over staffing, employment, training and evaluation of personnel within the QMS, to ensure:
(i) that the staffingmeets the needs of seafarer management;
(ii) that the personnel within the QMS have received the required education and training and obtained theoretical knowledge, professional skills, andeven seagoing service(if applicable), with the competency and capabilities for continuous performance of theirresponsibilities; and
(iii) that staff members newly employed or assignedto new positions be familiar with postresponsibilities and requirements before working.
Appropriate records shall be established and maintained for the staffing, employment, training and appraisal.
Article 8 Premises, Facilities and Equipments
To ensure the premises, facilities and equipments essential for seafarer management be in conformity with relevant requirements and in good condition, MSAs shall establish documented procedures to control the following processes:
(i) allocation, maintenance, usage and management of premises, facilities and equipments; and
(ii) usage and supplement of consumables; and
(iii) evaluation and usage of the rented premises, facilities and equipments.
MSA shall identify the modifications to the needs for premises, facilities and equipments arising from the change of external or internal requirements and make timely supplement and update to meet the needs of seafarer management development.
Records shall be established and maintained for the management and usage of premises, facilities and equipments.
[page]
Article 9 Application Reception, Verification, Approval and Certificate issuance
MSAs shall establish documented procedures to control the processes of application reception, verification and approval for seafarer registration and the issuance and endorsement of seafarer certificates and agency qualification certificates to ensure that the application reception, verification and approval conforms to relevant provisions.
The issuance and endorsement of seafarer certificates include the issuance or endorsement of various seafarer certificates and documents as well as the recognition endorsement for certificates issuance by other Contracting States. The issuance and endorsement of agency qualification certificates includes that for qualification licenses and quality system certificates.
MSAs shall regulate the work procedures and operational requirements for each link of application reception, verification and approval. The process of the production, cancellation and destruction of certificates as well as the management of blank certificates and seals shall be under control to ensure that the issuance and management of certificate as a whole keep in conformity with relevant provisions.
Records shall be properly established and maintained for application reception, verification, approval and certificate issuance.
Article 10 Seafarer Training
MSAs shall establish documented procedures for seafarer training management and control the qualification maintenance of seafarer training agencies and their routine check, concentrated check, periodic check, follow-up check disposal and evaluation analysis of training activities as well as QMS evaluation activities etc to ensure each link and process in conformity with relevant provisions.
Records shall be established and maintained for seafarer training management processes.
Article 11 Seafarer Examination
MSA shall establish documented procedures for seafarer examination including theoretical tests, assessment and practical tests to keep examination database management, evaluation criteria development, examination plan and implementation, test results evaluation and evaluation of the whole process under control so as to ensure seafarer examination in conformity with relevant provisions.
MSA shall continuously control the whole process of test papers from the initial draft to the final use observing the principles of confidentiality and fairness. MSA shall organize professionals for the review of test papers and evaluation criteria to ensure the test papers meet the requirements of examination syllabus and the evaluation criteria are scientific and accurate.
MSA shall develop examination planning and implementing procedures. Examination plans shall at least consist of drafting, approval, modification and publish. Implementing procedures shall identify examination schedule, test paper development and the preparation of premises, facilities and equipments as well as the selection of examiners, supervisors and assessors and emergency response plans. When examination plans and implementing procedures are being developed, the categories and forms of examination shall be given due consideration.
MSA shall control the whole test results evaluation, verification, issuance and inquiry to ensure that the evaluation of test results is accurate and fair.
MSA shall, as appropriate, evaluate test papers and evaluation criteria as well as examination organization, implementation and results.
MSA shall identify the potential emergencies in various examinations and develop emergency response plans correspondingly.
Records shall be established and maintained for the processes of examination database control, evaluation criteria formulation, development of examination plans and operational procedures, examination implementation, examination results evaluation and review.
Article 12 Follow-up of Seafarer Competence
MSA shall develop documented procedures for the follow-up of seafarer competence, establish relevant information communication and feedback mechanisms, and conduct continuous follow-up on the competence maintenance to control the examination of seafarers failing in maintaining competency, scoring and disposal of violating maritime discipline as well as the process and results disposal of administrative punishment so that each link could be in conformity with relevant provisions.
Records shall be established and maintained for seafarer competence follow-up.
Article 13 Seafarer Medical Certificates
MSA shall establish documented procedures of Medical Certificates management to control management, supervision and inspection of the report and records of seafarer medical institutions and chief physicians as well as seafarer Medical Certificates issuance so that the management of seafarer Medical Certificate be in conformity with relevant provisions.
Records shall be established and maintained for seafarer Medical Certificate management.
[page]
Article 14 Seafarer Service
MSA shall establish documented procedures for seafarer service management to bring the supervision and inspection of qualification maintenance and service activities of seafarer service agencies, seafarer overseas deployment service agencies and seafarer passport service agencies under control and ensure seafarer service management in conformity with relevant provisions.
Records shall be established and maintained for the management processes of seafarer service agencies, seafarers overseas deployment service agencies and seafarer passport service agencies.
Article 15 File Management
MSA shall establish documented procedures for file management to bring the whole process of the collection, registration, sorting, reservation, usage, statistics, moving and destruction of various seafarer files under control and ensure file management be in conformity with relevant provisions.
Records shall be established and maintained for the whole process of file management.
Article 16 Quality Record Control
MSA shall establish documented procedures for quality record control to bring the identification, entry, format, preservation and retrieval of quality records relating to the process of QMS operation under control and set the period and place for the preservation of quality records to provide evidence for the effective operation of QMS and ensure the traceability of the process of quality management activities.
Article 17 Corrective and Preventive Measures
MSA shall establish documented procedures for corrective and preventive measures to bring the collection of non-conformities and cause analysis as well as the development, implementation and verification of corrective measures under control and ensure that the non-conformities are duly corrected. Appropriate and effective preventive measures shall be developed and taken to prevent potential non-conformities.
Records shall be established and maintained for corrective and preventive measures.
Article 18 Document Control
MSA shall establish documented procedures for the draft, approval, issuance, identification, mark, transfer, usage, preservation, update, cancellation and filing of QMS documents. The controlled document list shall be well kept and duly updated so as to ensure the valid version of applicable documents are available if needed.
Records shall be established and maintained for the control of documents.
Article 19 Internal Audit and Management Review
MSA shall establish documented procedures for internal audit and management review in order to control the processes of development and approval of the audit plan, preparation and implementation, findings and disposal.
Internal audit should give priority to QMS conformity so as to verify the effectiveness and continuity of the quality system, and carried out at least once a year by an evaluation team of qualified auditors.
Management review, which is carried out at least once a year, should be conducted by top management, aiming at evaluating the appropriateness and sufficiency of QMS and putting forward needs for continuous improvement.
MSAs shall report the results of internal evaluation and management review to the Administration within three months after their completion.
Record shall be properly established and maintained for internal audit and management review.
Chapter III Requirements of Quality Management System Documents
Article 20 Components of QMS Documents
QMS documents shall consist of:
(i) Quality manual, covering the quality policy and objectives of MSAs, introduction of the quality management system, and approaches or methods for meeting the general requirements of quality management system.
Quality manual shall at least include quality policy and objectives, organization and department responsibilities of quality management system as well as approaches or methods to meet the general requirements of Chapter Ⅱ.
(ii) Procedure documents, covering the description of the activities involved as required by QMS and provide procedures and methods for the implementation of the above activities.
Procedure documents shall at least cover the objectives, applicable scope, responsibilities of the departments or posts involved in a certain procedure, working process, supportive documents and quality records maintained.
One document may contain one or more general requirements, while one basic requirement forming a document may be included in many documents.
(iii) Supportive documents for defining specific working rules and standards.
Supportive documents shall at least consist of:
.1 External documents related to seafarer management, such as international conventions, laws, regulations, rules, technical specifications and standards; and
.2 Internal documents, such as post responsibilities, operation instructions, work standards, and management regulations
Article 21 MSAs shall, in view of the environment and objective changes, timely modify QMS documents for maintaining the conformity and effectiveness of the QMS.
[page]
Chapter IV External Audit and Certification
Article 22 Seafarer management QMS shall be subject to the external audit organized by the Administration. External audit consists of initial audit, interim audit, renewal audit, additional audit and follow-up audit.
Article 23 MSA may apply to the authority for initial audit at least three months after establishing and operating quality system. The following materials shall be submitted:
(i) application form for QMS audit;
(ii) quality manual;
(iii) QMS document list;
(iv) report on the establishment and operation of quality management system;
(v) briefing on the authorized seafarer management items or pending items;
(vi) report on internal audit and management review; and
(vii) other documents and materials required by the Administration.
Article 24 MSAs shall apply for interim audit during the period between the 27th and 33rd month after the issuance of the QMS certificate. The following materials shall be submitted:
(i) application form for QMS audit;
(ii) report on the implementation of seafarer management QMS;
(iii) report on the modifications of QMS documents; and
(iv) briefing on the change of seafarer management.
Article 25 MSA shall apply for renewal audit three months prior to the expiration of the quality management system certificate, and submit the same materials as required for interim audit.
Article 26 the Administration should, upon receiving the application for renewal audit, organize an audit team of qualified auditors to conduct independent audit on applicator’s seafarer management QMS aiming the conformity, validity and continuity of the QMS.
Article 27 the Administration should, in view of the audit findings, decide whether or not to issuance or endorse on QMS Certificate.
The validity of QMS Certificate is not more than five years, and be subject to the findings of each external audit.
Article 28 MSAs shall apply for additional audit and submit the following materials when applying for new seafarer management items:
(i) application form for QMS audit;
(ii) feasibility report on the seafarer management items under application; and
(iii) Briefing on the modifications of QMS.
Article 29 the Administrationshall conduct follow-up audit in the following cases:
(i) serious violation of regulations or major non-conformities in seafarer management;
(ii) non-conformities not corrected in prescribed time or corrected effectively; or
(iii) other major incidents which may influence the effectiveness of the QMS.
Article 30 MSAs shall apply for initial audit three months after they fails in the initial audit, interim audit, renewal audit or follow-up audit.
If failing in the additional audit, the institutions may re-apply for another one.
Article 31 the Administration may take measures to temporarily suspend seafarer management service or adjust the authorization scope if the MSA fails in a QMS audit.
Article 32 the Administration shall establish audit files to ensure the traceability of audit.
[page]
Chapter V Supplementary Provisions
Article 33 The terms in The Regulations are defined as follows:
(i) Quality Management System means the organizational structure, responsibility, procedures, processes and resources essential for the implementation of quality management.
(ii) Top Management means an individual or a team of the highest-level management circle in command and control of the MSA.
(iii) Quality Management System Audit means the systematic and independent inspection carried out by auditors, aiming at judging whether the QMS established by MSA meets requirements of related regulations and documents, whether quality management activities are performed in accordance with predetermined procedures, whether the regulations and documents are implemented effectively, and whether intended goals are achieved. QMS audit consists of internal audit and external audit.
(iv) Internal Audit means the QMS audit conducted by qualified auditors organized by the MSA itself.
(v) External audit means the QMS audit conducted by an audit team of qualified auditors designated by the Administration.
(vi) Auditor means a person with appropriate QMS audit qualification recognized by the Administration.
(vii) Initial audit means the QMS audit for issuing QMS Certificate to an MSA for the first time. It is a comprehensive audit verifying whether the QMS of the audited unit meets the general requirements of quality management system and whether the quality management achieves the established quality goal of seafarer management continuously and effectively.
(viii)Interim audit means the periodic QMS audit for the interim endorsement of QMS Certificate. It is a comprehensive QMS audit aiming at checking the continuity and effectiveness of QMS in its operation, especially making objective evaluation on the effectiveness of QMS in achieving established objectives and correcting non-conformities.
(ix) Renewal audit means the periodic QMS audit for the renewal of QMS. It is a comprehensive audit aiming at verifying whether the QMS still meets the requirements of quality management system certificate.
(x) Additional audit means the QMS audit conducted according to the Article 28 of The Regulations. It mainly audit the modifications to QMS documents and verifies if QMS documents still meet the general requirements of The Regulations.
(xi) Follow-up audit means the QMS audit conducted according to the Article 29 of The Regulations. It mainly audit the correction of non-conformities and improvement of QMS in order to verify the effectiveness of QMS.
(xii) Certificate means the various certificates and documents issuanced and endorsed by MSAs in seafarer management.
Article 34 The definition of seafarer in The Regulations also applies to pilots and magnetic compass adjusters.
Article 35 Quality Management System Certificate should be uniformly formulated and printed by the Administration.
Article 36 The Regulations shall enter into force on 1st March 2012.
(All information published in this website is authentic in Chinese. English is provided for reference only.)
