1、Guide for Marine Health, Safety, Quality and Environmental Management GUIDE FOR MARINE HEALTH, SAFETY, QUALITY, ENVIRONMENTAL AND ENERGY MANAGEMENT (The ABS Guide for Marine Management Systems) OCTOBER 2016 American Bureau of Shipping Incorporated by the Legislature of the State of New York 1862 201
2、6 American Bureau of Shipping. All rights reserved. ABS Plaza 16855 Northchase Drive Houston, TX 77060 USA Foreword Foreword (1 October 2016) The significant impact of management practices on the safe operation of ships has been recognized for some time. The General Assembly of the International Mar
3、itime Organization requested the Maritime Safety Committee, by resolution A.596(15), to develop, as a matter of urgency, guidelines concerning shipboard and shore-based management, and to include in the work program of both the Maritime Safety Committee and the Marine Environment Protection Committe
4、e an item on shipboard and shore-based management for the International Safety Management Code (ISM Code). The ISM Code was developed by the International Maritime Organization to provide the maritime community with an internationally recognized standard for the safe management and operation of ship
5、s and for pollution prevention. Initially adopted as resolution A. 741(18), it later was incorporated into Chapter IX of the SOLAS convention and became mandatory for oil tankers, chemical tankers, bulk carriers and cargo high-speed craft of 500 gross tonnage and upwards, and for passenger ships inc
6、luding passenger high-speed craft from 1 July 1998. Other cargo ships and self-propelled mobile offshore drilling units (MODUs) of 500 gross tonnage and upwards, subject to SOLAS, were required to comply by 1 July 2002. Other management system standards have been developed, notably ISO 9001, ISO 140
7、01, ISO 50001 and OHSAS 18001, non-specific to the maritime industry, which address management practices from the perspective of controlling quality, environmental impacts, energy performance and occupational health hazards. These standards, though not specific to the marine industry, provide useful
8、 guidance that can be employed in marine management and the operation of ships to further enhance management systems focused on the safe operating practices and prevention of pollution. The general management system principles embodied by the ISM Code, ISO 9001, ISO 14001, ISO 50001 and OHSAS 18001
9、have been incorporated in this Guide. These principles, where appropriate, have been “marinized” in order to bring them within the concept of the industry itself. This revision of the Guide incorporates changes to the requirements identified in ISO 9001-2015 standard, ISO 14001-2015 standard and ISM
10、 Code 2014 edition. Proper implementation of these requirements should assist the Company to take a risk based approach and establish controls as appropriate. ABS offers this Guide to the maritime industry as a tool for enhancing marine management practices and further supporting responsible managem
11、ent in the operation of ships, the prevention of pollution, and improved energy performance. This Guide becomes effective on the first day of the month of publication. Users are advised to check periodically on the ABS website www.eagle.org to verify that this version of this Guide is the most curre
12、nt. We welcome your feedback. Comments or suggestions can be sent electronically by email to rsdeagle.org. ABSGUIDE FOR MARINE HEALTH, SAFETY, QUALITY, ENVIRONMENTAL AND ENERGY MANAGEMENT .2016 iii Table of Contents GUIDE FOR MARINE HEALTH, SAFETY, QUALITY, ENVIRONMENTAL AND ENERGY MANAGEMENT CONTEN
13、TS SECTION 1 General 1 1.1 Scope and Application 1 1.2 Certification . 3 1.2.1 General . 3 1.2.2 Certification Process . 4 1.2.3 Representations . 5 1.2.4 Termination. 5 1.2.5 Audit Guidelines . 5 1.3 Definitions . 5 SECTION 2 Policy . 10 2.1 General Requirements . 10 2.2 Occupational Health, Safety
14、, Environmental and Energy Policy 10 2.3 Quality Policy 12 SECTION 3 Planning 13 3.1 Environmental Aspects . 13 3.2 Energy Planning . 13 3.3 Hazard Identification, Risk Assessment, Actions to Address Risk and Opportunities . 13 3.4 Compliance Obligations . 15 3.5 Energy Review . 16 3.6 Energy Baseli
15、ne . 16 3.7 Energy Performance Indicators 17 3.8 Health, Safety and Energy Objectives and Targets . 17 3.9 Quality and Environmental Objectives and Planning . 17 3.10 Customer Requirements 18 3.10.1 Customer Communication 18 3.10.2 Determining the Requirements Related to Management of Ships (other s
16、ervices) . 18 3.10.3 Review of the Requirements Related to Ship Management Services (other Services) . 19 3.10.4 Changes to the Service requirements 19 iv ABSGUIDE FOR MARINE HEALTH, SAFETY, QUALITY, ENVIRONMENTAL AND ENERGY MANAGEMENT .2016 3.11 Management Programs . 19 3.11.1 General. 19 3.11.2 Le
17、adership and Commitment . 20 3.12 Management System Documentation 21 SECTION 4 Implementation and Operation . 23 4.1 Resources, Roles, Responsibility, Accountability, and Authority . 23 4.2 Infrastructure 23 4.3 Environment for Operation of Shore Based and Shipboard Services 24 4.4 Designated Person
18、(s)/Quality Management Representative/ Environmental Management Representative(s)/Energy Management Representative(s)/OH 2. Safety and quality requirements or “SQ”; 3. Safety and environmental requirements or “SE”; 4. Safety and energy requirements or “SEn; 5. Safety and health requirements or “HS”;
19、 6. Safety, quality and environmental requirements or “SQE”; 7. Safety, quality and energy requirements or “SQEn”; 8. Safety, environmental and energy requirements or “SEEn”; 9. Safety, health, and quality requirements or “HSQ”; 10. Safety, health, and environmental requirements or “HSE”; 11. Safety
20、, health and energy requirements or “HSEn”; 12. Safety, quality, environmental and energy requirements or “SQEEn”; 13. Safety, health, environmental and energy requirements or “HSEEn”; 14. Safety, health, quality, and energy requirements or “HSQEn”, 15. Safety, health, quality, and environmental req
21、uirements or “HSQE”, and 16. Safety, health, quality, environmental and energy requirements or “HSQEEn” Companies seeking certification to this Guide must, as a condition of certification, conform to the requirements of the ISM Code, ISO 9001:2015, ISO 14001:2015, ISO 50001:2011 and OHSAS 18001:2007
22、, as relevant to the selected scope of their management system. Additionally, certification to the health, quality, environmental, and energy criteria requires a Stage I (adequacy to proceed) and Stage II (certification) audit. ABSGUIDE FOR MARINE HEALTH, SAFETY, QUALITY, ENVIRONMENTAL AND ENERGY MA
23、NAGEMENT .2016 3 Section 1 General Ships certified to the requirements of this Guide shall, as a prerequisite, be classed by ABS or another classification society holding an IACS QSCS certificate. Certification to this Guide shall be administered in the same manner as ISM Code certification. Vessels
24、 shall normally be assessed in accordance with the usual audit frequency prescribed for ISM Code certification. This Guide is subject to review and revision. Updates may include, among other things, additional requirements, or clarification of existing requirements. Companies certified to the requir
25、ements of this Guide shall be required to comply with the changes within one year after their publication. A Company that is assessed by ABS and found to meet the requirements specified in this Guide may be issued a corresponding certificate. Vessels operating under the Companys management system th
26、at are assessed by ABS and found to meet the requirements specified in this Guide may be issued corresponding certificates, and where ABS classed, corresponding notations in the ABS Record. All certificates are subject to periodic and intermediate verifications conducted at each certified location.
27、All certifications are non-transferable. Assessments are based upon a sampling process. The absence of recorded nonconformities does not mean that none exist. Nothing contained herein or in any certificate, notation, or report issued in connection with a certificate and/or notation is intended to re
28、lieve any designer, builder, owner, manufacturer, seller, supplier, repairer, operator, insurer, or other entity of any duty to inspect or any other duty or warranty, express or implied, nor to create any interest, right, claim, or benefit in any insurer or other third party. 1.2.2 Certification Pro
29、cess Companies seeking certification to the requirements of this Guide shall fulfill the following responsibilities, some of which are more fully described in subsequent sections of the Guide: a. Document, implement, and maintain a marine management system in accordance with the pertinent requiremen
30、ts of this Guide. b. Inform ABS in writing of major changes to management system elements (e.g., managerial organizational structure, location, change in types of vessels operated, upgrade/downgrade of process capability, control, or flow) so that the changes may be evaluated by ABS and appropriate
31、action taken. c. Provide ABS copies of pertinent management system documentation for review. d. Allow ABS access to all certified locations and vessels during normal working hours in order to assess the marine management system to determine continuing compliance with the pertinent requirements of th
32、is Guide. e. Maintain a record of all complaints received regarding the quality of services, occupational health and safety, environmental pollution, and the resolution thereof. f. Notify ABS of port state detentions of vessel(s) certified. g. Inform ABS in writing when a Document of Compliance (DOC
33、), issued by a Flag Administration or a Recognized Organization (other than ABS), is withdrawn or invalidated by the issuing party affecting vessels certified to these requirements. 4 ABSGUIDE FOR MARINE HEALTH, SAFETY, QUALITY, ENVIRONMENTAL AND ENERGY MANAGEMENT .2016 Section 1 General 1.2.3 Repre
34、sentations Certification is a representation by ABS that at the time of assessment the Company and vessels, as pertinent, had established and implemented a management system in accordance with the requirements in this Guide for the specified certificates and notations. Certification is not a represe
35、ntation that the Company always acts in compliance with the management system or that the management system addresses all contingencies. Management performance remains the responsibility of the Company. 1.2.4 Termination The continuance of certification or any notation is conditional upon the Compan
36、ys and vessels continued compliance with the pertinent requirements of this Guide. ABS reserves the right to reconsider, withhold, suspend, or cancel the certification or notation for noncompliance with the requirements, refusing access for an assessment or verification, or nonpayment of fees which
37、are due on account of certification and other services. 1.2.5 Audit Guidelines For assessments involving “q”, “e”, “En” or “h” certification, pre-assessments (stage I audits) are mandatory and the range and scope of the pre-assessment is determined by the designated Standard which requires that a mi
38、nimum pre-assessment of the clients office. Pre-assessments are optional for “s” only assessments. The range and scope of optional pre-assessment is determined by the client. 1.3 Definitions The definitions listed below are taken, or adapted from the ISM Code, ISO 9001:2015, ISO 14001:2015, ISO 5000
39、1:2011, and OHSAS 18001:2007. Acceptable risk risk that has been reduced to a level that can be tolerated by the Company having regard to its legal obligations and its own OH a group of processes; a site; an entire organization; multiple sites under the control of an organization. (ISO50001:2011) Ce
40、rtification the decision by ABS that the Companys management system meets the applicable requirements of the ABS Guide. ABSGUIDE FOR MARINE HEALTH, SAFETY, QUALITY, ENVIRONMENTAL AND ENERGY MANAGEMENT .2016 5 Section 1 General Company the Owner of the ship or any other organization or person such as
41、 the manager, or the bareboat charterer, who has assumed the responsibility for operation of the ship from the owner of the ship and who on assuming such responsibility has agreed to take over all the duties and responsibilities imposed by the ISM Code. (ISM Code) Company = Organization ISO 9001:201
42、5, ISO 14001:2015, ISO 50001:2011, and OHSAS 18001:2007 Compliance obligations Legal requirements that a Company has to comply with, and other requirements that a Company has to or chooses to comply with. Compliance obligations can arise from mandatory requirements, such as applicable laws and regul
43、ations, or voluntary commitments, such as organizational and industry standards, contractual relationships, code of practice and agreements with community groups or non-governmental organizations.(ISO14001:2015) Continual improvement recurring activity of enhancing the management system in order to
44、achieve improvements in overall performance consistent with the Companys stated policies for health, safety, quality, environment, pollution prevention, and energy, as applicable. Convention means the International Convention for Safety of Life at Sea, 1974, as amended. Correction action to eliminat
45、e a detected non-conformity. Corrective Action action to eliminate the cause of a detected nonconformity or other undesirable situation. Customer Company or person that receives a product or service. A charterer is considered a Customer. Customer satisfaction perception of the degree to which the Cu
46、stomers needs and expectations have been fulfilled. DOC Document of Compliance certificate Document information and its supporting medium. Energy electricity, fuels, steam, heat, compressed air, and other like media. (ISO50001:2011) Energy baseline quantitative reference(s) providing a basis for com
47、parison of energy performance. (ISO50001:2011) Energy consumption quantity of energy applied. (ISO50001:2011) Energy efficiency ratio or other quantitative relationship between an output of performance, service, goods or energy, and an input of energy. (ISO50001:2011) Energy management system (EnMS)
48、 set of interrelated or interacting elements to establish an energy policy and energy objectives, processes and procedures to achieve those objectives. (ISO50001:2011) Energy management team person(s) responsible for effective implementation of the energy management system activities and for deliver
49、ing energy performance improvements. (ISO50001:2011) 6 ABSGUIDE FOR MARINE HEALTH, SAFETY, QUALITY, ENVIRONMENTAL AND ENERGY MANAGEMENT .2016 Section 1 General Energy Services activities and their results related to the provision and/or use of energy. (ISO50001:2011) Energy Target detailed and quantitative energy performance requirement, applicable to the organization or parts thereof, that arises from the energy objective and that needs to be set and met in order to achieve this objective. (ISO50001:2011) Energy Use manner or kind of app
