船舶操作风险的识别、评估、控制和复查程序.doc

船舶操作风险的识别、评估、控制和复查程序Procedure for identifying , assessment , control and review to ship operation risk1. 目的和范围 Aim and Scope1.1. 本程序规定了船舶运输生产过程中的船舶操作、人员健康安全和环境管理所面临风险的识别、评估和控制方法,旨在降低、消除并最终控制船舶、人员和环境风险。 This procedure provides the identification、assessment and control methods for the vessel operation、staff health, safety and environmental management at risk of the vessel transportation .The procedure is aim to reduce、eliminate and ultimately control the vessel、personnel、 and environmental risks.朗读显示对应的拉丁字符的拼音字典朗读显示对应的拉丁字符的拼音字典1.2. 本程序适用于公司各职能部门和所管理的船舶。The procedure is suitable for the function department in the company and vessel managed by the company.2. 定义 Definition2.1. 风险：指频率及后果严重性的组合。本程序所指风险为对船舶操作、人员健康安全和环境管理可能造成的影响和威胁。 The Risk：refer to the Combination of frequency and severity of consequences. The risk in this procedure is the possible impact of environmental management and threats to the ship operations、personnel and environmental health and safety.朗读显示对应的拉丁字符的拼音字典3. 职责Duty3.1 指定人员Designated Person 3.1.1 对总体的风险评估过程给予指导；Offering a guidance to the overall procedure of the risk assessment;3.1.2 对具体的风险评估效果，做出决定；Making a decision to the specific effect of risk assessment;3.1.3 监督风险评估程序；Monitoring to the procedure of the supervising to the risk assessment;3.1.4 监控风险控制措施的执行情况；Monitoring to the performance circumstance of the risk control measure;3.1.5 组织和监控风险评估的培训情况；Organizing and monitoring the train circumstance of the risk assessment;3.1.6 就风险评估的信息，始终和每一船舶保持沟通；Keep in touch with each vessel all the time as the information of the risk assessment;3.1.7 每年就风险评估情况进行评审；Making a appraisal to the risk assessment circumstance every year;3.1.8 保管风险管理活动的记录Maintain the record of the risk assessment activity.3.2. SMS办公室 SMS office3.2.1. 组织公司和船舶风险识别、评估和控制措施的制定；Organizing the drafting the the risk identification、assessment and contrl measure;3.2.2. 制定公司风险管理预算； Making the budget of the company risk management;3.2.3. 就风险评估的技巧，对公司各职能部门进行培训； Refer to the risk assessment skill ，Making a train to the each department of the company;3.2.4. 指导公司范围内其他部门、船舶的风险管理工作； Making a guidance to the risk management work of other department、vessel in the company;3.2.5. 公司有关重大风险的管理。Management of the concerned important risk in the company .3.3. 公司职能部门 Corporate functions3.3.1. 根据职责手册中的分工，参与公司风险识别与评估，做好相关风险控制措施的落实等工作； According to the division in the , attending the risk identification and assessment of the company, well finished the performance of the concerned risk control measure;3.3.2. 参与各类紧急情况、事故的应急行动。 Attending the emergency action to the various urgent circumstance、accident3.4. 船长Master3.4.1. 参与本船风险识别和评价工作、按要求上报本船新增风险；Attending the risk identification and assessment work of the vessel, and reporting the new risk of the vessel;3.4.2. 严格控制本船的船舶操作风险、人员健康安全风险和环境管理风险。Strictly controling the vessels operation risk、staff health and safety and environmental management risk;3.4.3. 执行已确定的风险控制措施，并将执行情况报告指定人员；Performancing the assured risk control measure, and report the executive circumstance to the Designated Person;3.4.4. 对本船的风险评估进行评审，并保存相关的记录。Making a check to the risk assessment of the vessel, and maitain the relevant record.3.5. 轮机长和大副Chief Engineer and Chief officer提供技术支持，协助船长完成本船的风险评估工作。Offering technical assistance, assisting Mastere to finish the vessels risk assessment work.3.6. 船员和岸基人员Crew and Shore staff识别任何对船舶或船员的风险源，并立即向船长或指定人员报告。Identifying any risk resouce to the vessel and crew, and immediately report to the captain or designated person. 4. 工作程序 Working Procedure4.1. 风险分类 The risk classify4.1.1. 船舶操作风险：主要源于船舶的特殊操作、临界操作及日常操作。 The vessel operation risk: main originate from the vessels special operation、critical operation and daily operation;4.1.2. 人员健康安全风险：主要源于人的不安全行为、设备的不安全状态导致设备械能、电能、热能、化学能等的非正常释放。 The crew health and safety risk: main originate from the crews unsafety behaviour、the equipments unsafety condition result in the equipments Mechanical energy、electric energy、heat energy、chemical energys unnormal releasing.4.1.3. 环境管理风险：主要源于船舶操作过程中对环境的影响。The environmental risks: main originate from the effect to the environment during the vessel operation procedure.4.2. 风险识别 Risk Identify4.2.1. 风险识别的主要目的是识别风险的来源、起因及其可能的后果。The risk identifications main aim is to identify the risks source、reason and the possible result.4.2.2. 风险识别应通过适当途径获取相关信息、选择恰当的方法和技术，按照“船舶操作风险辨识表、评估表”的程序根据船舶运输生产特点对风险进行全面、系统的识别.The risk identification should through the proper way to gain relevant information、choose the proper way and technique. The risks all-sided and systematic identification should according to the “Vessel Operation Identification Sheet 、Assessment Sheet”s procedure and the vessel transportation characteristic .4.2.3. 由指定人员领导、SMS办公室负责组织公司各部门和船舶进行船舶操作风险识别。公司的初始船舶操作、人员的聘任与培训、环境的监督与控制的风险识别，应根据船队结构、公司机构和内、外部环境变化进行，填写“船舶操作风险辨识表”（见附录1），各部门上报SMS办公室。The vessels operation risk identification should leaded by the designated Person、organized by SMS office. The risk identification of the companys primary vessel operation 、persons recruitment and train、environments mornitor and contral should performance according to the fleet structure、companys structure and the interior、exterior environments change. A “Vessel Operation Risk Identification Sheet” should be filled (see the attachment 1) and reported to the every department and SMS office.4.2.4. 各船舶根据本船发现的风险源，填写“船舶操作风险辨识表”（见附录1），上报SMS办公室。 The each vessel should fill the “Vessel Operation Risk Identification Sheet” (see the attachment 1) and report it to the SMS office according to the each vessels risk source.4.2.5. 机务部、安监部负责指导船舶开展的风险识别，并收集 “船舶操作风险辨识表”。 The Technical department, Safety Supervision department is to take charge to guide the vessel to carry out the risk identification, and collect “Vessel Operation Risk Identification Sheet”.4.2.6. SMS办公室负责收集、汇总各部门和各船舶上报的“船舶操作风险辨识表”。SMS office is to take charge collect、summarize the “Vessel Operation Risk Identification Sheet” which is reported from the each department and each vessel.4.3. 风险评估 Risk Assessment4.3.1. 船舶操作风险评估 The vessel operation risk assessment4.3.1.1. 由SMS办公室组织公司各职能部门负责人及专家对汇总后的船舶操作风险进行评估。 The SMS office is to take charge to organize companys each department responsible person and the expert to make a assessment to the summarized vessel operation risk.4.3.1.2. 对船舶操作风险的评估，采用两个维度进行分析，即发生的频率与一旦发生所造成后果的严重程度来进行的。通过下列风险矩阵评估风险级别。 The vessel risk assessment should be analysed by two dimensionality, the occurrences frequency with the serious consequence which is result in the once occurrence. Through the following risk rectangle to assess the risk level. 4.3.1.3. 风险矩阵 Risk Matrix后果consequence可能性likelihood严重性seriousness轻微Slight harm（1）低Low harm（2）中Moderate harm（3）高Extreme harm（4）微小（1）Very unlikely轻微Very low（1）轻微Very low（2）低Low (3)低Low (4)低（2）Unlikely轻微 Very low（2）低Low (4)中度Moderate (6)中度Moderate (8)中（3）Likely低Low (3)中度Moderate (6)中度Moderate (9)高Extreme (12)高（4）Very likely低Low (4)中度Moderate (8)高Extreme (12)高Extreme (16)风险Risk（R）可能性possibility（L） 后果consequence（C）4.3.1.4. 产生伤害的可能性 Likelihood of harm：微小（1）：公司或每船至少每20年一次。Very unlikely：at least once every 20 years on a ship or company.低（2） ：公司或每船至少每10年一次。Unlikely ：at least once every 10 years on a ship or company.中（3） ：公司或每船至少每一年一次。Likely ：at least once every year on a ship or company.高（4） ：公司或每船至少每3个月一次。Very likely ：at least once every 3 months on a ship or company.4.3.1.5. 伤害的严重性seriousness of harm：轻微（1）Slight harm ： 割伤，擦伤，头痛，腹泻，灰尘入眼，不能忍受的烟囱排烟，不舒适的工作环境，健康欠佳引起的暂时不适。 Cuts, bruises, headaches, diarrhea, dust spread in eyes, unacceptable funnel emissions，discomfort working environment, discomfort due to poor health. 需要急救，但第二天即可以恢复工作。 Requires first aid, but able to resume work next day. 直接经济损失在5万元人民币及以下。 Direct economic loss is RMB50,000.00 and below.低（2）Low harm ： 需要急救，需要休息3天才能够工作。 Requires first aid, but need rest for 3days . 直接经济损失在5万-50万元人民币之间。 Direct economic loss is between RMB50,000.00 and RMB500,000.00.中（3）Moderate harm ： 裂伤，烧伤，脑震荡，严重扭伤，轻微骨折，或工作环境导致永久轻度伤残的疾病。 Lacerations , burns, concussion, serious sprains, slight fracture or working environment that can cause permanent minor disabilities. 3天内不能从事工作，或需要遣送回国治疗。 Unable to return to work within 3 days or require repatriation. 溢油泄漏在甲板上. On board oil spill contained. 直接经济损失在50-500万元人民币之间。 Direct economic loss is between RMB500,000.00 and RMB5,000,000.00.高（4）Extreme harm ： 截肢，严重骨折，多发性损伤，中毒，致命性伤害。 Amputations, major fractures, multiple injuries, poisoning, fatal injuries. 不能继续从事航海工作。 Unable to resume sea-going employment. 溢油泄漏入海。Overboard oil spill. 直接经济损失在500万元人民币及以上。 Direct economic loss is RMB5,000,000.00 or more.4.3.1.6. 风险等级分为4级。There is 4 levels of the risk.1级：轻微风险，即对应的分值（R）为（1），（2）Level 1: very low risk, the commensurate score(R) is (1),(2)2级：低风险，即对应的分值（R）为（3），（4）Level 2：low risk, the commensurate score （R）为（3），（4）3级：中度风险，即对应的分值（R）为（6），（8），（9）Level 3: moderate risk, the commensurate score is （6），（8），（9）4级：高风险，即对应的分值（R）为（12），（16）Level 4: extreme risk, the commensurate score is （12），（16）4.3.1.7. 对船舶操作风险进行评估后形成“船舶操作风险评估表”（见附录2），经公司指定人员审核后编制“船舶操作风险清单”（见附录3），报总经理批准，下发各部门和船舶。 The “Vessel Operation Risk Assessment Sheet” (see the attachment 2)should be made after the assessment to the vessel operation risk. The “Vessel Operation Risk Assessment List” should be checked a、made by the designated person and approved by the general manager and sent to the each department and vessel of the company.4.3.1.8. 在确定危害导致后果的可能性和可能导致的后果的严重性的分值时，船舶和岸基应：After assure the score of the harm possibility and harm severity, the vessel and shore workers should:充分考虑与危害相关的法律法规、行业规则、行业指南、以及行业习惯；Sufficient considering the relevant law、career regulations、career guidance and career custom;充分考虑公司安全、环保和SMS体系文件的要求；Sufficient considering the companys security、environmental protection and SMS systems requirement;充分考虑公司和海运行业间从以往的事故案例中吸取的经验教训；Sufficient considering the experience and lesson from the past accident and case;充分利用相关的专业知识和专业经验。Sufficient using the relevant professional knowledge and profession experience.4.3.1.9. 针对上述已识别的危害，船舶和岸基应事先进行风险评估，岸基职能部门的风险评估活动由部门经理组织本部门员工实施，船上的风险评估活动由船长组织相关部门长和现场操作负责人实施；Refer to the aforementioned identified harm, the vessel and shore workers should make a pre-assessment to the risk. The shore functional departments risk assessment activity should be organized by the department manager and implemented by the staff. The vessels risk assessment work should be organized by the captain and implemented by the relevant department officer and the site operation responsible person.4.3.1.10. 风险评估的结果采用“风险矩阵表”中的分值（R）来表示。 （1），（2），（3），（4），（6），（8），（9），（12），（16）。The risk assessment consequence should be showed by the score (R) from the “Risk Rectangle Sheet”.4.4. 风险控制措施 Risk Control Measure4.4.1. 船舶操作风险控制 The vessels operation risk control 4.4.1.1. 根据风险矩阵所得出的分值，评估出各类风险等级，采取下列措施：According to the score from the risk matrix, assess the various risk level, and take the action as follow：风险级别 risk level控 制 措 施Control measure1级：轻微风险Level 1: very low risk不需要采取措施No need to take any action.2级：低风险Level 2: low risk不需要采取进一步的措施，但要监控措施实施的有效性No need to take the further action，but to monitor the performances validity.3级：中度风险Level 3: moderate risk努力降低风险，可在某个特定时间内采取相应的措施Make an effort to lower the risk，and take the corresponding action at a special time.4级：高风险Level 4: extreme risk在风险降低前不应开始新的工作；如果工作还在进行中，应采取紧急措施，考虑必要的资源配备。Do not start the new work before the risk been lowed; if the work is on the run, should take urgent performance, and considering the necessary resource providing.4.4.1.2. 对于不符合公约、法规的要求，可能直接造成滞留的风险，可以直接判定为高风险。The risk which is inconformity with the convention and the law may directly cause being detained should be directly predicated as the high risk. 4.4.1.3. 对船舶操作风险经过风险评估后，其分值(R)达到6（含6）及以上，应当采取控制措施，重新进行风险评估，并填写“船舶操作风险评估表”（见附录2），直到分值（R）降到4（含4）及以下。After making a assessment to the vessel operation risk, if the score (R) arrive or past 6(include 6), we should take control measure, and reassess the risk assessment and fill the “Vessel Operation Risk Identification Sheet”(see the attachment 2), until the score (R) low to 4（include 4） or below.4.4.1.4. 当风险未有效控制并导致事故时，SMP-0810应急准备、反应及训练、演习的程序规定了对发生的火灾事故、船舶损坏、货物事故、保安事件/非法行动、人员事故、污染事故等做出应急响应，采取应急行动，最大限度降低风险，减少人员伤亡、减少对环境的危害和对船舶或财产的损失。 Once the risk is not well controlled and result in the accident, provides the emergency reaction to the fire accident、vessel damage、cargo damage、security affairs、illegal action、person accident、pollution accident, and we should make the risk lowest, reduce the person injuries and deaths、reduce the damage to the environment and the vessel property.4.4.1.5. SMP-0710船舶操作方案的制订程序规定了船舶在实施水密完整性、改正海图和有关出版物、主副机吊缸作业、锅炉检修作业、加油操作及驳油操作、稳性、超载和应力集中的计算、集装箱、货物及其他物品的系固、船舶保安，暴力和海盗行为、明火作业、高处作业、舷外、水面作业、封闭处所作业等特殊操作中所面临风险的控制措施。 provides the control measure to the risk of watertight integrality、revise nautical chart and relevant publication、main and aux engine top overhaul、boiler examine and repair、bunkering and barging oil operation、stability、overload and stress concentrates calculation、container、cargo and other cargos lashing、vessel security、violence and pirate、fire working、aloft work、out of gunwale working、working on the water、sealing place working.4.4.1.6. SMP-0710船舶操作方案的制订程序规定了特殊区域航行、进出港、沿岸和拥挤水域航行、视线不良条件下航行、恶劣天气航行、系泊操作、危险化学品货物装卸和积载、关键性机器操作等临界操作中所面临风险的控制措施。 provide the control measure to the risk of special area navigation、in and out of port、coast and congested water area navigation、bad sight line condition navigation、bad weather navigation、mooring operation、dangerous chemical cargo load 、discharge and stowage、pivotal machines operation etc. 4.4.1.7 公司各项操作须知规定了船舶日常操作中所面临风险的控制措施。 Each f the company operation notice provides the control measure to the risk of the vessel daily operation.4.4.2. 人员健康安全风险控制，环境管理风险控制均要参照执行（4.4.1.）。 The risk control of the person health& security and environment management should according to the （4.4.1.）.4.5. 监控与检查 Monitoring and Inspection 4.5.1. 公司主管人员对船舶的登轮检查时，要检查船舶执行公司风险管理程序及相关程序的情况，评估风险控制措施的适宜性、有效性。 The companys superintendent go board for the vessel inspection should inspect that the vessel implement the companys risk management procedure and other condition, and assess the risk control measures suitability and effectiveness.4.5.2. 对船舶的内审，要将风险控制措施的执行情况作为一项重要内容，指导船舶落实各项风险控制措施。 Refer to the vessels internal inspection, the vessel control measures performance circumstance should be looked as an important content, the each risk control measure should be guided.4.5.3. 船舶每3个月自查和船长SMS管理复查时应对照已识别并经评估的风险清单及控制措施，检查其在船的执行情况。The identified and assessed risk list and control measure should be compared against the vessel self-inspection every 3 months and master SMS management review, the performance situation should be inspected.4.6. 有效性评价及持续改进 Effectiveness Assessment and Continuous Improvement4.6.1. 公司通过风险评估专题会议对各类风险进行评估，核定其风险等级；对因人员、设备、航线变化以及发生的事故险情而形成的新的风险进行识别、评估，并制定相应的风险控制措施。 Through the risk assess workshops, the company should assess the various risk, and verify the risk level. The company should identify and assess the new risk which is originated from the person、equipment、navigation route change and other accident and risk, and make the relevant risk control measure.4.6.2. 管理评审对风险管理情况进行评审，对当年的风险评估的有效性进行复查，确保所有风险评估与控制都达到了预期目标。如果在复查中发现问题，应当制定有效措施予以解决。 The management comment and inspection should comment and inspect to the risk management, and double-check to the annual risk assessment effectiveness, and ensure all the risk assessment and control arrive the prospective objective. A new effective measure should be made to save the problem which appears in the double-check.4.6.3. 公司每年对安全管理体系进行有效性评价时，还应对风险控制程序进行评审，根据评审结果对安全管理体系进行修改。When the company annually makes the effectiveness assessment to the security management system, the company should also comment and inspect to the risk control procedure, and revise the security management according to the comment and inspect consequence.4.6.4. 公司的安全会议应根据风险评估情况对风险出现的特点、区域和趋势进行适时分析，通过相关安全信息对公司和船舶的安全操作、人员健康安全和环境管理进行指导。 The companys security meeting should properly analysis to the risk appearances characteristic、area and current according to the risk assessment circumstance, and make a guidance to the company and vessels security operation、crew health and safety and environment management through the relevant security information.5. 船舶风险评估项目Vessel risk assessment item5.1. 海难事故相关项目 the items about perils碰撞事故collision ，搁浅事故Aground accident ，触礁事故Strike a reef ，触损事故Loss or damage caused by touching ，浪损事故Loss or Damage Caused by Wave ，风灾事故Loss or Damage Caused by wind ，自沉事故Self-sunk accident ， 火灾爆炸事故Fire or explosion accident ， 其它引起人员伤亡、直接经济损失的海上事故other accident caused personal injury or death or any direct economic loss .5.2. 火灾事故相关项目the items about fire accident机舱失火Fire in engine room , 货舱进水Water leak in the hold , 厨房失火Fire in galley ,油漆间失火Fire in paint store , 电瓶间失火Fire in battery room , 货舱失火Fire in hold ,驾驶室失火Fire in bridge .5.3. 舱间进水相关项目the items about water leaking机舱进水Water leaking in engine room , 货舱进水Water leaking in hold ,锚链舱进水Water leaking in chain well ,