《国际安全管理规则》应用指南
国际安全管理ISM规则修正案
《国际安全管理(ISM)规则》修正案1 在标题"1总则"之前增加新的标题"A部分-实施"1 总则1.1 定义2 在"1.1定义"和第"以下定义适用于本规则A部分和B部分"。
3 在第"1.1.4 安全管理体系系指能使用公司人员有效实施公司的安全与环境保护方针的结构化和文件化体系。
1.1.5 《符合证明》系指发给符合本规则要求的公司的文件。
1.1.6 《安全管理证书》系指发给船舶，证明其公司和船上管理已按照认可的安全管理体系运作的文件。
1.1.7 客观证据系指基于观察、衡量或测试并能被审核的关于安全或安全管理体系要素的存在和实施的数量或质量的信息、记录或事实陈述。
1.1.8 评述系指在安全管理评审期间作出的并由客观证据证实的事实陈述。
1.1.9 不符合系指所观察到的从客观证据表明不满足某一具体要求的情况。
重大不符合系指对人员或船舶安全构成严重威胁或对环境构成严重危险，需要立即采取纠正措施的可辨别的背离，并包括未能有效和系统地实施本规则的要求。
周年日期系指每年相应于有关文件或证书有效期届满之日的月份和日期。
公约系指经修正的《1974年国际海上人命安全公约》。
"7 船上操作方案的制订4 原第7章的文字由以下内容代替："对涉及船舶安全和防止污染的关键性的船上操作，公司应建立有关方案和须知的制订程序，适当时还包括核查清单。
对所涉及的各项任务应作出明确规定并分配给合格的人员。
"13 发证、审核和监督5 原第13章的标题和文字由以下内容代替："B部分-发证与审核13 发证和定期审核13.1 船舶应由持有根据第14.1段发给的与该船相关的《符合证明》或《临时符合证明》的公司营运。
13.2 《符合证明》应由主管机关、主管机关认可的机构或应主管机关的要求，由公约另一缔约国政府颁发给符合本规则要求的任何公司，其有效期由主管机关规定，不超过五年。
ISM规则理解指南
附录 1ISM规则理解指南1A部分实施1 总则1.1 定义以下定义适用于本规则的A和B两部分。
1.1.1 “国际安全管理规则”系指由国际海事组织大会通过的，并可由该组织予以修正的“国际船舶安全营运和防止污染管理规则”。
【理解】这是对《国际安全管理规则》的界定，特指由国际海事组织大会 A.741（18）号决议通过且由该组织修正的《国际船舶安全营运和防止污染管理规则》，亦称ISM规则。
1.1.2“公司”系指船舶所有人，或已承担船舶所有人的船舶营运责任并在承担此种责任时同意承担本规则规定的所有责任和义务的任何组织或法人，如管理人或光船承租人。
【理解】本规则中所称“公司”是实施ISM规则并申请“符合证明”（DOC）的“公司”，有以下三种情况：1、船舶所有人，拥有并管理所属船舶；2、船舶经营人，承担船舶经营和管理责任，其中包括ISM规则规定的公司的所有责任和义务；3、管理人，负责船舶的管理但不负责其经营。
所承担的船舶管理责任，包括ISM规则规定的公司的所有责任和义务。
就船舶管理人而言，这里所称“承担船舶营运责任”应理解为是与安全和防污染有关的责任，与经营有关的责任不属于本规则所调整的范畴。
一般情况下，船舶管理人是用签订管理协议的方式明确承担本规则所规定的所有船舶安全与防污染责任和义务的。
管理人应当采取必要措施以获取船舶经营过程中与安全有关的船舶信息。
1.1.3“主管机关”系指船旗国政府。
【理解】“主管机关系指船旗国政府”是笼统的说法，具体来说是指船旗国政府中负责船舶安全与防污染管理事务的职能机构或部门，在我国为中华人民共和国海事局。
1.1.4“安全管理体系”是指能使公司人员有效实施公司安全和环境保护方针的结构化和文件化的体系。
【理解】体系是若干相互联系和相互制约的组成部分构成的有机整体。
安全管理体系要以实施公司安全和环境保护方针为总体目的。
安全管理体系必须是文件化和结构化的。
“文件化（documented）”是指将体系以文件的形式表现出来，书面形式或电子文档形式都可以。
国际安全管理规则(中英)1
International Safety Management (ISM) Code（as revised by 2002 amendment）Preamble1 The purpose of this Code is to provide an international standard for the safe management and operation of ships and for pollution prevention.2 The Assembly adopted resolution A.443(XI), by which it invited all Governments to take the necessary steps to safeguard the shipmaster in the proper discharge of his responsibilities with regard to maritime safety and the protection of the marine environment.3 The Assembly also adopted resolution A.680(17), by which it further recognized the need for appropriate organization of management to enable it to respond to the need of those on board ships to achieve and maintain high standards of safety and environmental protection.4 Recognizing that no two shipping companies or shipowners are the same, and that ships operate under a wide range of different conditions, the Code is based on general principles and objectives.5 The Code is expressed in broad terms so that it can have a widespread application. Clearly, different levels of management, whether shore-based or at sea, will require varying levels of knowledge and awareness of the items outlined.6 The cornerstone of good safety management is commitment from the top. In matters of safety and pollution prevention it is the commitment, competence, attitudes and motivation of individuals at all levels that determines the end result.PART A - IMPLEMENTATION1 GENERAL1.1 DefinitionsThe following definitions apply to parts A and B of this Code.1.1.1 "International Safety Management (ISM) Code" means the International Management Code for the Safe Operation of Ships and for Pollution Prevention as adopted by the Assembly, as may be amended by the Organization.1.1.2 "Company" means the owner of the ship or any other organization or person such as the manager, or the bareboat charterer, who has assumed theresponsibility for operation of the ship from the shipowner and who, on assuming such responsibility, has agreed to take over all duties and responsibility imposed by the Code.1.1.3 "Administration" means the Government of the State whose flag the ship is entitled to fly.1.1.4 "Safety management system" means a structured and documented system enabling Company personnel to implement effectively the Company safety and environmental protection policy.1.1.5 "Document of Compliance" means a document issued to a Company which complies with the requirements of this Code.1.1.6 "Safety Management Certificate" means a document issued to a ship which signifies that the Company and its shipboard management operate in accordance with the approved safety management system.1.1.7 "Objective evidence" means quantitative or qualitative information, records or statements of fact pertaining to safety or to the existence and implementation of a safety management system element, which is based on observation, measurement or test and which can be verified.1.1.8 "Observation" means a statement of fact made during a safety management audit and substantiated by objective evidence.1.1.9 "Non-conformity" means an observed situation where objective evidence indicates the non-fulfilment of a specified requirement.1.1.10 "Major non-conformity" means an identifiable deviation that poses a serious threat to the safety of personnel or the ship or a serious risk to the environment that requires immediate corrective action and includes the lack of effective and systematic implementation of a requirement of this Code.1.1.11 "Anniversary date" means the day and month of each year that corresponds to the date of expiry of the relevant document or certificate.1.1.12 "Convention" means the International Convention for the Safety of Life at Sea, 1974, as amended.1.2 Objectives1.2.1 The objectives of the Code are to ensure safety at sea, prevention of human injury or loss of life, and avoidance of damage to the environment, in particular to the marine environment and to property.1.2.2 Safety management objectives of the Company should, inter alia:.1 provide for safe practices in ship operation and a safe working environment; .2 establish safeguards against all identified risks; and.3 continuously improve safety management skills of personnel ashore and aboard ships, including preparing for emergencies related both to safety and environmental protection.1.2.3 The safety management system should ensure:.1 compliance with mandatory rules and regulations; and.2 that applicable codes, guidelines and standards recommended by the Organization, Administrations, classification societies and maritime industry organizations are taken into account.1.3 ApplicationThe requirements of this Code may be applied to all ships.1.4 Functional requirements for a safety management systemEvery Company should develop, implement and maintain a safety management system which includes the following functional requirements:.1 a safety and environmental-protection policy;.2 instructions and procedures to ensure safe operation of ships and protection of the environment in compliance with relevant international and flag State legislation;.3 defined levels of authority and lines of communication between, and amongst, shore and shipboard personnel;.4 procedures for reporting accidents and non-conformities with the provisions of this Code;.5 procedures to prepare for and respond to emergency situations; and.6 procedures for internal audits and management reviews.2 SAFETY AND ENVIRONMENTAL-PROTECTION POLICY2.1 The Company should establish a safety and environmental-protection policy which describes how the objectives given in paragraph 1.2 will be achieved.2.2 The Company should ensure that the policy is implemented and maintained at all levels of the organization, both ship-based and shore-based.3 COMPANY RESPONSIBILITIES AND AUTHORITY3.1 If the entity who is responsible for the operation of the ship is other than the owner, the owner must report the full name and details of such entity to the Administration.3.2 The Company should define and document the responsibility, authority and interrelation of all personnel who manage, perform and verify work relating to and affecting safety and pollution prevention.3.3 The Company is responsible for ensuring that adequate resources and shore-based support are provided to enable the designated person or persons to carry out their functions.4 DESIGNATED PERSON(S)To ensure the safe operation of each ship and to provide a link between the Company and those on board, every Company, as appropriate, should designate a person or persons ashore having direct access to the highest level of management. The responsibility and authority of the designated person or persons should include monitoring the safety and pollution-prevention aspects of the operation of each ship and ensuring that adequate resources and shore-based support are applied, as required.5 MASTER'S RESPONSIBILITY AND AUTHORITY5.1 The Company should clearly define and document the master's responsibility with regard to:.1 implementing the safety and environmental-protection policy of the Company; .2 motivating the crew in the observation of that policy;.3 issuing appropriate orders and instructions in a clear and simple manner;.4 verifying that specified requirements are observed; and.5 reviewing the safety management system and reporting its deficiencies to the shore-based management.5.2 The Company should ensure that the safety management system operating on board the ship contains a clear statement emphasizing the master's authority. The Company should establish in the safety management system that the master has the overriding authority and the responsibility to make decisions with respect to safety and pollution prevention and to request the Company's assistance as may be necessary.6 RESOURCES AND PERSONNEL6.1 The Company should ensure that the master is:.1 properly qualified for command;.2 fully conversant with the Company's safety management system; and.3 given the necessary support so that the master's duties can be safely performed.6.2 The Company should ensure that each ship is manned with qualified, certificated and medically fit seafarers in accordance with national and international requirements.6.3 The Company should establish procedures to ensure that new personnel and personnel transferred to new assignments related to safety and protection of the environment are given proper familiarization with their duties. Instructionswhich are essential to be provided prior to sailing should be identified, documented and given.6.4 The Company should ensure that all personnel involved in the Company's safety management system have an adequate understanding of relevant rules, regulations, codes and guidelines.6.5 The Company should establish and maintain procedures for identifying any training which may be required in support of the safety management system and ensure that such training is provided for all personnel concerned.6.6 The Company should establish procedures by which the ship's personnel receive relevant information on the safety management system in a working language or languages understood by them.6.7 The Company should ensure that the ship's personnel are able to communicate effectively in the execution of their duties related to the safety management system.7 DEVELOPMENT OF PLANS FOR SHIPBOARD OPERATIONSThe Company should establish procedures for the preparation of plans and instructions, including checklists as appropriate, for key shipboard operations concerning the safety of the ship and the prevention of pollution. The various tasks involved should be defined and assigned to qualified personnel.8 EMERGENCY PREPAREDNESS8.1 The Company should establish procedures to identify, describe and respond to potential emergency shipboard situations.8.2 The Company should establish programmes for drills and exercises to prepare for emergency actions.8.3 The safety management system should provide for measures ensuring that the Company's organization can respond at any time to hazards, accidents and emergency situations involving its ships.9 REPORTS AND ANALYSIS OF NON-CONFORMITIES, ACCIDENTS AND HAZARDOUS OCCURRENCES9.1 The safety management system should include procedures ensuring that non-conformities, accidents and hazardous situations are reported to the Company, investigated and analysed with the objective of improving safety and pollution prevention.9.2 The Company should establish procedures for the implementation of corrective action.10 MAINTENANCE OF THE SHIP AND EQUIPMENT10.1 The Company should establish procedures to ensure that the ship is maintained in conformity with the provisions of the relevant rules and regulations and with any additional requirements which may be established by the Company.10.2 In meeting these requirements the Company should ensure that:.1 inspections are held at appropriate intervals;.2 any non-conformity is reported, with its possible cause, if known;.3 appropriate corrective action is taken; and.4 records of these activities are maintained.10.3 The Company should establish procedures in its safety management system to identify equipment and technical systems the sudden operational failure of which may result in hazardous situations. The safety management system should provide for specific measures aimed at promoting the reliability of such equipment or systems. These measures should include the regular testing of stand-by arrangements and equipment or technical systems that are not in continuous use.10.4 The inspections mentioned in 10.2 as well as the measures referred to in 10.3 should be integrated into the ship's operational maintenance routine.11 DOCUMENTATION11.1 The Company should establish and maintain procedures to control all documents and data which are relevant to the safety management system.11.2 The Company should ensure that:.1 valid documents are available at all relevant locations;.2 changes to documents are reviewed and approved by authorized personnel; and.3 obsolete documents are promptly removed.11.3 The documents used to describe and implement the safety management system may be referred to as the Safety Management Manual. Documentation should be kept in a form that the Company considers most effective. Each ship should carry on board all documentation relevant to that ship.12 COMPANY VERIFICATION, REVIEW AND EV ALUATION12.1 The Company should carry out internal safety audits to verify whether safety and pollution-prevention activities comply with the safety management system.12.2 The Company should periodically evaluate the efficiency of and, when needed, review the safety management system in accordance with proceduresestablished by the Company.12.3 The audits and possible corrective actions should be carried out in accordance with documented procedures.12.4 Personnel carrying out audits should be independent of the areas being audited unless this is impracticable due to the size and the nature of the Company.12.5 The results of the audits and reviews should be brought to the attention of all personnel having responsibility in the area involved.12.6 The management personnel responsible for the area involved should take timely corrective action on deficiencies found.PART B - CERTIFICATION AND VERIFICATION13 CERTIFICATION AND PERIODICAL VERIFICATION13.1 The ship should be operated by a Company which has been issued with a Document of Compliance or with an Interim Document of Compliance in accordance with paragraph 14.1, relevant to that ship.13.2 The Document of Compliance should be issued by the Administration, by an organization recognized by the Administration or, at the request of the Administration, by another Contracting Government to the Convention to any Company complying with the requirements of this Code for a period specified by the Administration which should not exceed five years. Such a document should be accepted as evidence that the Company is capable of complying with the requirements of this Code.13.3 The Document of Compliance is only valid for the ship types explicitly indicated in the document. Such indication should be based on the types of ships on which the initial verification was based. Other ship types should only be added after verification of the Company's capability to comply with the requirements of this Code applicable to such ship types. In this context, ship types are those referred to in regulation IX/1 of the Convention.13.4 The validity of a Document of Compliance should be subject to annual verification by the Administration or by an organization recognized by the Administration or, at the request of the Administration, by another Contracting Government within three months before or after the anniversary date.13.5 The Document of Compliance should be withdrawn by the Administration or, at its request, by the Contracting Government which issued the Document when the annual verification required in paragraph 13.4 is not requested or if there is evidence of major non-conformities with this Code.13.5.1 All associated Safety Management Certificates and/or Interim Safety Management Certificates should also be withdrawn if the Document of Compliance is withdrawn.13.6 A copy of the Document of Compliance should be placed on board in order that the master of the ship, if so requested, may produce it for verification by theAdministration or by an organization recognized by the Administration or for the purposes of the control referred to in regulation IX/6.2 of the Convention. The copy of the Document is not required to be authenticated or certified.13.7 The Safety Management Certificate should be issued to a ship for a period which should not exceed five years by the Administration or an organization recognized by the Administration or, at the request of the Administration, by another Contracting Government. The Safety Management Certificate should be issued after verifying that the Company and its shipboard management operate in accordance with the approved safety management system. Such a Certificate should be accepted as evidence that the ship is complying with the requirements of this Code.13.8 The validity of the Safety Management Certificate should be subject to at least one intermediate verification by the Administration or an organization recognized by the Administration or, at the request of the Administration, by another Contracting Government. If only one intermediate verification is to be carried out and the period of validity of the Safety Management Certificate is five years, it should take place between the second and third anniversary dates of the Safety Management Certificate.13.9 In addition to the requirements of paragraph 13.5.1, the Safety Management Certificate should be withdrawn by the Administration or, at the request of the Administration, by the Contracting Government which has issued it when the intermediate verification required in paragraph 13.8 is not requested or if there is evidence of major non-conformity with this Code.13.10 ‚Notwithstanding the requirements of paragraphs 13.2 and 13.7, when the renewal verification is completed within three months before the expiry date of the existing Document of Compliance or Safety Management Certificate, the new Document of Compliance or the new Safety Management Certificate should be valid from the date of completion of the renewal verification for a period not exceeding five years from the date of expiry of the existing Document of Compliance or Safety Management Certificate.13.11 ‚When the renewal verification is completed more than three months before the expiry date of the existing Document of Compliance or Safety Management Certificate, the new Document of Compliance or the new Safety Management Certificate should be valid from the date of completion of the renewal verification for a period not exceeding five years from the date of completion of the renewal verification."14 INTERIM CERTIFICATION14.1 An Interim Document of Compliance may be issued to facilitate initial implementation of this Code when:.1 a Company is newly established; or.2 new ship types are to be added to an existing Document of Compliance,following verification that the Company has a safety management system that meets the objectives of paragraph 1.2.3 of this Code, provided the Company demonstrates plans to implement a safety management system meeting the full requirements of this Code within the period of validity of the Interim Document of Compliance. Such an Interim Document of Compliance should be issued for a period not exceeding 12 months by the Administration or by an organization recognized by the Administration or, at the request of the Administration, by another Contracting Government. A copy of the Interim Document of Compliance should be placed on board in order that the master of the ship, if so requested, may produce it for verification by the Administration or by an organization recognized by the Administration or for the purposes of the control referred to in regulation IX/6.2 of the Convention. The copy of the Document is not required to be authenticated or certified.14.2 An Interim Safety Management Certificate may be issued:.1 to new ships on delivery;.2 when a Company takes on responsibility for the operation of a ship which is new to the Company; or.3 when a ship changes flag.Such an Interim Safety Management Certificate should be issued for a period not exceeding 6 months by the Administration or an organization recognized by the Administration or, at the request of the Administration, by another Contracting Government.14.3 An Administration or, at the request of the Administration, another Contracting Government may, in special cases, extend the validity of an Interim Safety Management Certificate for a further period which should not exceed 6 months from the date of expiry.14.4 An Interim Safety Management Certificate may be issued following verification that:.1 the Document of Compliance, or the Interim Document of Compliance, is relevant to the ship concerned;.2 the safety management system provided by the Company for the ship concerned includes key elements of this Code and has been assessed during the audit for issuance of the Document of Compliance or demonstrated for issuance of the Interim Document of Compliance;.3 the Company has planned the audit of the ship within three months;.4 the master and officers are familiar with the safety management system and the planned arrangements for its implementation;.5 instructions, which have been identified as being essential, are provided prior to sailing; and.6 relevant information on the safety management system has been given in a working language or languages understood by the ship's personnel.15 VERIFICATION15.1 All verifications required by the provisions of this Code should be carried out in accordance with procedures acceptable to the Administration, taking into account the guidelines developed by the Organization.16 FORMS OF CERTIFICATES16.1 The Document of Compliance, the Safety Management Certificate, the Interim Document of Compliance and the Interim Safety Management Certificate should be drawn up in a form corresponding to the models given in the appendix to this Code. If the language used is neither English nor French, the text should include a translation into one of these languages.16.2 In addition to the requirements of paragraph 13.3, the ship types indicated on the Document of Compliance and the Interim Document of Compliance may be endorsed to reflect any limitations in the operations of the ships described in the safety management system.。
SMS审核指南
SMS审核指南编写说明随着《国际安全管理规则》（简称ISM规则）、《国内安全管理规则》（简称NSM规则）实施工作全面展开和逐步深入，建立、运行和保持符合要求的安全管理体系（SMS）的效果日益彰显，航运公司执行SMS要求的主动性、自觉性都有了较大幅度的提高。
作为开展这项工作的主管机关，中国海事局一方面进一步加大推进力度，扩大实施范围，使越来越多的航运公司从中受益；另一方面，也充分注意到提高审核质量在整个实施工作中的重要性，在先后出台《ISM规则理解指南》、《SMS问答》，着力统一大家对规则本身的理解后，针对审核员运用规则进行审核方面存在的问题，提出了编写“SMS审核指南”的工作要求。
根据中国海事局工作安排，辽宁海事局承担了“SMS审核指南”的编写工作。
2003年4月，辽宁海事局成立了由副局长杨春任组长，李新、马一意、尚远洋、董贺轩、谭学成为成员的编写小组，同时制定了编写工作计划。
在编写过程中，编写小组不断广泛征求各方面的意见，浙江、天津、上海、广东、深圳、广西、海南、江苏、长江、河北、福建、山东等各片区海事局都提供了许多宝贵、有益的编写建议。
在此基础上，编写小组经过反复修改，于2004年6月初形成了“SMS审核指南（初稿）”，6月底在北京召开了由中国海事局组织有关领导和专家参加的“SMS审核指南（初稿）”定稿会。
会后综合有关方面的修改意见，编写小组对初稿进行大幅度修改，形成了“SMS审核指南（修改稿）”，并于2004年8月在北京召开“SMS审核指南（修改稿）”审定会。
结合与会领导、专家的指导和部分片区海事局研讨反馈意见，编写小组全面修改后，于9月在全国范围内再次征求意见（编写过程待续）。
本“SMS审核指南”旨在为航运公司SMS审核员提供审核工作方面的技术指导，给出了建议性的审核内容、审核重点、以及常见问题等相关提示，审核员在实际工作中参照应用，但不作为审核的标准。
本指南分为SMS文件审核、岸基SMS活动、船舶SMS活动三部分。
推荐 航运公司内审员培训之内部审核、有效性评价和管理复查
第一章、审核的基本知识 七、内审的范围：体系内所有的部 门、船舶和各项安全管理活动。
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第一章、审核的基本概念 八、内审依据 1、 ISM/NSM规则、国际国内强制性规定规则、 采纳的建议性规则、公司已经采纳的指南、 标准和公司的安全管理体系文件。 2、外审的基本工作依据： 在加上：《航运公司安全管理体系审核发证 规则》、《航运公司安全管理体系审核发证 程序》
第二部分SMS有效性评价和 管理复查
第一章有效性评价和管理复查基本概念 第二章评价和复查的内容 第三章评价和复查的实施 第四章内部审核、有效性评价和管理复 查的关系
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第三部分外部审核相关知识
一、外审分类； 二、审核 第一章审核的基本知识
第一章审核的基本知识
内部审核的概念 系指为判断安全管理活动和结果是否符合安全 管理体系的规定，作为公司管理职能的一部分 而实施的系统而独立的验证过程。—— 《ICS/ISF〈国际安全管理规则〉应用指南》 内审是由公司组织内审员或由公司聘请的经过 培训的适任人员对公司及所属船舶的安全管理 体系实施的定期的审核，以判断安全管理活动 和有关结果是否符合安全管理体系规定和计划 安排，以及安全管理体系规定和计划安排是否 得到有效实施并适合于达到安全和防污染目标 的系统而独立的审查。
第一章审核的基本知识 五、内审的基本任务： １、搜集客观证据，及时发现问题； ２、对发现的问题及时采取纠正措施； ３、对公司的安全和防污染管理活动进行分 析，判断ＳＭＳ是否得到执行贯彻和管理活 动的有效性； ４、为判断公司实现目标的有效性提供证据； ５、分析ＳＭＳ是否符合、覆盖强制性规定， 是否具有可操作性。
2017/9/16 15
ISM
ISM规则
第八条 应急准备 第九条 对不符合规定情况、事故和险 情的报告和分析 第十条 船舶和设备的维护
ISM规则
第十一条 文件 第十二条 公司审核、复查和评价
第十三条 发证、审核和监督
安全管理体系概念
第一、安全管理体系 以使公司人员有效实 施公司的安全和环保 方针为总体目标。 第二、安全管理体系 必须是文件化的。 第三、安全管理体系 必须是结构化的。不 是一简单的文件汇编。
ISM规则 一.ISM规则概述
全称：国际船舶安全营运及 防止污染管理规则 简称：国际安全管理规则
ISM规则
英文全称：International Management
Code for the Safe Operation of Ship and
for Pollution Prevention 英文简称： ISM CODE
船岸 职责 手册
岸上 应急 计划
船舶 操作 手册
船舶 维护 手册
船舶 应急 手册
安 全 管 理 手 册 的 编 写
目录 公司简介 安全和环保方针 公司机构描述和权责规定 指定人员介绍 船长职责规定及船长权力的声明
安全管理手册的编写
资源与人员 制定船上操作方案的程序 应急准备概要 事故和不符合规定情况的报告原则 船舶和设备维护规定概要 文件控制程序要点 内审复查和评价和相关文件介绍等
实施ISM规则的 港口国监督指南
2.详细检查 当“明显依据”（Clear Grounds)存在时，应对 其SMS进行详细检查，通过对体系文件进行的核查 确认其具有《ISM规则》要求的文件化程序，并有 效实施。 “明显依据”包括下列各项：没有证书或证书无 效、存在其他可导致滞留的缺陷、存在较多非滞 留性质的缺陷。 详细检查（查验有关记录、询问船上有关人员） 的内容。
船舶法规类汇总
序号
法规
发布机构
备注
1
1974年国际海上人命安全公约〔2011年综合文本〕
International Convention for the Safety of Life at Sea, 1974 (SOLAS 1974，Consolidated Text 2011)
IMO
c:\iknow\docshare\data\cur_work\汇总\SOLAS公约2008综合文本.pdf
IMO
10
2001年国际燃油污染损害民事责任公约
Internationalconvention oncivil Liability forbunkeroilpollutiondamage, 2001
IMO
11
国际船舶压载水管理公约(2005)
Ballast water management convention(2005)
18
国际海上危险货物规则( IMDG规则)(2012)
Iternational maritime dangerous goods code( IMDG code)
IMO
19
国际海运固体散装货物规则〔IMSBC规则〕(2011)
The international maritime solid bulk cargoes code (IMSBC Code)
交通运输部
2004-08-01
17
中华人民共和国海船船员适任考试和发证规则及修改决定
交通运输部
2013-12-24
18
中华人民共和国海船船员值班规则
交通运输部
2013-02-01
19
中华人民共和国船舶签证管理规则
中英文船舶营运企业安全管理手册资料
修改记录Amendment Record安全管理手册目录Index of System Safe Management manual安全管理手册实施声明Statement On Implement SMS (2)前言Preface (4)公司概况Company Brief (4)定义Definitions (4)一总则General (7)二安全和环境保护方针Safety and Environmental Protection Policy (9)三公司的责任和权力Company Responsibility and Authority (11)附件Annex:公司安全管理组织结构图Structure of Safety Management Organization (12)四指定人员Designated Person Ashore (13)关于安全经理授权声明Statement of Authority for Safe Controller (15)五船长的责任和权力Master’s Responsibility and Authority (16)关于船长权力的声明Statement of the Master’ Authority (18)六资源和人员Resources and Personnel (19)七船上操作方案Shipboard Operations (22)八应急准备Emergency Preparedness (24)九对不符合规定的情况、事故和险情的报告和分析Reports and Analysis of Non-Conformities, Accidents and Hazardous Occurrences (26)十船舶和设备的维护Maintenance of Ship & Equipment (28)十一文件管理Documentation Control (31)附件:公司的安全管理体系文件结构Diagram of ISM Document Structure (33)十二公司的审核、复查和评价Company Audit, Review and Evaluation (35)十三发证、审核和监督Certification, Audit and Control (36)十四核发临时证书Issuance of Temporary Certificate (36)十五审核Audit (38)十六证书格式Form of Certificates (38)安全管理手册实施声明Statement On Implement SMS本公司的安全管理体系(SMS)是依据《国际安全管理规则》(ISM CODE)的要求，参照国际海事组织、主管机关、船级社和海运行业组织所建议的适用规则、标准和指南，并结合本公司的实际情况而建立的。
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ICS/ISF 《国际安全管理规则》应用指南国际航运公会（ICS）和国际海运联盟（ISF）是由40个国家的船东所自愿结成的组织，代表了一半以上的世界商船吨位。
ICS 始建于1921 年，是航运业的一个商贸协会，其利益涉及海运事务铁饼是海上安全、船舶设计和建造、防止污染、以及海运法律等各个方面。
ISF 始建于1909 年，是航运业的一个顾主联盟，在国际上代表其成员有关劳工事务，人力及培训方面的利益。
ICS和ISF在此感谢英国"Global maritime ”的海事专家joseph m hughes在制定本指南的SMS 内审部分的帮助；并感谢国际船级社协会（ices）对本指南提供有益的说明。
以下几家参与了本指南制定过程中的咨询，并原则支持半指南的应用。
菠萝的海及国际海事理事会（bacon）国际干货船东协会（intercrop ）国际独立油轮船东协会（intertanko）石油公司国际海运论坛（ocimf ）国际气体运输船和码头经营人协会（sigtto）本指南的编写使用了目前所获得的最好资料，本指南仅作为一种指导，其应用责任由用户自负。
ICS,ISF,及任何为指南提供资料、数据，进行编辑、出版、授权翻译和供销的个人，公司，企业或组织对本采用指南内容而直接或间接导致的后果，均不负任何责任。
目录ICS/ISF《国际安全管理规则》应用指南 (1)序言 (4)第I部分引言 (4)背景 (4)安全管理体系（SMS） (5)建立安全管理体系的优越性 (5)目的 (6)使用术语定义 (6)第n部分建立和实施安全管理体系的一般性建议 (7)高层领导的承诺 (7)充足的资源配置 (7)船上和岸上人员的参与 (8)实际的时间表 (8)实施以后 (8)第川部分《国际安全管理规则》和相应的指南 (8)前言 (9)1 ．总则 (9)第W部分SMS内审指南 (22)SMS 外部发证及评估过程 (23)SMS 内部审查及评估过程 (23)SMS 内部审核 (23)附录 A (30)安全管理体系内审计划样本 (30)附录 B (33)安全管理体系内审准备表格样本 (33)附录 C (34)SMS 内审方案样本 (34)附录D (35)SMS 内审方案样本 (35)SMS 内审报告的说明 (36)附则 3 (38)安全管理体系的筹建 (38)初始问题 (38)制定计划 (38)附则 4 (40)熟悉方法 (40)附则 5 (41)主要的国际海运公约和建议案 (41)关于船舶的 (41)关于船东的 (41)关于船员和船舶的 (41)关于海员的 (41)序言第I部分引言背景安全管理体系建立安全管理体系的优越性目的使用的术语第二部分建立安全管理体系的一般建议高级领导层的承诺充足的资源配置船上和岸上人员的参与实际的时间表实施之后第三部分《国际安全管理规则》和相应的指南前言1．总则定义目标适用防卫安全管理体系的功能要求2．安全和环保方针3．公司的责任和权利4．指定人员5．船长的责任和权利6．资源和人员7．船上操作计划的制定8．应急准备9．对不符合规定的情况、事故和险情的报告和分析10．船舶和设备的维护11．文件12．公司审核、复查和评价13．发证、审核几监督第四部分安全管理体系内审指南前言SMS 外部发证几平谷过程SMS 内部审查及评估过程SMS 内部审核准则目标范围责任内审员的适任内审员的选择审核计划审核准备及审核方案的制定SMS 内审的报告不符合规定的情况（NOR ）和纠正措施要求（cars）SMS 内审报告的所有权实施审核准备审核不是安全检查方法观察面谈附录a：安全管理体系内审计划表样本附录b：安全管理体系内审准备表格样本附录c：安全管理体系内审方案样本附录d：安全管理体系内审报告样本附件附则1：1974 年国际海上人命安全公约（1994 修正案）——第四章船舶安全应允管理（内容略）附则2：主管机关实施ism规则指南［A . 788 （19）号决议］（内容略）附则3：SMS 的建立附则4：熟悉方法附则5：主要国际海运公约和建议案附录6：操作文件的建议项目附则7：有助于准备船上操作和应急计划的出版物附则8：可能的安全管理体系文件结构序言本指南的第一版发表在1993 年，刚好IMO 大会以 A ．741（18）号决议（1993 年11 月 4 日，第18 次会议）通过国际船舶安全营运和防止污染管理规则（ism 规则）之前。
众所周知，原指南出版时，强制实施ism 规则的要求将在适当时候纳入SOLAS 公约。
而指南的目的是，现在仍然是，帮助航运公司建立满足SOLAS 条款要求的安全管理体系。
1994年5月，IMO通过SOLAS公约新增W章“船舶安全营运管理”，并根据船型确定了生效日期，最早从1998年7月1 日开始。
继而，在1995年11 月，IMO 第19届大会通过“主管机关实施ISM规则指南” （A . 788 （19）号决议）。
虽然最初的目的是为船旗国提供指导，但该指南亦提供适用于政府的审核和发证程序方面的有益信息。
为帮助航运公司，按指南附则重述了SOLAS第4章条纹和IMO A. 788 （19）号决议，以提供一个完整的国际要求的资料。
但应当注意，这些要求应通过船旗国主管机关的国内立法来实施；航运公司应熟悉适用于他们的规则和程序。
按照IMO 的要求，这一新版的ICS/ISF 指南也包括了组织和实施内审的指南。
ISM 规则第刘章要求航运公司进行内审以研证其安全和防止污染活动是否符合起完全管理体系. 航运公司内审的连续过程是成功实施ISM 规则的关键对规则的符合性将使航运公司受益：减少外部机构的检查次数和提高工作效率。
第I部分引言背景商船营运专业性强而且复杂，要受到国内和国际主管当局制定的内容丰富的规则和公约的约束。
然而，航运方面技术性的规定对于实现船舶安全和无污染操作的目标只能起到部分作用。
归根结底，虽然船长要明确地负责船舶和船员安全，但是每一艘船舶的管理和安全营运的全面责任属于船东或从船东一方取得对船舶营运权的其他任何组织或个人。
据统计分析，所有的海上事故中，约有80%是由于人为错误造成的。
这说明了一个事实，在每次海上事故中人的行为或失职实际上起到了某些作用，包括那些结构或设备缺陷可能为直接原因的事故。
现有的航运公司所面临的任务是尽量缩小会直接或间接导致海难事故或污染事故的错误决定的范围。
目标之一就是保证工作人员获得正确信息并有适当的装备来安全履行他们的营运责任。
岸上的决策同海上的决策同样重要，要保证公司内任何一级所采取的涉及安全和防止污染的每一项行动，都已对该行动的后果有正确的了解为基础。
国际海事组织所通过的《国际船舶安全营运和防止污染管理规则》（国际安全管理规则）反映了各国政府的这一目标。
《国际安全管理规则》通过对公司的安全和防止污染管理系统及安全管理体系（SMS）的事实做出规定，制定了一个关于船舶安全管理和营运的国际标准。
涉及安全和环境保护的法律法规的发展随着时间的推移，经历了相互联系的几个阶段，所有这些都与今天的航运业相关。
最早也是最基本的阶段集中于发生了人身伤亡、船舶/货物灭失或环境污染导致了惩罚文化，其基本主题就是明确并分配责任；通常是责任归结到事故链的最后一个人。
其基本原则是惩罚的威胁影响着公司，因而个人的行为在某种程度上是安全得到优先权。
第二阶段涉及到法定的安全规则。
这时期航运业必须遵守成套的安全法规，例如，SOLAS74 、MARPOL73/78 、避碰规则、载重线公约和STDW 的条款为国际航运提供了外部法律框架的基础。
这一阶段设计用来在实际伤害发生前解决已知的危险点，因此比第一阶段前进了一步。
这导致了遵守外部规则的符合文化。
但是外部规则的应用还不够，因为这些规则应该提供达到安全的方法；而且作为规则本身并不应成为终点。
第三也是最高级的阶段是安全的自我管理文化的产生。
这些管理超越了像第二阶段那样建立外部施加的符合标准。
这第三阶段集中于内部的安全管理和组织，并鼓励各行业和公司建立安全管理目标。
自我管理还集中于需要每一个航运公司和个人对为提高安全而采取的措施负责；而不是由外部施加的符合标准。
这要求公司建立具体的SMS 。
在这第三阶段，其重要的一点是，安全由那些被失败的推论所直接影响的人来组织实施。
在历史上，世界范围内的航运安全和防污染规章带有惩罚文化和外部符合文化的特征。
Imo通过ism规则及其在所有成员国的强制实施是向着创造航运自我管理文化迈出的重要一步。
但是，自我管理并不对其自身有效。
为达到使航海更安全和环保的目的，三个阶段同时并存是必需的。
在影响公司和个人的行为方面，每一阶段都扮演着重要角色。
安全管理体系（SMS ）建立安全管理体系（SMS）要求公司建立和实施安全管理程序，以保证岸上和船上涉及安全和环保的条件、活动和任务都能按照法定的公司要求进行计划、组织、审核和检查。
安全管理体系（SMS）是由人制定和保持的，因此SMS所涉及人员的职责人和权利以及有关人员之间的联系渠道是该体系的基础，认识到这一点很重要。
一旦确定建立和实施，岸上和船上有关安全和环保的任务和活动就成为的支柱。
一个有效的应能够施工衡量其实施的情况，并未标明和实施的改进留有余地。
这可以通过一个文件化的应用来完成。
建立安全管理体系的优越性一个结构合理的安全管理体系可使公司集中力量改进船舶营运和应急准备方面的安全作法。
一个公司成功建立并实施了适当的，就应当期望人员伤亡、环境损害或财产（如船舶，船上设备和货物）损失事件的减少。
航运业和其他行业得经验表明，公司可以从以下几方面进一步获益．安全意识和安全管理能的提高；．簇集南拳和环保工作不断改善的安全文化的建立；．客户信任的增长；和．公司士气的提高。
从某些政局可以看出，经过一段时间，商业利益会从总的好处中显示出来，如：．效率和生产率的提高导致的成本节约（例如，通过减少船舶操作的混乱而避免了传播的延误）；．比市场优惠的保险金的取得；目的本指南旨在帮助各公司间建立体系，以满足以满足IMO （国际安全管理规则）的要求。
本指南与ISM 规则（IMO A ．788（19）号决议）配合使用，并在任何方面都无意代替或取代这些文件。
本指南第三部分插入了ism 规则的条文，并辅以相关的实施指南。
为便于参照其中包括了SOLAS公约第区章和IMO A . 788 （19）号决议的有关条款选录。
为完整起见，本指南以附则1和2重复了SOLAS公约第区章和A. 788 （19）号决议的整个条文。
考虑到保持SMS 的重要性，第四部分包含了组织和实施内审的指南。
附则 3 概述了帮助建立SMS 时所需考虑的关键问题和建立一明确方案的建议，这些知识建议。
其他程序在建立过程中可能同样有效，公司不应把自己局限于附则 3 所描述的情况。