《船舶安全管理》课件：第三章人为因素控制和国际安全管理规则.ppt

1、第三章 人为因素控制和国际安全管理规则Human Element Control .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.,ISM Code Requirements,公司的

2、安全管理目标尤其应该是： 1.提供船舶营运的安全做法和安全工作环境； 2.针对已认定的所有风险，制定防范措施； 3.不断提高岸上及船上人员的安全管理技能，包括安全及环境保护方面的应急准备。,ISM Code Requirements,Every Company should develop, implement and maintain a safety management system(SMS) which should ensure: .1 compliance with mandatory rules and regulations; and .2 that applicable co

3、des, guidelines and standards recommended by the Organization, Administrations, classification societies and maritime industry organizations are taken into account.,ISM Code Requirements,每个公司应当建立并维护一个安全管理体系并保证：符合强制性规定及规则； 并对国际海事组织、主管机关、船级社和海运行业组织所建议的适用的规则、指南和标准予以考虑。,Functional requirements for SMS,.

4、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, sho

5、re 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.,安全管理体系要求：,（1）安全和环境保护方针； （2）确保船舶的安全营运和环境保护符合有关的国际和船旗

6、国立法的指令和程序； （3）船、岸人员的权限和相互间的联系渠道； （4）事故和不符合规则规定情况的报告程序； （5）对紧急情况的准备和反应程序； （6）内部评审和管理性复查程序。,SAFETY AND ENVIRONMENTAL-PROTECTION POLICY,The Company should establish a safety and environmental-protection policy which describes how the objectives given by this code will be achieved. The Company should en

7、sure that the policy is implemented and maintained at all levels of the organization, both ship-based and shore-based.,安全和环境保护万针,公司应当制定安全和环境保护方针，说明如何实现公司的安全管理目标。 公司应当保证船岸各级机构均能执行和保持此方针。,COMPANY RESPONSIBILITIES AND AUTHORITY,If the entity who is responsible for the operation of the ship is other tha

8、n the owner, the owner must report the full name and details of such entity to the Administration. 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. Th

9、e 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.,公司的责任和权力,如果负责船舶营运的实体不是船舶所有人，船舶所有人应向主管机关报告其名称以及详细信息。 对管理、从事和审核涉及安全和防止污染工作的所有人员，公司应当明确并用文件形式规定其责任、权力及相互关系。 公司应当负责保证向指定的人员提供足够的资源和岸

10、上的支持，以便使其能够履行各自的职责。,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

11、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.,指定人员,为保证各船的安全营运和提供公司与船上之间的联系渠道，公司应当根据情况指定一名或数名能直接同最高管理层联系的岸上人员。 被指定

12、人员的责任和权力应包括对各船的安全营运和防止污染方面进行监控，并确保按需要提供足够的资源和岸上的支持。,MASTERS RESPONSIBILITY AND AUTHORITY,The Company should clearly define and document the masters responsibility with regard to: .1 implementing the safety and environmental-protection policy of the Company; .2 motivating the crew in the observation

13、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.,MASTERS RESPONSIBILITY AND AUTHORITY,The Com

14、pany should ensure that the safety management system operating on board the ship contains a clear statement emphasizing the masters authority. The Company should establish in the safety management system that the master has the overriding authority and the responsibility to make decisions with respe

15、ct to safety and pollution prevention and to request the Companys assistance as may be necessary.,船长的责任和权力,公司应当以文件形式明确规定船长的下列责任： （1）执行公司的安全和环境保护方针； （2）激励船员遵守该方针； （3）以简明方式发布相应的命令和指令； （4）审核具体要求的遵守情况； （5）复查安全管理体系并向岸上管理部门报告其不足之处。 公司应当保证在船上实施的安全管理体系中包含一个强调船长权力的明确声明。公司应当在安全管理体系中确立船长的绝对权力和责任，以便做出关于安全和防止污染事

16、务的决定并在必要时要求公司给予协助。,RESOURCES AND PERSONNEL,The Company should ensure that the master is: .1 properly qualified for command; .2 fully conversant with the Companys safety management system; and .3 given the necessary support so that the masters duties can be safely performed.,RESOURCES AND PERSONNEL-

17、The Company should ensure that :,manning in accordance with national and international requirements familiarization with their duties adequate understanding of relevant rules, regulations, codes and guidelines. training working language communicate effectively,资源和人员,公司应当保证船长: （1）具有适当的指挥资格； （2）完全熟悉公司

18、的安全管理体系； （3)得到必要支持，以便可靠地履行其职责。,资源和人员-公司应当保证,配备合格、持证并健康的船员。 新聘人员和新调至该岗位人员适当熟悉其职责。 与安全管理体系有关的所有人员对有关规定、规则和指南有充分的理解。 支持安全管理体系可能需要的任何培训，并保证向所有相关人员提供这种培训。 使船上人员藉此能够获得以一种工作语言或他们懂得的其他语言书写的有关安全管理体系的信息： 船上人员在履行其涉及安全管理体系的职责时能够有效地交流。,DEVELOPMENT OF PLANS FOR SHIPBOARD OPERATIONS,The Company should establish pr

19、ocedures 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.,船上操作方案的制定,对涉及船舶安全和防止污染的关键性的船上

20、操作，公司应当建立制定有关方案和须知的程序。 与之有关的各项工作，应当明确规定并分配给适任人员。,EMERGENCY PREPAREDNESS,The Company should establish procedures to identify, describe and respond to potential emergency shipboard situations. The Company should establish programmes for drills and exercises to prepare for emergency actions. The safety

21、 management system should provide for measures ensuring that the Companys organization can respond at any time to hazards, accidents and emergency situations involving its ships.,应急准备,对船上可能出现的紧急情况，公司应当建立标明、阐述和反应的程序。 公司应当制定应急行动的训练和演习计划。 安全管理体系应提供措施，确保公司有关机构能在任何时候对涉及其船舶的危险、事故和紧急情况做出反应。,Reports .2 any

22、non-conformity is reported, with its possible cause, if known; .3 appropriate corrective action is taken; and .4 records of these activities are maintained.,船舶和设备的维护,公司应当建立有关程序，以便保证船舶按照有关规定、规则以及公司可能制定的任何附加要求进行维护。 为满足这些要求，公司应当保证： （1）按照适当的间隔期进行检查； （2）报告已知的不符合规定的情况并附可能的原因； （3）采取适当的纠正措施； （4）保存这些活动的记录。,D

23、OCUMENTATION,Safety Management System Safety Management Manual Each ship should carry on board all documentation relevant to that ship.,文件,公司应当建立并保持控制与安全管理体系有关的所有文件和资料的程序。 用于阐述和实施安全管理体系的文件可称为“安全管理手册”。文件应当以公司认为最有效的方式予以保存。每艘船应当备有与之有关的全部文件。,COMPANY VERIFICATION, REVIEW AND EVALUATION,Internal Safety Au

24、dits to verify whether safety and pollution-prevention activities comply with the safety management system At least Once a year,公司审核、复查和评价,内部安全评审，以审核安全及防止污染活动是否符合安全管理体系的要求。 公司应当定期评价安全管理体系的有效性，必要时还应当根据公司建立的有关程序对安全管理体系进行复查。评审及可能采取的纠正措施应当按文件规定的程序进行。除非由于公司的规模和性质不可能做到，实施评审的人员应当不从属于被评审的部门。评审及复查结果应当告知有关部门的

25、所有负有责任的人员，以便提请他们注意。负有责任的管理人员应当对所发现的缺陷及时采取纠正措施。,CERTIFICATION AND PERIODICAL VERIFICATION,Document of Compliance (issued by administration for company capable of complying with the requirements of this Code ) A Copy of DOC should be placed on board Valid period should not exceed 5 years validity of a

26、 DOC should be subject to annual verification,发证、审核和监控,符合证明（由主管及向符合规则要求的公司颁发) 船上应当保存DOC副本 DOC有效期不得超过5年 为保持有效， DOC须经年审。,CERTIFICATION AND PERIODICAL VERIFICATION,Safety Management Certificate (issued by administration for a ship complying with the requirements of this Code ) Valid period should not e

27、xceed 5 years At least one intermediate verification required for validity of SMC. SMC should also be withdrawn if the DOC is withdrawn.,发证、审核和监控,安全管理证书（由主管及向符合规则要求的船舶颁发) SMC有效期不得超过5年 为保持有效， DOC须经一次中间审核 如果DOC失效， SMC随之失效,PERIODICAL VERIFICATION-Audit,Examples of the type of documentation the auditor

28、will wish to see to verify compliance with the ISM are as follows: Log books Safety and management meeting minutes and follow up actions Medical log Company circular letters Planned maintenance records Records of verification,PERIODICAL VERIFICATION-Audit,Records of masters review of the system Reco

29、rds of internal audits and follow up Records of chart corrections Class quarterly listings Records of passage planning Oil record books Garbage logs Company manual and forms,ISM Code- Safety Principles,1.ISM code is an application of ISO9000 principles to maritime safety management. 2. ISM code cont

30、rols human element by impacting on the way shipping companies are managed, thus enhances the maritime safety and protects the marine environment. 3.benefits derived from safety management improve the performance of company in competition.,ISM Code- Safety Principles,4.Verification and audit by admin

31、istration and PSC play important roles. 5.The commitment, competence, attitudes and motivation of individuals at all levels determines the safety management result.,ISM规则的安全保障原理,ISM规则是ISO9000的原理，结合海上安全实际的产物，富含现代管理科学和安全科学的成就 ISM规则的重点是公司安全管理，直接目标是控制人为因素，最终目标是实现海上安全和防止污染，即通过控制公司来控制人为因素。 ISM规则的驱动机制:利益驱动

32、 ISM规则的驱动机制:外部审核 ISM规则的驱动机制:全员参与,Safety Management System,Every Company should develop, implement and maintain a safety management system which should meet the Functional requirements. Each ship should carry on board all documentation relevant to SMS.,Safety Management System,The Company should esta

33、blish and maintain procedures to control all documents and data which are relevant to the safety management system. 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.,安全管理

34、体系,公司应当建立并维持有效措施以保证安全管理体系文件： （1）各有关部门均能够获得有效的文件； （2）文件的更改由经授权的人审查批准； （3）被废止的文件应及时清除。,SMS- key shipboard operations,A system is in place for the on board generation of plans and instructions for key shipboard operations These tasks may be divided into two categories: Special operations and Critical s

35、hipboard operations,关键性船上操作,对涉及船舶安全和防污染的关键性船上操作，公司应按程序制定操作方案和须知，明确规定有关工作并分配给适任人员。 关键性操作分为特殊操作和关键操作。,SMS- key shipboard operations,Special operations-those where errors only become apparent after a hazardous situation or accident has occurred. E.g. ensuring water tight integrity, navigational safety(

36、chart corrections, passage planning), maintenance operations, bunker operations .,关键性船上操作,特殊操作是指其错误仅在已造成危险情况或事故已发生时才会明显看出的操作。至少包括：保证水密完整性；航行安全，包括改正海图和有关出版物；影响设备（如舵机）及其有关的备用机器可靠性的操作；维护操作；加油操作及港内驳油操作；保持稳性和防止超载和应力集中；集装箱、货物及其他物品的绑固；船舶保安，暴力和海盗行为等。 特殊操作的程序和须知应包括防患于未然的预防措施和检查。,SMS- key shipboard operations

37、,Critical shipboard operations- where an error will immediately cause an accident or a situation that could threaten personnel, environment or vessel. e.g. navigation in confined waters, operation in heavy weather, bunker or oil transfers, cargo operations on tankers.,关键操作,关键操作是指其错误会立刻导致危及人员、环境或船舶的事

38、故或情况的操作。至少包括：在限制水域和交通密集区域航行；在接近陆地水域或交通密集水域会造成突然失去操纵能力的操作；视线不良条件下的航行；气象恶劣条件下的航行；危险货物和有毒有害物质的装卸和积载；海上加油和驳油；气体运输船、化学品船和油船的货物操作；关键性机器操作等。 进行关键操作应尽可能现场有人监督，严格按文件操作，保存经双方签署的记录或检查表。,ISM-Safety Management Effect,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 e