关于印发《国际船舶安全营运和防止污染管理规则》监督检查指南的通知

中华人民共和国海事局文件 海船舶〔2010）623号

各直属海事局：

为指导港口国监督检查员正确开展国际航行船舶《国际船舶安全营运和防止污染管理规则》符合性监督检查工作，我局组织编写了《<国际船舶安全营运和防止污染管理规则>检查指南》）（中英文对照）。现印发给你们，请参照执行。

二〇一〇年十二月十六日

《国际船舶安全营运和防止污染管理规则》监督检查指南

一、目的

为监督检查船舶是否有效履行《国际船舶安全营运和防止污染管理规则》（以下简称ISM规则），依据《国际海上人命安全公约》，结合我国港口国监督检查工作的具体实践，制定本指南。本指南的目的是为我国港口国监督检查员提供技术支持。

二、检查内容及参考依据

（一）船舶是否持有有效SMC证书和DOC副本？(缺陷代码：2555 )

依据：ISM规则第13条 发证、审核和监督

13.1 船舶应由持有与该船相关的“符合证明”或 “临时符合证明”的公司管理。

13.6 “符合证明”的一份副本应当保存在船上，以便船长按要求出示给主管机关或其认可的机构查验，或为公约第IX章第6.2段的监督目的而出示。此证明的副本不需要认证或核证。

船舶可能持有一份临时符合证明的副本和一份临时安全管理证书；或者持有一份临时符合证明副本和一份长期安全管理证书；或者一份长期符合证明的副本和一份临时安全管理证书。

临时符合证明最长有效期为12个月。临时安全管理证书有效期为6个月，在特殊情况下，证书签发的有效期可能再延长六个月。

13.7 对每艘船舶，由主管机关、主管机关认可的机构或在主管机关的要求下，由另一缔约国政府签发不超过5年的安全管理证书。

13.8 安全管理证书至少应接受由主管机关、主管机关认可的机构或在主管机关的要求下，由另一缔约国政府进行的中间审核。如果在5年的周期内仅进行一次中间审核，它应在第2个周年日和第3个周年日之间进行。

13.10当换证审核在原符合证明或安全管理证书到期日前3个月内完成，则新符合证明或安全管理证书的有效期从原符合证明或安全管理证书到期日起不超过5年。

13.11 若换证审核在原符合证明或安全管理证书到期日3个月前完成，则新符合证明或安全管理证书的有效期从换证审核的完成日起不超过5年。

13.12 当换证审核在原“SMC”有效期届满之日后完成时,新签发的“SMC”应当自完成换证审核之日起有效,且有效期自原证书有效期届满之日起不超过5年

13.13 如果在原“SMC” 有效期届满之日前换证审核已完成,但新证书还未签发或未到船,则主管机关或其认可的组织可以对原证书予以不超过5个月的展期签注.

13.14当“SMC” 有效期届满时,如果船舶不在将要对其进行审核的港口,主管机关可以对其SMC有效期予以不超过3个月的展期,但此种展期只能是在适当、合理的情况下并且是出于允许该船舶航行至接受审核的港口的目的，被给予证书展期的船舶到达接受审核的港口后，在没有取得新证书的情况下不允许离港。换证完成后，新的SMC的有效期自原证书展期前届满日起不超过5年。

除了核实船上是否配备符合证明和安全管理证书外，检查员应核实符合证明和安全管理证书中标明的公司是否一致，两证书是否进行了签注。检查员应注意安全管理证书应在证书有效期的第二和第三年间进行中间审核，符合证明应进行年度审核。在这点上，船舶应该持有一份符合证明签注页的副本。这不需要原始的副本，可以是传真或电子邮件的副本。

被认定为重大不符合规定情况：船上没有ISM证书、DOC证书副本或证书已失效。

（二）高级船员是否清楚公司对船舶管理负有职责的指定人员及联系方式？ （缺陷代码：2520）

依据：ISM规则第4条 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。指定人员的职责和权力应包括对各船营运的安全和防止污染方面进行监控，并确保公司向船舶按需要提供足够的资源和岸上支持。

船长必须知道指定人员，理解指定人员的作用。其他的高级船员也应该能了解指定人员的身份和作用。指定人员无需直连联系到，甚至可能指定人员不参与应急的工作。但船长应该能够说明联络方式，包括指定人员了解不符合规定情况的途径。

被认定为重大不符合规定情况：高级船员不知道指定人员，不了解其对船上的职责。

（三）船舶是否配备合格、持证并健康的船员? (缺陷代码：2530)

依据：ISM规则第6条 资源和人员

6.2 公司应当保证根据本国和国际有关规定,为每艘船舶配备合格、持证并健康的船员 .

重大不符合规定情况：船舶配员不符合最低配员证书要求。

（四）安全管理体系文件是否使用工作语言或船员能懂得的语言？(缺陷代码：2530)

依据：ISM规则第6条 资源和人员

6.6公司应当建立有关程序，使船上人员籍此一种工作语言或他们懂得的其它语言获得有关安全管理体系的信息。

体系文件无需使用特定的语言，公司可以决定船上的工作语言，籍船员能懂的语言提供相关信息。

没有要求SMS文件必须使用检查员能懂得的语言。检查员可以要求口头解释SMS文件的部分内容。

被认定为重大不符合规定情况：相关安全管理信息未使用工作语言或船员能懂的语言。

（五）船员是否能够在执行安全管理体系的职责时进行有效交流？ (缺陷代码：2530)

依据：ISM规则第6条 资源和人员

6.7公司应当保证船上人员在履行其涉及安全管理体系的职责时能够有效的交流。

检查员可以通过一次演习或训练，测试船员是否可以有效交流。在与安全管理体系相关的所有工作中，船员间的交流不应通过翻译（其他船员）。

被认定为重大不符合规定情况：船员间不能彼此进行工作交流。

（六）船员是否熟悉其在安全管理体系中的职责？(缺陷代码：2530)

依据：ISM规则第6条 资源和人员

6.3公司应当建立有关程序，以便保证涉及安全和环境保护工作的新聘和转岗人员适当熟悉其职责。凡需在开航前做出的指令均应当标明并以文件形式下达。

被认定为重大不符合规定情况：船员不熟悉其在安全管理体系中的职责。

（七）船员是否熟悉船舶关键性操作程序？(缺陷代码：2535)

依据：ISM规则第7条 船上操作方案的制定

对涉及人员、船舶安全及海洋环境保护的关键性的船上操作，公司应制定有关程序、方案或须知，包括检查清单。各项任务都应明确，且指派适任的人员来执行。

被认定为重大不符合规定情况：船舶关键性操作没有明确分配给适任人员； 船员不熟悉船舶关键性操作程序。

（八）船员是否按照体系文件要求进行应急演习和训练？（缺陷代码：2540)

依据：ISM规则第8条 应急准备

8.1 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。

8.2 公司应当制定应急行动的训练和演习计划

该程序应覆盖SOLAS公约第Ⅲ章第19条的法定要求，以及批准的安全管理体系标识的其它紧急情况。船员对于潜在紧急情况的应变反应应在训练中实施。这些训练应覆盖所有文件规定关键性和应急的情况。所有的应急演习的记录都应保留在船上并能随时被检查。

检查期间，检查员可以通过应询问船员相关问题以对记录进行核实。

被认定为重大不符合规定情况：没有按程序的要求执行演习。

（九）在紧急情况下，船舶与船公司联络程序能否保持有效？( 缺陷代码：2540)

依据：ISM规则第8条 应急准备

8.3公司管理体系应提供措施，确保公司有关机构能在任何时候对其船舶所面临的危险，事故和紧急情况做出反应。

实例：如果公司安全管理体系文件有规定，则油污应急计划中的公司联系表应该完整。许多船舶将这种联系表张贴在电报间内，但这不是强制要求。

训练和演习记录中可能提供联系方式的证据，如果没有，检查员可要求船方演示。

被认定为重大不符合规定情况：在应急情况下，没有与公司联系的程序。

（十）是否按照程序报告并正确处理不符合规定、事故和险情？（缺陷代码2545）

依据：ISM规则第9条 不符合规定的情况、事故和险情的报告和分析

9.1安全管理体系应当包括确保不符合规定的情况、事故和险情得到报告、调查和分析的程序，以便改进安全和防止污染工作。

检查员可以询问船员如何向公司报告不符合规定情况、事故和险情。例如，如果船上安全管理体系文件有规定，PSC检查中的缺陷是否已向公司报告，如果已报告，检查员可以要求提供记录。这种情况下，检查员要注意已经报告的单个不符合规定情况、事故和险情，同时要注意采取了什么样的改进措施。在实际检查时，检查员应该核实这些措施是否被有效的实施。

船上可能没有需要报告的情况。检查员应该至少检查前两个PSC检查报告，核查是否有重复发生的缺陷。当发现有重复的缺陷，检查员应查看船舶按照安全管理体系向公司报告了什么纠正措施，以及公司采取什么样的措施避免缺陷重复发生。在检查期间，检查员还应该检查这些缺陷是否纠正。

（十一）船员是否按照安全管理体系程序对船舶和设备进行维护保养？（缺陷代码：2550）

依据：ISM规则第10条船舶和设备的维护

10.1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。

检查员应该通过船舶的总体状况评价维护保养的有效性。例如船体或结构上的严重锈蚀，关键性设备无法操作、PSC检查中反复出现的缺陷或者多项技术缺陷都将视为未有效进行维护保养的证据。

被认定为重大不符合规定情况：所有与船体、结构和设备相关的滞留缺陷。

10.3公司应标识那些会因突发性运行故障而导致险情的设备和技术系统。安全管理体系应当提供旨在提高这些设备和系统可靠性的具体措施。这些措施应当包括对备用装置及设备或非连续使用的技术系统的定期测试。

系统应该包括备用设备或关键性设备或系统的日常测试程序，这些测试应有记录。检查员应该查看与之相应的安全管理体系程序文件和记录。然后，检查员在检查期间，抽取一到二个最近的记录项目来进行验证。这样的测试应尽早要求，以便船方提前准备，这些测试不应过度的妨碍船舶操作。

被认定为重大不符合规定情况：备用设备或关键性设备没有进行日常的维护保养和测试。

（十二）船员是否按要求控制所有与SMS相关的文件和资料？(缺陷代码：2555)

依据：ISM规则第11条 文件管理

11.1 公司应建立和保持控制与SMS有关的所有文件和资料的程序。

11.2 公司应当保证:

.1 所有有关场所均可获得有效文件；

.2 文件的更改须经授权的人员审核和批准；及

.3 失效的文件要立即撤换。

11.3 用于阐述及实施SMS的文件可称为"安全管理手册"。文件应以公司认为最有效的方式予以保持。每一艘船舶应将与该船有关的全部文件存放于船上。

被认定为重大不符合规定情况：船上没有安全管理体系文件。

附件：

ISM规则监督检查表

GUIDANCE FOR PORT STATE CONTROL OFFICERS

ON CHECKING FOR COMPLIANCE WITH ISM Code

( English Edition )

1. (2555 )Does the vessel hold a full term SMC and a copy of DOC?

Certificates: Copy of Document of Compliance (DOC) and original of Safety Management Certificate (SMC).

Reference

13.1 The ship should be operated by a Company which has been issued with a Document of Compliance or with an Interim Document of Compliance.

13.6 A copy of the Document of Compliance should be placed onboard in order that the master, if so requested, may produce it for verification by the Administration or by an organization recognized by the Administration or for the purpose 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.

The vessel may have a copy of an interim DOC and hold an interim SMC or hold a copy of an interim DOC and a full term SMC or a copy of a full term DOC and an interim SMC.

An Interim DOC is valid for a maximum of 12 months.

An Interim SMC is valid for 6 months. In special cases the issuing body may extend the Validity of the Interim SMC for a further six month.

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.

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 date of the Safety Management Certificate.

13.10 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.

13.12 When the renewal verification is completed after the expiry date of the existing Safety Management Certificate, the new Safety Management Certificate should be valid from the date of completion of the renewal verification to a date not exceeding five years from the date of expiry of the existing Safety Management Certificate.

13.13 If a renewal verification has been completed and a new Safety Management Certificate cannot be issued or placed on board the ship before the expiry date of the existing certificate, the Administration or organization recognized by the Administration may endorse the existing certificate and such a certificate should be accepted as valid for a further period which should not exceed five months from the expiry date.

13.14 If a ship at the time when a Safety Management Certificate expires is not in a port in which it is to be verified, the Administration may extend the period of validity of the Safety Management Certificate but this extension should be granted only for the purpose of allowing the ship to complete its voyage to the port in which it is to be verified, and then only in cases where it appears proper and reasonable to do so.

No Safety Management Certificate should be extended for a period of longer than three months, and the ship to which an extension is granted should not, on its arrival in the port in which it is to be verified, be entitled by virtue of such extension to leave that port without having a new Safety Management Certificate. When the renewal verification is completed, the new Safety Management Certificate should be valid to a date not exceeding five years from the expiry date of the existing Safety Management Certificate before the extension was granted.

In addition to verifying the existence of the DOC and SMC, the PSCO’s should verify that the company identified on the SMC is the same as that shown on the DOC and that the endorsements on both certificates have been made. The PSCO should note that the SMC requires a verification audit between the second and third years and the DOC requires annual verification. In this regard,The ship should hold a copy of the DOC endorsement. This does not need to be an original copy but can be a fax or email copy.

Conclusion

Item to be considered as a major non-conformity; ISM-certificates not on board

2. (2520) Can senior officers identify the “designated person” responsible for the operation of the ship and the means to contact that person?

Reference

Section 4 of the Code

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.

The Master must know his identity and be aware of the role of the DP. Other senior officers should be aware of the identity and role of the DP. The DP does not have to be directly contactable and may not even have any role to play in an emergency. The Master should be able to explain the means of contact, including the route of non-conformities that the DP will be seeing.

Conclusion

Item to be considered as a major non-conformity; Senior officers unable to identify the designated person, responsible for that ship.

3. (2530) Is Ship manned with qualified, certificated and medically fit seafarers in accordance with minimum safety manning documents?

Reference

Section 6 of the Code RESOURCES AND PERSONNEL

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.

Conclusion

Item to be considered as a major non-conformity; The vessel was not manned with the required qualified, certified and medically fit seafarers.

4. (2530) Is relevant documentation regarding the SMS in a working language or languages understood by the ship’s personnel?

Reference

6.6 The Company should establish procedures by which the ship's personnel receive relevant information on the SMS in a working language or languages understood by them.

The documented SMS does not need to be in a particular language. It is for the company to decide on the "working language" of the ship and then provide pertinent and relevant information to the ship's personnel in a language understood by them.

It is not a requirement for the SMS to be in a language understood by the PSCO. The PSCO may ask for parts of the SMS to be explained verbally.

Conclusion

Item to be considered as a major non-conformity; Relevant safety management information not in a working language or a language understood by the crew members.

5. (2530) Are the crew members able to communicate effectively in the execution of their duties related to the SMS?

Reference

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.

The PSCO may test the crew’s ability to communicate effectively with each other during a drill or exercise. During all work relating to the SMS the crew should be able to communicate without translators (meaning other crew members).

Conclusion

Item to be considered as a major non-conformity; Crew members can not communicate with each other.

6. (2530) Are crew members familiar with their functions and duties documented?

Reference

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. Instructions which are essential to be provided prior to sailing should be identified, documented and given.

Crew members may be asked during the inspection of the ship if and how they were introduced to the SMS. Some of the introduction may have been carried out before coming on board. The PSCO may ask for documented records of the introduction/familiarization of some crew member.

Conclusion

Item to be considered as a major non-conformity; Crew members are not familiar with their duties within the SMS.

7. (2535) Are crewmembers familiar with plans & instructions for key shipboard operations on board?

Reference

Section 7 of the Code  Development of plans for shipboard operations

The Company should establish procedures, plans and instructions, including checklists as appropriate, for key shipboard operations concerning the safety of the personnel, ship and protection of the environment. The various tasks should be defined and assigned to qualified personnel.

Conclusion

Item to be considered as a major non-conformity：

key shipboard operations not defined and assigned to appropriately qualified persons .

Crewmembers weren’t familiar with plans & instructions for key shipboard operations on board.

8. (2540) Are crewmembers carry out emergency drills and exercises according to programme?

Reference

8.1 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.

The programme should cover statutory requirements (SOLAS, Chapter III - Regulation 19), and other emergency situations identified in the approved Safety Management System. The crew’s responses to potential emergencies should be practised in drills. These drills should cover all documented responses to critical and emergency situation. Records of all emergency drills and exercises onboard should be maintained and be available for verification.

The records sighted could be verified by the PSCO during the inspection by asking relevant questions of the crew.

Conclusion

Item to be considered as a major non-conformity; Drills have not been carried out according to programme.

9. (2540) Have the procedures for establishing and maintaining contact with shore management in an emergency been tested?

Reference

8.3 The SMS should provide for measures ensuring that the Company's organization can respond at any time to hazards, accidents and emergency situations involving its ships.

Example; A reference to the company contacts in the SOPEP could be sufficient if so stated in the SMS. PSCOs cannot expect to see a neat list posted in the radio room although many ships will have this type of list.

Records from drills and exercises may provide evidence that the means of contact has been tested. If not, the PSCO may ask for this to be demonstrated.

Conclusion

Item to be considered as a major non-conformity: No procedure to contact the company in emergency situations.

10. (2545) Are non-conformities, accidents and hazardous situations reported to the Company and rectified？

Reference

9.1 The SMS should include procedures ensuring that non-conformities, accidents and hazardous occurrences are reported to the Company, investigated and analyzed with the objective of improving safety and pollution prevention.

Conclusion

The PSCO may ask the crew on how to report non-conformities, accidents and hazardous situations to the Company. For example, if the onboard SMS requires it, have deficiencies from previous PSC inspections been reported. If reports have been issued the PSCO may ask for records. In this case, the PSCO may note an individual non-conformity, accident or hazardous occurrence that has been reported and note what corrective action has occurred. During the physical inspection of the ship, the PSCO could verify that the item has in fact been effectively dealt with.

A PSCO may have to accept that the need to report has not yet occurred.

The PSCO should examine at least the last two inspection reports to identify any repeated deficiencies.

When repeated deficiencies have been identified the PSCO shall seek what corrective action has been reported to the company in accordance with the SMS and what action has been taken by the Company to avoid such a recurrence.

During the inspection the PSCO should also verify that the items have been rectified.

11. (2550) Are crewmembers carry out maintenance of the ship and equipment according to SMS related procedures?

Reference

10.3 The Company should identify equipment and technical systems the sudden operational failure of which may result in hazardous situations. The SMS 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.

The system should include routines the testing of standby equipment and critical equipment/systems. Records of these tests should be available.

The PSCO should ask to see the SMS procedure and the records associated with it. The PSCO could then note one or two items recently recorded as tested and verify these during inspection. Such tests should be requested early to allow the ship to implement any preparations and any such testing should not unduly interfere with shipboard operations.

Conclusion

Item to be considered as a major non-conformity; Stand by equipment or critical equipment not in the maintenance routine or tested.

Reference

10.1 The Company should establish procedures to ensure that the ship is maintained in conformity with the provisions with of the relevant rules and regulations and with any additional requirement which may be established by the Company.

To evaluate the effectiveness of the maintenance, the PSCO should consider the overall condition of the ship. For example severe corrosion to the hull or structure, inoperable critical equipment, repetitive deficiencies from PSC inspections or multiple technical deficiencies will be considered as evidence that the system is not effective.

Conclusion

Item to be considered as a major non-conformity; All detainable deficiencies related to hull, structure or equipment.

12. (2555) Are crewmembers control all documents and data which are relevant to the SMS?

Reference

Section 11 of the Code  Documentation 

11.1 The Company should establish and maintain procedures to control all documents and data which are relevant to the SMS.

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 SMS 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.

Conclusion

Item to be considered as a major non-conformity: Safety Management documentation not on Board.