The safe operation and pollution prevention capacity of shipping companies shall comply with the certification and the administrative provisions on ship safety management certificate issuing (Draft for comment)

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Article 1 For the purpose of regulating the safe operation and pollution prevention capacity of shipping companies (hereinafter referred to as "Certificate of Compliance") and Ship safety management Certificate (hereinafter referred to as "Certificate of Compliance") Certification work of safety management certificate, according to the law of the People's Republic of China maritime traffic safety law of the People's Republic of China on administrative admission law of the People's Republic of China maritime administrative licensing conditions regulations of the People's Republic of China regulations on shipping companies safety and pollution prevention and related laws and regulations, and the People's Republic of China on international maritime conventions concluded or joined, To formulate these provisions.
Article 2 These Provisions shall apply to the issuance and management activities of the certificate of conformity and safety management of the People's Republic of China.
Article 3 The Maritime Safety Administration of the People's Republic of China (hereinafter referred to as the China Maritime Safety Administration) shall be in charge of the administration of the certification of conformity and the issuing of safety management certificates throughout the country.
The maritime administrative organs designated by the China Maritime Administration shall be responsible for the administration of compliance certification and safety management certificate issuance according to their functions and powers.
Article 4 The certificates of compliance mentioned in these Provisions include Provisional Certificates of Compliance and Certificates of Compliance; Security management certificates include Temporary Security Management Certificate and Security Management Certificate.
Article 5 The issuance of conformity certificates and safety management certificates shall follow the principles of fairness, impartiality, openness and convenience to the people.
Chapter II Application and Acceptance
Article 6 An application for the issuance of a certificate of conformity or a certificate of safety administration shall meet the corresponding conditions stipulated in the Provisions of the People's Republic of China on Conditions for Maritime Administrative License.
Article 7 A Company shall submit an application for issuing a certificate of conformity or a certificate of safety administration to a maritime administrative authority that has the authority to examine and approve license issuing (hereinafter referred to as "the authority to examine and approve license issuing").
Article 8 The following materials shall be submitted for the Provisional Certificate of Conformity of the company applying for the issuance of the Certificate of Conformity:
(1) Application form for certifying the shipping company's compliance with safe operation and pollution prevention capabilities;
(2) a copy of the Business License (Duplicate);
(iii) Audit report of the company's safety management system;
(4) a list of non-conformance situations for which rectification has been completed;
(5) Certificate of entrustment and identity certificates of the principal and the principal and their copies (when entrusting).
Article 9 The following materials shall be submitted when applying for the issuance of Temporary Safety Management Certificate for Ships:
(1) Application form for issuance of Ship Safety Management Certificate;
(2) Copies of the Temporary Safety Management Certificate and the Safety Management Certificate held by the ship twice before or the description of the situation (if applicable);
(3) Ship safety management system audit report;
(4) a list of non-conformance situations for which rectification has been completed;
(5) Certificate of entrustment and identity certificates of the principal and the principal and their copies (when entrusting).
Article 10 After the company has made an effective commitment on the following matters, it may inform the way of commitment to apply for the Temporary Safety Management Certificate:
(1) The Provisional Certificate of Conformity or Certificate of Conformity held by the Company covers the type of vessel;
(ii) the Company has provided the ship with safety management system documents and information related to safety management system;
(iii) The company has made the internal audit plan for the ship within three months;
(4) The master and officers are familiar with the safety management system and its implementation plan;
(5) instructions marked as important have been given before the voyage;
(6) Failing to hold the Temporary Safety Management Certificate for two consecutive times before the ship owner has not changed;
(7) It has signed a ship management agreement with the ship entrusting party that meets the specified requirements, carried out an assessment of the safety and anti-pollution management of the entrusted ship and formed an assessment report (applicable to the entrusted ship).
Article 11 The following materials shall be submitted when applying for Temporary Safety Management Certificate by means of notification and commitment:
(1) Application form for issuance of Ship Safety Management Certificate;
(2) Undertaking to inform of maritime certification matters;
(3) Certificate of entrustment and the identity certificates of the principal and the principal and their copies (when entrusting).
Article 12 Each ship managed by the Company shall not apply for Temporary Safety Management Certificate more than once by means of notification and commitment.
Article 13 Under any of the following circumstances, the company shall not apply for the Temporary Safety Management Certificate by means of notification and commitment:
(1) having made a false promise or violated the promise to apply for the Temporary Safety Management Certificate within two years;
(2) administering the key tracking of ships;
(3) Maritime illegal acts listed in paragraph 3 of Article 58 of the Rules for Auditing the Safety Management System of Shipping Companies have occurred within two years to the company and the ships under its management;
(4) Other relevant provisions explicitly do not apply to the method of disclosure commitment.
Article 14 After receiving an application for issuing a certificate of conformity or a certificate of safety management, a license-issuing organ shall examine it and decide whether to accept it or not.
Chapter III Examination and Decision
Article 15 A license-issuing organ shall examine the application materials after accepting the license-issuing application.
For those that meet the requirements, the license-issuing organs shall make a decision on granting the license and issue corresponding certificates to the company.
For those who do not meet the requirements, the license-issuing organs shall make a decision of not approving the license and serve the Written Decision of Not Approving the Maritime Administrative License to the company.
Article 16 The license-issuing organs shall, within 15 working days from the date of accepting the application, make a decision on whether to approve or not.
If no decision can be made within 15 working days, the Company may extend the time limit by 10 working days with the approval of the person in charge of the organization, provided that the reason for the extension shall be informed to the Company.
For applying for Temporary Safety Management Certificate by means of notification and commitment, the license-issuing organs shall make a decision on whether to grant the license or not within one working day from the date of accepting the application.
Article 17 The license-issuing authority shall issue the certificate or serve documents to the company within 10 working days from the date of making the license decision.
Article 18 The term of validity of the Provisional Certificate of Conformity is 12 months.
The COMPANY holding THE TEMPORARY Certificate of Conformity shall apply for THE issuance of THE CERTIFICATE of Conformity 20 working days before the expiration of the validity of the certificate.
Article 19 The Certificate of Conformity shall be valid for five years and shall be valid only for the type of ship that has passed the initial examination. For those who apply for adding a new type of ship and pass the initial examination, such type of ship shall be added to the original Certificate of Conformity, and its validity period shall be consistent with the original Certificate of Conformity.
Article 20 The validity of the Certificate of Conformity is subject to the annual review and endorsement. If the license-issuing organs approve the annual endorsement, they should issue the Annual Endorsement for Conformity Certification to the company. If the license-issuing organ does not agree with the annual endorsement, it shall serve the Written Decision on Revocation of Maritime Administrative License and cancel the Certificate of Conformity at the same time.
Article 21 The Company shall apply for the renewal of the certificate 20 working days before the expiration of the validity of the Certificate of Conformity. The new Certificate of Conformity shall come into force one day after the expiry date of the original certificate and shall be valid for five years.
Article 22 For the circumstances listed in Article 39 of the Rules for the Examination and Approval of Safety Management System of Shipping Companies and approved by the license-issuing organs, the company shall be given the endorsement and replacement of the relevant ship type certificate; Otherwise, the Certificate of Conformity of the Company's relevant ship type shall be cancelled.
Article 23 A Temporary Safety Management Certificate shall be valid for six months.
The Company shall apply for the issuance of the Temporary Safety Management Certificate 20 working days before the expiry date of the Temporary Safety Management Certificate.
Article 24 The validity period of the Safety Management Certificate is five years.
The validity of the Safety Management Certificate is subject to the intermediate audit endorsement. If it passes the audit, the leader of the audit shall give an intermediate audit endorsement on the Safety Management Certificate; If the company fails to pass the examination and approval, the intermediate examination and approval shall not be approved. The examination and approval authority shall serve the Written Decision on Revocation of Maritime Administrative License to the company and cancel the Safety Management Certificate at the same time.
Article 25 The Company shall apply for the renewal of the Safety Management Certificate 20 working days before the expiry date of the certificate. The new Safety Management certificate shall come into force one day after the expiration date of the original certificate and shall be valid for five years.
Article 26 In the case of the circumstances listed in Items (1) to (5) and (7) of Article 31 of the Rules for the Examination of the Safety Management System of Shipping Companies, the Certificate of Compliance shall remain valid after being approved by the examination; If the company refuses to accept the examination or does not agree to maintain the validity of the Certificate of Conformity after the examination, the Company shall serve the Written Decision on Revocation of Maritime Administrative License and cancel the Certificate of Conformity at the same time.
Article 27 of the existence of the shipping company safety management system audit rules the first listed in item (6) of article 31 of the situation, with the approval of the audit and certification, issued by the new "conforms to the certificate, at the same time issue a company in the management of the safety management certificate, the validity of the new certificate deadline shall be identical with the original certificate, and the cancellation of the original certificate issued by the original certificate authority; If the certificate is not approved after examination and verification, no new certificate shall be issued, and the original certificate issuing authority shall cancel the original certificate.
Article 28 In case of any of the circumstances listed in Item (1) to (6) and (8) of Article 32 of the Rules for Auditing the Safety Management System of Shipping Companies and passing the audit, the leader of the audit shall give an additional audit endorsement on the Safety Management Certificate; If the company refuses to accept the examination or fails to pass the examination, no additional examination and approval endorsement shall be attached. The examination and approval authority shall serve the Written Decision on Revocation of Maritime Administrative License to the company and cancel the Safety Management Certificate at the same time.
Article 29 In case of the circumstances listed in Item (7) of Article 32 of the Rules for the Examination of the Safety Management System of Shipping Companies, a new Safety Management Certificate shall be issued after the approval of examination. The expiration date of the new Safety Management certificate shall be the same as the original certificate, and the original certificate shall be cancelled by the issuing authority of the original certificate. If the certificate is not approved after examination and verification, no new certificate shall be issued, and the original certificate issuing authority shall cancel the original certificate.
Article 30 Temporary Certificate of Conformity, Certificate of Conformity, Annual Audit Endorsement of Certificate of Conformity, Temporary Safety Management Certificate and Safety Management Certificate shall be issued in the form of electronic certificate, and the company may apply to the license-issuing authority to issue paper certificates.
Article 31 The ship shall ensure that it can produce the Provisional Certificate of Conformity or the e-certificate of the Certificate of Conformity, or a copy of the paper certificate, when being inspected by the competent authority.
Chapter IV Alteration, reissuance and extension
Article 32 In case of any change in the contents recorded in the certificate, the company shall apply to the examining and issuing authority for the change of the certificate.
Article 33 The following materials shall be submitted in the application for certificate alteration:
(1) Application form for certifying the safe operation and pollution prevention capacity of the shipping company or for certifying the ship safety Management certificate;
(2) Description of the changes in the certificate and objective evidence;
(3) Certificate of entrustment and the identity certificates of the principal and the principal and their copies (when entrusting).
Article 34 If the license-issuing organ agrees to the alteration, it shall issue a new certificate to the company, and record the alteration content and time on the new certificate. Except for the changed contents, other contents of the new certificate should be consistent with those of the original certificate.
If the license-issuing authority does not agree to the alteration, it shall serve the Decision on No Alteration of Maritime Administrative License to the Company.
Article 35 If the paper certificate is lost, destroyed or damaged, the company may apply to the license-issuing authority for reissuing the certificate.
Article 36 The following materials shall be submitted when applying for reissuance of certificates:
(1) Application form for certifying the safe operation and pollution prevention capacity of the shipping company or for certifying the ship safety Management certificate;
(2) the information and objective evidence of the certificate reissue;
(3) Certificate of entrustment and the identity certificates of the principal and the principal and their copies (when entrusting).
Article 37 If a license-issuing organ agrees to issue a new certificate, it shall issue a new certificate to the company, and record the time of issue on the new certificate. Other relevant contents shall be consistent with the original certificate.
If the license-issuing organ does not agree to reissue the certificate, it shall explain to the company the reasons for not reissuing the certificate.
Article 38 If the ship's initial examination and approval cannot be carried out as scheduled due to the following special circumstances, the company may apply to the examination and approval license issuing organ for the extension of Temporary Safety Management Certificate.
(1) The company to which it belongs holds the Provisional Certificate of Compliance and has not been examined for the first time;
(2) The conditions for audit are not met due to force majeure;
(3) cannot be examined due to the shipping date;
(4) Other circumstances that cannot be reviewed due to objective reasons.
The application for renewal of the Temporary Safety Management Certificate shall be submitted 20 working days before the expiration of the validity of the certificate.
Article 39 The following materials shall be submitted when applying for the extension of Temporary Safety Management Certificate:
(1) Application form for issuance of Ship Safety Management Certificate;
(2) Description of the certificate renewal and objective evidence;
(3) Certificate of entrustment and the identity certificates of the principal and the principal and their copies (when entrusting).
Article 40 If the license-issuing organs agree to extend the period of validity, they should extend the period of validity of Temporary Safety Management Certificate for six months.
If the license-issuing organ does not agree to extend the period, it shall explain the reasons for not extending the period to the company.
Article 41 The procedures for acceptance and examination of applications for certificate alteration, reissue and extension shall be carried out with reference to the relevant provisions of Chapter II and Chapter III of these Measures.
Chapter V Supervision and Administration
Article 42 License-issuing organs shall examine, approve and issue conformity certificates and safety management certificates in strict accordance with laws, regulations, rules and the conditions and procedures stipulated in these Measures.
Article 43 The license-issuing organs shall strengthen the supervision in the process and after the event, and supervise and inspect the licensed matters of the company according to the duties prescribed by laws and regulations.
When the license-issuing organs carry out supervision and inspection, the company shall provide assistance and cooperation, and shall not refuse, obstruct or obstruct.
Article 44 In conducting supervision and inspection, the license-issuing organs shall not hinder the normal production and business activities of the licensees, ask for or accept the property of the parties concerned, or seek other interests.
Article 45 For the company or ship that has obtained conformity certificate and safety management certificate according to law, If the license-issuing organs find that the license-issuing organs no longer meet the requirements of the International Code for the Safe Operation of Ships and the Prevention of Pollution (hereinafter referred to as the "ISM Code") or the Code of the People's Republic of China for the Safe Operation of Ships and the Prevention of Pollution (hereinafter referred to as the "NSM Code") and the relevant conditions of maritime administrative license, they shall be ordered to make corrections; If it fails to correct within the time limit or still fails to meet the requirements after rectification, the corresponding administrative license shall be revoked.
Article 46 If a major non-conformity is found during the examination and verification and cannot be corrected immediately, the examination and verification license-issuing organ shall withdraw the conformity certificate or safety management certificate, and report the relevant information to the maritime administrative organ at the place where the ship is berthing or the competent authority of the port state and the competent authority of the flag state entrusted to examine and verify the certification. If the company or ship refuses to return the certificate, the license-issuing authority shall cancel the certificate of conformity or safety management.

Article 47 If a company is found to conceal relevant information or provide false materials, the license-issuing organs shall not accept or issue the license. The company shall not apply for the certificate of conformity and safety management certificate again within one year.

Article 48 If a company fraudulently obtains a certificate by means of deception, the license-issuing organ shall revoke the administrative license and cancel the relevant certificate once it is verified. The company shall not apply again within three years; If the case constitutes a crime, criminal responsibility shall be investigated according to law.
Article 49 If a company is found to have made a false promise or violated the promise, the license-issuing authority shall terminate the handling of administrative license or revoke the administrative license already made. The company will no longer apply for the application of Temporary Safety Management Certificate by means of notification and commitment within two years.
Article 50 If the staff members of license-issuing organs practice favoritism, abuse their power, practice fraud, neglect their duties, fail to perform their duties of examination and approval, issuance, supervision and administration of conformity certificate and safety management certificate according to law, administrative sanctions shall be given according to relevant regulations; If the case constitutes a crime, criminal responsibility shall be investigated according to law.
Article 51 If a company makes false promises or violates promises, it shall bear legal liabilities by itself, and the license-issuing organ and its staff shall not bear liabilities.
Chapter VI Supplementary Provisions
Article 52 The term "Company" as mentioned in these Provisions refers to the legal person that undertakes the responsibilities and obligations of safe operation and pollution prevention management of ships as stipulated in ISM Rules or NSM Rules.
Article 53 The formats of Temporary Certificate of Conformity, Certificate of Conformity, Annual Audit Endorsement for Certificate of Conformity, Temporary Safety Management Certificate and Safety Management Certificate shall be formulated by the China Maritime Administration.
Article 54 These Provisions shall take effect as of the date of. 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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