Chapter I. General Provisions
Article 1
These Regulationsare formulated in accordance with the Regulations on Seafarers of the People's Republic of China and the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978, as amended.
Article 2
These Regulationsshall apply to the establishment, implementation, audit and certification of quality management system of seafarers' education and training.
Article 3
The institutions for seafarers’ education and training shall establish and implement their respective quality management system in accordance with these Regulations, and pass the quality management system audit organized by the audit institutions so as to keep seafarers’ education and training under continuous control of such quality management system for the achievement of the defined objectives.
Article 4
The Maritime Safety Administration of the People’s Republic of China is the Administration for implementing these Regulations.
The audit institutions are responsible for organizing and conducting audit on the quality management system under the authority of the Administration.
Chapter II Basic Requirements of the Quality Management System
Article 5 Quality Policy and Quality Objectives
Institutions of seafarers’ education and training, when establishing their respective quality management system, shall explicitly define their quality policy and objectives.
The quality policy, which shall be in conformity with the general policy of the institution, is the general quality purpose and direction of seafarers’ education and training.
The quality objective, which shall adapt to the quality policy and be measurable, is the aim pursued by the institutions of seafarers’ education and training in terms of the quality management.
Article 6 Responsibility, Authority and Communication
Institutions of seafarers’ education and training shall ensure that the respective responsbilities, authorities and interrelations within themselves are clearly defined and well communicated. In order to ensure that the affectivity of the quality management system is communicated, a proper channel shall be identified. The scope of the quality management system shall at least include the following staff and their departments:
1.Teaching staff;
2.Management staff for teaching and trainees;
3.Administrative staff for trainee enrollment, facilities, personnel, file, archives and teaching materials;
4.Internal auditors;
5.Other staff responsible for the establishment and operation of the quality management system.
The top management of the institutions of seafarers’ education and training shall promote the establishment, implementation and continuous improvement of the quality management system, and provide necessary resources for the continuously effective operation of the quality management system.
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 of managing the establishment, implementation and continuous improvement of the QMS;
(ii) reporting to top management regarding the operation and improvement of the QMS; and
(iii) taking effective measures for promoting personnel quality awareness.
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Article 7 Teaching and Training Plan
Institutions of seafarers’ education and training shall establish documented procedures for controlling the process of the development, evaluation, approval, issue and modification of the training plan (scheme) of the professional persons and teaching curriculum syllabus (standards), also controlling the development, approval and issue of the teaching and training implementation plan so as to ensure that such teaching and training plan satisfies the relevant requirements.
The development, approval and issue of training implementation plan shall be controlled if the training outline formulated by the Administration is directly adopted.
The development of teaching and training plan should satisfy the mandatory requirements of relevant international conventions, laws and regulations on education and training of seafarers, with full consideration of trainees involved, teaching methods, teaching staff qualification, teaching facilities and the entrusting parties’ requirements (if any), the effectiveness of past teaching and training and seafarer market demands, etc.
The personnel responsible for edition and evaluation of professional persons training plan (the scheme) and curriculum syllabi (standards) shall include personnel having experience of ship officers at management level. The edition and evaluation activities shall be conducted by different personnel.
The record for teaching and training planning activities shall be properly established and kept.
Article 8 Management of Enrollment and Trainees
Institutions of seafarers' education and training shall establish documented procedures so as to ensure that trainees are under continuous control throughout the whole process of enrollment, registration management, daily guidance, archives management and certificate issue, and to ensure that enrollment scales are commensurate with their own conditions and the provisions of competent authorities, and trainees meet the requirements regarding health condition, knowledge, skill, etc.
The record for management process of enrollment and trainees shall be properly established and kept.
Article 9 Teaching and Administrative Staff
Institutions of seafarers' education and training shall establish documented procedures to control the process of the provision, training and appraisal of teaching and administrative staff so as to ensure that:
1.Teaching and administrative staff are appropriately provided, educated and trained as required, and shall be capable of fulfilling their appropriate duties;
2.Teaching staff have received professional theoretical knowledge, teaching experience and appropriate sea-going experience (if applicable) related to the courses offered.
3. staff members newly employed or assignedto new positions shall familiarize themselves with the job requirements before working.
The process of the provision, training and examining of the staff shall be properly established and kept.
Article 10 Premises, Facilities and Equipments
Institutions of seafarers' education and training shall establish documented procedures so as to ensure that premises, facilities, equipments, teaching materials and publications necessary for education and training conform to the relevant regulations and kept available for use, and to exercise effective control over the following processes:
1.The provision, maintenance, use and management of the premises, facilities and equipments;
2.The use and replenishment of the consumables;
3.The assessment and use of rented premises, facilities and equipments;
4.The plan, selection and management of teaching materials and publications.
Institutions of seafarers' education and training shall identify the requirements change in the aspects of premises, facilities and equipments due to the change of the external or internal requirements, and timely add and replenish them so as to keep conformity with the development of seafarers’ education and training. the records for the control process of premises, facilities and equipments shall be properly established and kept.
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Article 11 Implementation of Teaching and Training
Institutions of seafarers' education and training shall establish documented procedures for controlling the process of teaching staff identification, teaching preparation and implementation, teaching schedule and course substitution, safety control, energy conservation and environmental protection of practical teaching and examination management, so as to ensure that the implementation of the teaching and training is in conformity with relevant regulations.
The record for the implementation process of the teaching and training shall be properly established and kept.
Article 12 Inspection and Assessment of Teaching and Training
Institutions of seafarers' education and training shall establish documented procedures for controlling the processes of inspection and quality assessment of teaching and training, and disposal of inspection and assessment results, so as to ensure the order and effect of teaching and training.
The record for the inspection and assessment processes of teaching and training shall be properly established and kept.
Article 13 Control of Quality Records
Institutions of seafarers' education and training shall establish documented procedures for controlling the processes of format, identification, record, storage, retrieval of the relevant quality records in the operation of the quality management system of the seafarers teaching and training, and clearly defining the preservation deadline and place of the quality records so as to provide evidence of effective operation of the quality management system, and to ensure that the quality management activities of seafarers education and training are traceable.
Article 14 Corrective and Preventive Measures
Institutions of seafarers' education and training shall establish documented procedures of the corrective and preventive measures, for controlling the activities of the collection, cause analysis and the establishment, implementation and verification of corrective measures so as to ensure that non-conformities are corrected in time. Appropriate and effective precautions shall also be taken for potential problems to prevent non-conformities from occurring.
The record for the corrective and preventive measures shall be properly established and kept.
Article 15 Document Control
Institutions of seafarers' education and training shall establish the documented procedures to control the processes of the drafting, approval, issue, recognition, identification, circulation, use, storage, updating, cancelation and archiving of the quality management system documents. Controlled document list shall be stored and updated in time to ensure that the effective version of the documents is available.
The record for the document control shall be shall be properly established and kept.
Article 16 Internal Audit and Management Review
Institutions of seafarers' education and training shall establish documented procedures for controlling the processes of the planning and approval, preparation and implementation, and result disposal of the internal audit and management review.
The internal audit is conducted mainly to check the conformity of the quality management system and to verify whether the quality management system is effectively and continuously implemented. The internal audit shall be conducted by the auditing team consisting of qualified auditors, and carried out at least once each year .
The management review organized and conducted by the top management is mainly to review the appropriateness, sufficiency and effectiveness of the quality management system, and shall be conducted at least once each year
Institutions of seafarers' education and training shall report the results of internal audit and management review to audit authority within three months after the internal audit and management review are finished.
The internal audit and management review shall be properly recorded and kept.
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Chapter 3 Requirements of the QualityManagementSystemDocuments
Article 17 Composition of the quality management system documents
The documents of the quality management system should include:
1. Quality manual. It describes the quality policy and objectives of Institutions of seafarers' education and training, introduces the quality management system, summarizes the approaches or methods of achieving the basic requirements of the quality management system.
The quality manual should at least consist of the following elements: quality policy and objectives, quality management organization, department duties, approaches and methods of achieving the basic requirements defined in Chapter 2.
2. Procedure documents. It describes the processes related to the basic requirements of the quality management system, and procedures or methods for realizing those processes.
The procedure documents shall at least consist of the following elements: purpose, applicable scope, responsibilities of the departments or posts involved in a certain procedure, workflow, supportive documents, and quality records needed.
One document may contain one or more general requirements, while one basic requirement forming a document may be included in many documents.
3. Supportive documents. It specifies specific working rules and standards.
Supportive documents shall at least consist of the following:
1 External documents relating to education and training of seafarers, such as international conventions, laws, regulations, rules, technical specifications and standards, etc.
2. Internal documents of the institution including post responsibilities, operation instructions, work standards, and management regulations, etc.
Article 18 Institutions of seafarers' education and training shall, in view of the environment and objective changes, timely modify quality management system documents for maintaining the conformity and effectiveness of the system.
Chapter 4 External Audit and Certification
Article 19 The quality management system shall be subject to the external audit organized by the audit authority. External audit consists of initial audit, interim audit, renewal audit, additional audit and follow-up audit.
Article 20 Institutions of seafarers' education and training may, at least three months later after the establishment and operation of the quality management system, apply to the audit authority for initial audit. The following materials shall be submitted:
1. Application form of the quality management system audit;
2. Quality manual;
3. List of the quality management system documents;
4. Report on the establishment and implementation of the quality management system;
5. Report on the internal audit and management reviews;
6. Other materials required by the audit authority.
Article 21 Institutions of seafarers' education and training shall, during the period between the 27th and 33rd month after the issue of the quality management system certificate, apply for interim audit. The following materials shall be submitted:
1. Application form of the quality management system audit;
2. Report on the implementation of the quality management system;
3.Briefing on the modifications of the quality management system documents.
4. Briefing on the modifications of changes of seafarer training items;
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Article 22 Institutions of seafarers' education and training shall, three months prior to the expiration of the quality management system certificate, apply for renewal audit, and submit the same materials as required for interim audit.
Article 23 Institutions of seafarers' education and training shall apply for additional audit in case of any addition of training items or changes of education level, and submit the following materials:
1. Application form of the quality management system audit;
2.Briefing on the modifications of the quality management system documents.
Article 24 Follow-up audit should be conducted by the audit authority if one of the following situations occurs:
1. The institutions of seafarers' education and training obtain the quality management system certificate initially and start training program less than one year;
2. 2/3 of the non-conformities found in external audit are not corrected within the prescribed time;
3. Major quality complaint has been confirmed;
4. The continuity and effectiveness of the quality management system is affected significantly in a specific part thereof.
Article 25 To verify the conformity, effectiveness and continuity of the quality management system, the audit authority shall, upon the receipt of the audit application from the institutions, organize an audit team of qualified auditors to conduct the independent audit on the quality management system of the institutions.
Article 26 The audit authority shall decide whether or not to issue or endorse on quality management system Certificate based upon the audit result. The validity of the certificate is not more than five years, and subject to the result of each external audit.
Article 27 The institutions of seafarers' education and training may 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 28 The audit authority shall establish audit files to ensure the traceability of audit.
Chapter 5 Supplementary Provisions
Article 29 The terms are defined as follows:
1. Quality Management System means the organizational structure, responsibility, procedures, processes and resources essential for the implementation of quality management.
2. Top Management means an individual or a team of the highest-level management circle in command and control of Institutions of seafarers' education and training.
3.Quality Management System Audit refers to the systematic and independent inspection to determine whether the quality management system is established in conformity with relevant requirements, whether the quality-related activities are performed according to the documented procedures and whether all quality management procedures are effectively implemented, and whether intended goals are achieved. The quality management system audit includes internal audit and external audit.
4. Internal Audit refers to the quality management system audit conducted by the qualified auditors organized by the institution of seafarers' education and training itself.
5. External Audit refers to the quality management system audit conducted by the qualified auditors organized by the audit authority.
6. Auditor refers to a person with qualification of quality management system audit recognized by the Administration.
7.Initial Auditrefers to the quality management system audit for the first issuance of quality management system certificate to the institutions of seafarers' education and training. It is a comprehensive audit verifying whether the quality management system of the audited institution could meet the basic requirements of the quality management system standards, whether the quality management system could ensure the quality of seafarers’ education and training continuously and effectively, through which the quality management system of the audited institutions could be operated effectively and improved continuously.
8. Interim audit means the periodic QMS audit for the interim endorsement of Quality Management System Certificate. It is a comprehensive quality management system audit aiming at checking the continuity and effectiveness of quality management system in its operation, especially making objective evaluation on the effectiveness of quality management system in achieving established objectives and correcting non-conformities.
9. Renewal audit means the periodic quality management system audit for the renewal of the system. It is a comprehensive audit aiming at verifying whether the quality management system still meets the requirements of Quality Management System Certificate.
10. Additional audit means the quality management system audit conducted according to the Article 23 of The Regulations. It mainly audit the modifications to quality management system documents and verifies if the documents still meet the general requirements of The Regulations.
11. Follow-up audit means the quality management system audit conducted according to thethe Regulations. It mainly audit the correction of non-conformities and improvement of quality management system in order to verify the effectiveness of system.
Article 30 Quality Management System Certificate should be uniformly formulated and printed by the Administration.
Article 31 These Regulations shall enter into force on 1st arch, 2012.
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