IMO IA117E-2002 International Safety Management Code ISM Code and Revised Guidelines on Implementation of the ISM Code by Administrations (Second Edition).pdf

1、International Safety Management CodeISM CodeandRevised Guidelines onImplementation of theISM Code by Administrations2002 EditionBINTERNATIONALMARITIMEORGANIZATIONLondon, 2002First published in 1997 by theINTERNATIONAL MARITIME ORGANIZATION4 Albert Embankment, London SE1 7SRSecond edition 2002Printed

2、 by the International Maritime Organization, London46810975ISBN 92-801-5123-1IMO PUBLICATIONSales number: IA117ECopyright # International Maritime Organization 2002All rights reserved.No part of this publication may be reproduced,stored in a retrieval system or transmitted in any formor by any means

3、 without prior permission in writingfrom the International Maritime Organization.ForewordWith the entry into force, on 1 July 1998, of the 1994 amendments to theInternational Convention for the Safety of Life at Sea (SOLAS), 1974, whichintroduced a new chapter IX into the Convention, the Internation

4、al SafetyManagement (ISM) Code has been made mandatory. Chapter IX wasamended by resolution MSC.99(73), which was accepted on 1 January2002 and will enter into force on 1 July 2002. This is the date on which theISM Code will became mandatory for a wider range of cargo ships and formobile offshore dr

5、illing units.The Codes origins go back to the late 1980s, when there was mountingconcern about poor management standards in shipping. Investigations intoaccidents revealed major errors on the part of management and in 1987the IMO Assembly adopted resolution A.596(15), which called upon theMaritime S

6、afety Committee to develop guidelines concerning shipboardand shore-based management to ensure the safe operation of roropassenger ferries.The ISM Code evolved through the development of the Guidelines onManagement for the Safe Operation of Ships and for Pollution Prevention,adopted in 1989 by the I

7、MO Assembly as resolution A.647(16), and therevised Guidelines, adopted two years later as resolution A.680(17), to itscurrent form, the International Management Code for the Safe Operationof Ships and for Pollution Prevention (International Safety Management(ISM) Code), which was adopted in 1993 as

8、 resolution A.741(18). ThisCode was amended in December 2000 by resolution MSC.104(73). Thisresolution was accepted on 1 January 2002, and the amendments willenter into force on 1 July 2002.In 1995, the IMO Assembly, recognizing the need for uniformimplementation of the ISM Code and that there might

9、 be a need forAdministrations to enter into agreements in respect of the issuance ofcertificates by other Administrations in accordance with SOLAS chapter IXand the ISM Code, adopted the Guidelines on Implementation of theInternational Safety Management (ISM) Code by Administrations byresolution A.7

10、88(19). These Guidelines were replaced with RevisedGuidelines, which were adopted by resolution A.913(22) in November2001. This resolution revokes resolution A.788(19) as of 1 July 2002.iiiThis publication includes the texts of SOLAS chapter IX, the ISM Code andthe Revised Guidelines referred to in

11、the previous paragraphs.ivISM CodeContentsInternational Convention for the Safety of Life at Sea, 1974,as amendedChapter IX Management for the safe operation of ships 1Resolution A.741(18) as amended by MSC.104(73)International Safety Management (ISM) Code 5Resolution A.913(22)Revised Guidelines on

12、implementation ofthe ISM Code by Administrations. 25vManagement for the safeoperation of shipsChapter IX* of the annex to the 1974 SOLAS ConventionRegulation 1DefinitionsFor the purpose of this chapter, unless expressly provided otherwise:1 International Safety Management (ISM) Code means the Intern

13、a-tional Management Code for the Safe Operation of Ships and for PollutionPrevention adopted by the Organization by resolution A.741(18), as maybe amended by the Organization, provided that such amendments areadopted, brought into force and take effect in accordance with theprovisions of article VII

14、I of the present Convention concerning theamendment procedures applicable to the annex other than chapter I.2 Company means the owner of the ship or any other organization orperson such as the manager, or the bareboat charterer, who has assumedthe responsibility for operation of the ship from the ow

15、ner of the ship andwho on assuming such responsibility has agreed to take over all the dutiesand responsibilities imposed by the International Safety ManagementCode.3 Oil tanker means an oil tanker as defined in regulation II-1/2.12.4 Chemical tanker means a chemical tanker as defined in regulationV

16、II/8.2.5 Gas carrier means a gas carrier as defined in regulation VII/11.2.* Chapter IX of the annex to the 1974 SOLAS Convention was adopted by the 1994 SOLASConference. It was accepted on 1 January 1998 and entered into force on 1 July 1998. Thetext was amended by resolution MSC.99(73) in December

17、 2000, and these amendments wereaccepted on 1 January 2002. The amended text will enter into force on 1 July 2002.i.e., the oil tanker defined in regulation 1 of Annex I of the Protocol of 1978 relating to theInternational Convention for the Prevention of Pollution from Ships, 1973.i.e., a cargo shi

18、p constructed or adapted and used for the carriage in bulk of any liquidproduct listed in chapter 17 of the International Bulk Chemical Code.i.e., a cargo ship constructed or adapted and used for the carriage in bulk of any liquefiedgas or other product listed in chapter 19 of the International Gas

19、Carrier Code.16 Bulk carrier means a ship which is constructed generally with singledeck, top-side tanks and hopper side tanks in cargo spaces, and is intendedprimarily to carry dry cargo in bulk, and includes such types as ore carriersand combination carriers.7 Mobile offshore drilling unit (MODU)

20、means a vessel capable ofengaging in drilling operations for the exploration for or exploitation ofresources beneath the sea-bed such as liquid or gaseous hydrocarbons,sulphur or salt.8 High-speed craft means a craft as defined in regulation X/1.*Regulation 2Application1 This chapter applies to ship

21、s, regardless of the date of construction,as follows:.1 passenger ships including passenger high-speed craft, not laterthan 1 July 1998;.2 oil tankers, chemical tankers, gas carriers, bulk carriers andcargo high-speed craft of 500 gross tonnage and upwards, notlater than 1 July 1998; and.3 other car

22、go ships and mobile offshore drilling units of 500 grosstonnage and upwards, not later than 1 July 2002.2 This chapter does not apply to government-operated ships used fornon-commercial purposes.Regulation 3Safety management requirements1 The company and the ship shall comply with the requirements o

23、fthe International Safety Management Code. For the purpose of thisregulation, the requirements of the Code shall be treated as mandatory.2 The ship shall be operated by a company holding a Document ofCompliance referred to in regulation 4.* i.e., a craft capable of a maximum speed, in metres per sec

24、ond (m/s), equal to or exceeding3.7H0.1667where H = volume of displacement corresponding to the design waterline (m3)excluding craft the hull of which is supported completely clear above the water surface in non-displacement mode by aerodynamic forces generated by ground effect.2ISM CodeRegulation 4

25、Certification1 A Document of Compliance shall be issued to every companywhich complies with the requirements of the International Safety Manage-ment Code. This document shall be issued by the Administration, by anorganization recognized by the Administration, or at the request of theAdministration b

26、y another Contracting Government.2 A copy of the Document of Compliance shall be kept on board theship in order that the master can produce it on request for verification.3 A Certificate, called a Safety Management Certificate, shall beissued to every ship by the Administration or an organization re

27、cognizedby the Administration. The Administration or organization recognized by itshall, before issuing the Safety Management Certificate, verify that thecompany and its shipboard management operate in accordance with theapproved safety management system.Regulation 5Maintenance of conditionsThe safe

28、ty management system shall be maintained in accordance with theprovisions of the International Safety Management Code.Regulation 6Verification and control1 The Administration, another Contracting Government at the requestof the Administration or an organization recognized by the Administrationshall

29、periodically verify the proper functioning of the ships safetymanagement system.2 A ship required to hold a certificate issued pursuant to theprovisions of regulation 4.3 shall be subject to control in accordance withthe provisions of regulation XI/4. For this purpose such certificate shall betreate

30、d as a certificate issued under regulation I/12 or I/13.31974 SOLAS Convention, chapter IXInternational SafetyManagement CodePREAMBLE1 The purpose of this Code is to provide an international standard forthe safe management and operation of ships and for pollution prevention.2 The Assembly adopted re

31、solution A.443(XI), by which it invited allGovernments to take the necessary steps to safeguard the shipmaster inthe proper discharge of his responsibilities with regard to maritime safetyand the protection of the marine environment.3 The Assembly also adopted resolution A.680(17), by which itfurthe

32、r recognized the need for appropriate organization of managementto enable it to respond to the need of those on board ships to achieve andmaintain high standards of safety and environmental protection.4 Recognizing that no two shipping companies or shipowners are thesame, and that ships operate unde

33、r 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 wide-spread application. Clearly, different levels of management, whether shore-based or at sea, will require varying levels of knowledge and awa

34、reness ofthe items outlined.6 The cornerstone of good safety management is commitment fromthe top. In matters of safety and pollution prevention it is the commitment,competence, attitudes and motivation of individuals at all levels thatdetermines the end result.PART A IMPLEMENTATION1 GENERAL1.1 Defi

35、nitionsThe following definitions apply to parts A and B of this Code.51.1.1 International Safety Management (ISM) Code means the Inter-national Management Code for the Safe Operation of Ships and forPollution Prevention as adopted by the Assembly, as may be amended bythe Organization.1.1.2 Company m

36、eans the owner of the ship or any other organization orperson such as the manager, or the bareboat charterer, who has assumedthe responsibility for operation of the ship from the shipowner and who, onassuming such responsibility, has agreed to take over all duties andresponsibility imposed by the Co

37、de.1.1.3 Administration means the Government of the State whose flag theship is entitled to fly.1.1.4 Safety management system means a structured and documentedsystem enabling Company personnel to implement effectively theCompany safety and environmental protection policy.1.1.5 Document of Complianc

38、e means a document issued to a Companywhich complies with the requirements of this Code.1.1.6 Safety Management Certificate means a document issued to a shipwhich signifies that the Company and its shipboard management operatein accordance with the approved safety management system.1.1.7 Objective e

39、vidence means quantitative or qualitative information,records or statements of fact pertaining to safety or to the existence andimplementation of a safety management system element, which is basedon observation, measurement or test and which can be verified.1.1.8 Observation means a statement of fac

40、t made during a safetymanagement audit and substantiated by objective evidence.1.1.9 Non-conformity means an observed situation where objectiveevidence indicates the non-fulfilment of a specified requirement.1.1.10 Major non-conformity means an identifiable deviation that poses aserious threat to th

41、e safety of personnel or the ship or a serious risk to theenvironment that requires immediate corrective action and includes thelack of effective and systematic implementation of a requirement of thisCode.1.1.11 Anniversary date means the day and month of each year thatcorresponds to the date of exp

42、iry of the relevant document or certificate.1.1.12 Convention means the International Convention for the Safety ofLife at Sea, 1974, as amended.6ISM Code1.2 Objectives1.2.1 The objectives of the Code are to ensure safety at sea, prevention ofhuman injury or loss of life, and avoidance of damage to t

43、he 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 workingenvironment;.2 establish safeguards against all identified risks; and.3 continuously improve s

44、afety management skills of personnelashore and aboard ships, including preparing for emergenciesrelated 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 standar

45、ds recommendedby the Organization, Administrations, classification societiesand maritime industry organizations are taken into account.1.3 ApplicationThe requirements of this Code may be applied to all ships.1.4 Functional requirements fora safety management systemEvery Company should develop, imple

46、ment and maintain a safety manage-ment system which includes the following functional requirements:.1 a safety and environmental-protection policy;.2 instructions and procedures to ensure safe operation of shipsand protection of the environment in compliance with relevantinternational and flag State

47、 legislation;.3 defined levels of authority and lines of communicationbetween, and amongst, shore and shipboard personnel;.4 procedures for reporting accidents and non-conformities withthe provisions of this Code;.5 procedures to prepare for and respond to emergency situa-tions; and.6 procedures for

48、 internal audits and management reviews.7ISM Code2 SAFETY AND ENVIRONMENTAL-PROTECTIONPOLICY2.1 The Company should establish a safety and environmental-protec-tion policy which describes how the objectives given in paragraph 1.2 willbe achieved.2.2 The Company should ensure that the policy is implem

49、ented andmaintained 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 otherthan the owner, the owner must report the full name and details of suchentity to the Administration.3.2 The Company should define and document the responsibility,authority and interrelation of all personnel who manage, perform and verifywork relating to and affecting safety and pollution prevention.3.3 The Company is responsible for ensuring that adequate resourcesan