《国际安全管理规则》应用指南

《国际安全管理(ISM)规则》修正案1 在标题"1总则"之前增加新的标题"A部分-实施"1 总则1.1 定义2 在"1.1定义"和第"以下定义适用于本规则A部分和B部分"。

3 在第"1.1.4 安全管理体系系指能使用公司人员有效实施公司的安全与环境保护方针的结构化和文件化体系。

1.1.5 《符合证明》系指发给符合本规则要求的公司的文件。

1.1.6 《安全管理证书》系指发给船舶，证明其公司和船上管理已按照认可的安全管理体系运作的文件。

1.1.7 客观证据系指基于观察、衡量或测试并能被审核的关于安全或安全管理体系要素的存在和实施的数量或质量的信息、记录或事实陈述。

1.1.8 评述系指在安全管理评审期间作出的并由客观证据证实的事实陈述。

1.1.9 不符合系指所观察到的从客观证据表明不满足某一具体要求的情况。

重大不符合系指对人员或船舶安全构成严重威胁或对环境构成严重危险，需要立即采取纠正措施的可辨别的背离，并包括未能有效和系统地实施本规则的要求。

周年日期系指每年相应于有关文件或证书有效期届满之日的月份和日期。

公约系指经修正的《1974年国际海上人命安全公约》。

"7 船上操作方案的制订4 原第7章的文字由以下内容代替："对涉及船舶安全和防止污染的关键性的船上操作，公司应建立有关方案和须知的制订程序，适当时还包括核查清单。

对所涉及的各项任务应作出明确规定并分配给合格的人员。

"13 发证、审核和监督5 原第13章的标题和文字由以下内容代替："B部分-发证与审核13 发证和定期审核13.1 船舶应由持有根据第14.1段发给的与该船相关的《符合证明》或《临时符合证明》的公司营运。

13.2 《符合证明》应由主管机关、主管机关认可的机构或应主管机关的要求，由公约另一缔约国政府颁发给符合本规则要求的任何公司，其有效期由主管机关规定，不超过五年。

附录 1ISM规则理解指南1A部分实施1 总则1.1 定义以下定义适用于本规则的A和B两部分。

1.1.1 “国际安全管理规则”系指由国际海事组织大会通过的，并可由该组织予以修正的“国际船舶安全营运和防止污染管理规则”。

【理解】这是对《国际安全管理规则》的界定，特指由国际海事组织大会 A.741（18）号决议通过且由该组织修正的《国际船舶安全营运和防止污染管理规则》，亦称ISM规则。

1.1.2“公司”系指船舶所有人，或已承担船舶所有人的船舶营运责任并在承担此种责任时同意承担本规则规定的所有责任和义务的任何组织或法人，如管理人或光船承租人。

【理解】本规则中所称“公司”是实施ISM规则并申请“符合证明”（DOC）的“公司”，有以下三种情况：1、船舶所有人，拥有并管理所属船舶；2、船舶经营人，承担船舶经营和管理责任，其中包括ISM规则规定的公司的所有责任和义务；3、管理人，负责船舶的管理但不负责其经营。

所承担的船舶管理责任，包括ISM规则规定的公司的所有责任和义务。

就船舶管理人而言，这里所称“承担船舶营运责任”应理解为是与安全和防污染有关的责任，与经营有关的责任不属于本规则所调整的范畴。

一般情况下，船舶管理人是用签订管理协议的方式明确承担本规则所规定的所有船舶安全与防污染责任和义务的。

管理人应当采取必要措施以获取船舶经营过程中与安全有关的船舶信息。

1.1.3“主管机关”系指船旗国政府。

【理解】“主管机关系指船旗国政府”是笼统的说法，具体来说是指船旗国政府中负责船舶安全与防污染管理事务的职能机构或部门，在我国为中华人民共和国海事局。

1.1.4“安全管理体系”是指能使公司人员有效实施公司安全和环境保护方针的结构化和文件化的体系。

【理解】体系是若干相互联系和相互制约的组成部分构成的有机整体。

安全管理体系要以实施公司安全和环境保护方针为总体目的。

安全管理体系必须是文件化和结构化的。

“文件化（documented）”是指将体系以文件的形式表现出来，书面形式或电子文档形式都可以。

International Safety Management (ISM) Code（as revised by 2002 amendment）Preamble1 The purpose of this Code is to provide an international standard for the safe management and operation of ships and for pollution prevention.2 The Assembly adopted resolution A.443(XI), by which it invited all Governments to take the necessary steps to safeguard the shipmaster in the proper discharge of his responsibilities with regard to maritime safety and the protection of the marine environment.3 The Assembly also adopted resolution A.680(17), by which it further recognized the need for appropriate organization of management to enable it to respond to the need of those on board ships to achieve and maintain high standards of safety and environmental protection.4 Recognizing that no two shipping companies or shipowners are the same, and that ships operate under 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 widespread application. Clearly, different levels of management, whether shore-based or at sea, will require varying levels of knowledge and awareness of the items outlined.6 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 end result.PART A - IMPLEMENTATION1 GENERAL1.1 DefinitionsThe following definitions apply to parts A and B of this Code.1.1.1 "International Safety Management (ISM) Code" means the International Management Code for the Safe Operation of Ships and for Pollution Prevention as adopted by the Assembly, as may be amended by the Organization.1.1.2 "Company" means the owner of the ship or any other organization or person such as the manager, or the bareboat charterer, who has assumed theresponsibility for operation of the ship from the shipowner and who, on assuming such responsibility, has agreed to take over all duties and responsibility imposed by the Code.1.1.3 "Administration" means the Government of the State whose flag the ship is entitled to fly.1.1.4 "Safety management system" means a structured and documented system enabling Company personnel to implement effectively the Company safety and environmental protection policy.1.1.5 "Document of Compliance" means a document issued to a Company which complies with the requirements of this Code.1.1.6 "Safety Management Certificate" means a document issued to a ship which signifies that the Company and its shipboard management operate in accordance with the approved safety management system.1.1.7 "Objective evidence" means quantitative or qualitative information, records or statements of fact pertaining to safety or to the existence and implementation of a safety management system element, which is based on observation, measurement or test and which can be verified.1.1.8 "Observation" means a statement of fact made during a safety management audit and substantiated by objective evidence.1.1.9 "Non-conformity" means an observed situation where objective evidence indicates the non-fulfilment of a specified requirement.1.1.10 "Major non-conformity" means an identifiable deviation that poses a serious threat to the safety of personnel or the ship or a serious risk to the environment that requires immediate corrective action and includes the lack of effective and systematic implementation of a requirement of this Code.1.1.11 "Anniversary date" means the day and month of each year that corresponds to the date of expiry of the relevant document or certificate.1.1.12 "Convention" means the International Convention for the Safety of Life at Sea, 1974, as amended.1.2 Objectives1.2.1 The objectives of the Code are to ensure safety at sea, prevention of human injury or loss of life, and avoidance of damage to the 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 working environment; .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.1.2.3 The safety management system should ensure:.1 compliance with mandatory rules and regulations; and.2 that applicable codes, guidelines and standards recommended by the Organization, Administrations, classification societies and maritime industry organizations are taken into account.1.3 ApplicationThe requirements of this Code may be applied to all ships.1.4 Functional requirements for a safety management systemEvery Company should develop, implement and maintain a safety management system which includes the following functional requirements:.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, shore 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.2 SAFETY AND ENVIRONMENTAL-PROTECTION POLICY2.1 The Company should establish a safety and environmental-protection policy which describes how the objectives given in paragraph 1.2 will be achieved.2.2 The Company should ensure that the policy is implemented and maintained 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 other than the owner, the owner must report the full name and details of such entity to the Administration.3.2 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.3.3 The 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.4 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 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.5 MASTER'S RESPONSIBILITY AND AUTHORITY5.1 The Company should clearly define and document the master's responsibility with regard to:.1 implementing the safety and environmental-protection policy of the Company; .2 motivating the crew in the observation 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.5.2 The Company should ensure that the safety management system operating on board the ship contains a clear statement emphasizing the master's authority. The Company should establish in the safety management system that the master has the overriding authority and the responsibility to make decisions with respect to safety and pollution prevention and to request the Company's assistance as may be necessary.6 RESOURCES AND PERSONNEL6.1 The Company should ensure that the master is:.1 properly qualified for command;.2 fully conversant with the Company's safety management system; and.3 given the necessary support so that the master's duties can be safely performed.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.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. Instructionswhich are essential to be provided prior to sailing should be identified, documented and given.6.4 The Company should ensure that all personnel involved in the Company's safety management system have an adequate understanding of relevant rules, regulations, codes and guidelines.6.5 The Company should establish and maintain procedures for identifying any training which may be required in support of the safety management system and ensure that such training is provided for all personnel concerned.6.6 The Company should establish procedures by which the ship's personnel receive relevant information on the safety management system in a working language or languages understood by them.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.7 DEVELOPMENT OF PLANS FOR SHIPBOARD OPERATIONSThe Company should establish procedures 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.8 EMERGENCY PREPAREDNESS8.1 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.8.3 The safety management system should provide for measures ensuring that the Company's organization can respond at any time to hazards, accidents and emergency situations involving its ships.9 REPORTS AND ANALYSIS OF NON-CONFORMITIES, ACCIDENTS AND HAZARDOUS OCCURRENCES9.1 The safety management system should include procedures ensuring that non-conformities, accidents and hazardous situations are reported to the Company, investigated and analysed with the objective of improving safety and pollution prevention.9.2 The Company should establish procedures for the implementation of corrective action.10 MAINTENANCE OF THE SHIP AND EQUIPMENT10.1 The Company should establish procedures to ensure that the ship is maintained in conformity with the provisions of the relevant rules and regulations and with any additional requirements which may be established by the Company.10.2 In meeting these requirements the Company should ensure that:.1 inspections are held at appropriate intervals;.2 any non-conformity is reported, with its possible cause, if known;.3 appropriate corrective action is taken; and.4 records of these activities are maintained.10.3 The Company should establish procedures in its safety management system to identify equipment and technical systems the sudden operational failure of which may result in hazardous situations. The safety management system 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.10.4 The inspections mentioned in 10.2 as well as the measures referred to in 10.3 should be integrated into the ship's operational maintenance routine.11 DOCUMENTATION11.1 The Company should establish and maintain procedures to control all documents and data which are relevant to the safety management system.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 safety management system 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.12 COMPANY VERIFICATION, REVIEW AND EV ALUATION12.1 The Company should carry out internal safety audits to verify whether safety and pollution-prevention activities comply with the safety management system.12.2 The Company should periodically evaluate the efficiency of and, when needed, review the safety management system in accordance with proceduresestablished by the Company.12.3 The audits and possible corrective actions should be carried out in accordance with documented procedures.12.4 Personnel carrying out audits should be independent of the areas being audited unless this is impracticable due to the size and the nature of the Company.12.5 The results of the audits and reviews should be brought to the attention of all personnel having responsibility in the area involved.12.6 The management personnel responsible for the area involved should take timely corrective action on deficiencies found.PART B - CERTIFICATION AND VERIFICATION13 CERTIFICATION AND PERIODICAL VERIFICATION13.1 The ship should be operated by a Company which has been issued with a Document of Compliance or with an Interim Document of Compliance in accordance with paragraph 14.1, relevant to that ship.13.2 The Document of Compliance should be issued by the Administration, by an organization recognized by the Administration or, at the request of the Administration, by another Contracting Government to the Convention to any Company complying with the requirements of this Code for a period specified by the Administration which should not exceed five years. Such a document should be accepted as evidence that the Company is capable of complying with the requirements of this Code.13.3 The Document of Compliance is only valid for the ship types explicitly indicated in the document. Such indication should be based on the types of ships on which the initial verification was based. Other ship types should only be added after verification of the Company's capability to comply with the requirements of this Code applicable to such ship types. In this context, ship types are those referred to in regulation IX/1 of the Convention.13.4 The validity of a Document of Compliance should be subject to annual verification by the Administration or by an organization recognized by the Administration or, at the request of the Administration, by another Contracting Government within three months before or after the anniversary date.13.5 The Document of Compliance should be withdrawn by the Administration or, at its request, by the Contracting Government which issued the Document when the annual verification required in paragraph 13.4 is not requested or if there is evidence of major non-conformities with this Code.13.5.1 All associated Safety Management Certificates and/or Interim Safety Management Certificates should also be withdrawn if the Document of Compliance is withdrawn.13.6 A copy of the Document of Compliance should be placed on board in order that the master of the ship, if so requested, may produce it for verification by theAdministration or by an organization recognized by the Administration or for the purposes 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.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. The Safety Management Certificate should be issued after verifying that the Company and its shipboard management operate in accordance with the approved safety management system. Such a Certificate should be accepted as evidence that the ship is complying with the requirements of this Code.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 dates of the Safety Management Certificate.13.9 In addition to the requirements of paragraph 13.5.1, the Safety Management Certificate should be withdrawn by the Administration or, at the request of the Administration, by the Contracting Government which has issued it when the intermediate verification required in paragraph 13.8 is not requested or if there is evidence of major non-conformity with this Code.13.10 ‚Notwithstanding the requirements of paragraphs 13.2 and 13.7, 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."14 INTERIM CERTIFICATION14.1 An Interim Document of Compliance may be issued to facilitate initial implementation of this Code when:.1 a Company is newly established; or.2 new ship types are to be added to an existing Document of Compliance,following verification that the Company has a safety management system that meets the objectives of paragraph 1.2.3 of this Code, provided the Company demonstrates plans to implement a safety management system meeting the full requirements of this Code within the period of validity of the Interim Document of Compliance. Such an Interim Document of Compliance should be issued for a period not exceeding 12 months by the Administration or by an organization recognized by the Administration or, at the request of the Administration, by another Contracting Government. A copy of the Interim Document of Compliance should be placed on board in order that the master of the ship, if so requested, may produce it for verification by the Administration or by an organization recognized by the Administration or for the purposes 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.14.2 An Interim Safety Management Certificate may be issued:.1 to new ships on delivery;.2 when a Company takes on responsibility for the operation of a ship which is new to the Company; or.3 when a ship changes flag.Such an Interim Safety Management Certificate should be issued for a period not exceeding 6 months by the Administration or an organization recognized by the Administration or, at the request of the Administration, by another Contracting Government.14.3 An Administration or, at the request of the Administration, another Contracting Government may, in special cases, extend the validity of an Interim Safety Management Certificate for a further period which should not exceed 6 months from the date of expiry.14.4 An Interim Safety Management Certificate may be issued following verification that:.1 the Document of Compliance, or the Interim Document of Compliance, is relevant to the ship concerned;.2 the safety management system provided by the Company for the ship concerned includes key elements of this Code and has been assessed during the audit for issuance of the Document of Compliance or demonstrated for issuance of the Interim Document of Compliance;.3 the Company has planned the audit of the ship within three months;.4 the master and officers are familiar with the safety management system and the planned arrangements for its implementation;.5 instructions, which have been identified as being essential, are provided prior to sailing; and.6 relevant information on the safety management system has been given in a working language or languages understood by the ship's personnel.15 VERIFICATION15.1 All verifications required by the provisions of this Code should be carried out in accordance with procedures acceptable to the Administration, taking into account the guidelines developed by the Organization.16 FORMS OF CERTIFICATES16.1 The Document of Compliance, the Safety Management Certificate, the Interim Document of Compliance and the Interim Safety Management Certificate should be drawn up in a form corresponding to the models given in the appendix to this Code. If the language used is neither English nor French, the text should include a translation into one of these languages.16.2 In addition to the requirements of paragraph 13.3, the ship types indicated on the Document of Compliance and the Interim Document of Compliance may be endorsed to reflect any limitations in the operations of the ships described in the safety management system.。

SMS审核指南编写说明随着《国际安全管理规则》（简称ISM规则）、《国内安全管理规则》（简称NSM规则）实施工作全面展开和逐步深入，建立、运行和保持符合要求的安全管理体系（SMS）的效果日益彰显，航运公司执行SMS要求的主动性、自觉性都有了较大幅度的提高。

作为开展这项工作的主管机关，中国海事局一方面进一步加大推进力度，扩大实施范围，使越来越多的航运公司从中受益；另一方面，也充分注意到提高审核质量在整个实施工作中的重要性，在先后出台《ISM规则理解指南》、《SMS问答》，着力统一大家对规则本身的理解后，针对审核员运用规则进行审核方面存在的问题，提出了编写“SMS审核指南”的工作要求。

根据中国海事局工作安排，辽宁海事局承担了“SMS审核指南”的编写工作。

2003年4月，辽宁海事局成立了由副局长杨春任组长，李新、马一意、尚远洋、董贺轩、谭学成为成员的编写小组，同时制定了编写工作计划。

在编写过程中，编写小组不断广泛征求各方面的意见，浙江、天津、上海、广东、深圳、广西、海南、江苏、长江、河北、福建、山东等各片区海事局都提供了许多宝贵、有益的编写建议。

在此基础上，编写小组经过反复修改，于2004年6月初形成了“SMS审核指南（初稿）”，6月底在北京召开了由中国海事局组织有关领导和专家参加的“SMS审核指南（初稿）”定稿会。

会后综合有关方面的修改意见，编写小组对初稿进行大幅度修改，形成了“SMS审核指南（修改稿）”，并于2004年8月在北京召开“SMS审核指南（修改稿）”审定会。

结合与会领导、专家的指导和部分片区海事局研讨反馈意见，编写小组全面修改后，于9月在全国范围内再次征求意见（编写过程待续）。

本“SMS审核指南”旨在为航运公司SMS审核员提供审核工作方面的技术指导，给出了建议性的审核内容、审核重点、以及常见问题等相关提示，审核员在实际工作中参照应用，但不作为审核的标准。

本指南分为SMS文件审核、岸基SMS活动、船舶SMS活动三部分。

修改记录Amendment Record安全管理手册目录Index of System Safe Management manual安全管理手册实施声明Statement On Implement SMS (2)前言Preface (4)公司概况Company Brief (4)定义Definitions (4)一总则General (7)二安全和环境保护方针Safety and Environmental Protection Policy (9)三公司的责任和权力Company Responsibility and Authority (11)附件Annex:公司安全管理组织结构图Structure of Safety Management Organization (12)四指定人员Designated Person Ashore (13)关于安全经理授权声明Statement of Authority for Safe Controller (15)五船长的责任和权力Master’s Responsibility and Authority (16)关于船长权力的声明Statement of the Master’ Authority (18)六资源和人员Resources and Personnel (19)七船上操作方案Shipboard Operations (22)八应急准备Emergency Preparedness (24)九对不符合规定的情况、事故和险情的报告和分析Reports and Analysis of Non-Conformities, Accidents and Hazardous Occurrences (26)十船舶和设备的维护Maintenance of Ship & Equipment (28)十一文件管理Documentation Control (31)附件:公司的安全管理体系文件结构Diagram of ISM Document Structure (33)十二公司的审核、复查和评价Company Audit, Review and Evaluation (35)十三发证、审核和监督Certification, Audit and Control (36)十四核发临时证书Issuance of Temporary Certificate (36)十五审核Audit (38)十六证书格式Form of Certificates (38)安全管理手册实施声明Statement On Implement SMS本公司的安全管理体系(SMS)是依据《国际安全管理规则》(ISM CODE)的要求，参照国际海事组织、主管机关、船级社和海运行业组织所建议的适用规则、标准和指南，并结合本公司的实际情况而建立的。

国际安全管理规则应用指南引言随着全球化的发展和国际交往的增强，国际安全管理规则愈发重要。

国际安全管理规则旨在确保国际社会的和平与安全，并促进各国之间的合作与交流。

本文档旨在为各组织和个人提供一份国际安全管理规则的应用指南，帮助其更好地理解和遵守这些规则，从而保障其自身的安全与稳定。

1. 国际安全管理规则的定义国际安全管理规则是指为维护国际社会的和平与安全而制定的一系列准则和标准。

这些规则涵盖了各个领域，如军事安全、网络安全、环境安全等，旨在规范国家行为、组织行为以及个人行为，以减少冲突、威胁和灾难的发生。

2. 国际安全管理规则的重要性国际安全管理规则的重要性在于它对于维护国际和平与安全起到了至关重要的作用。

它通过规范和约束各方的行为，防止冲突的发生，并保障各方的合法权益。

同时，国际安全管理规则还能提供一种共同的标准和框架，以促进各国之间的合作与交流，并应对全球性的安全挑战。

3. 国际安全管理规则的主要内容国际安全管理规则包含了丰富多样的内容。

以下是其中的几个主要方面：3.1 军事安全规则军事安全规则是国际安全管理规则中的重要组成部分。

它涵盖了国家间的军事行为，如军事部署、军事演习等。

军事安全规则的目的是维护各国之间的军事平衡，并减少潜在的军事冲突的发生。

3.2 网络安全规则随着互联网的快速发展，网络安全成为了国际安全管理的重要领域。

网络安全规则旨在保护国际社会的网络基础设施，预防网络攻击、信息泄露等安全问题的发生，并推动各国加强网络安全合作。

3.3 环境安全规则环境安全规则关注的是全球环境的保护与可持续发展。

它旨在促进各国共同应对气候变化、自然灾害等环境安全挑战，推动可持续发展和环境保护的全球合作。

4. 国际安全管理规则的应用以下是国际安全管理规则的应用过程：4.1 了解规则首先，组织和个人需要全面了解国际安全管理规则的内容和要求。

可以通过研究相关国际公约、协议和官方文件来获取这些信息，并与国际安全专家进行交流。

国际安全管理国际管理规则目录A.部分-实施l 通则1.1 定义1.2 目标1.3 适用范围1.4 安全管理体系(安全管理体系)的基本要求2 安全与环境保护方针3 公司的责任与权限4 指定人员5 船长的责任与权限6 资源与人员7 船上操作计划的制订8 应急部署9 不合格、事故与险情的报告及分析l0 船舶与设备的维护11 文件管理12 公司验证、评审与评估B.部分-发证与验证13 发证与定期验证14 临时审核15 验证16 证书格式前言1 本规则旨在提供一个船舶安全营运及防污染管理的国际标准。

2 大会通过的A.443(XI)决议，请所有政府采取必要步骤保障船长在海上安全及保护海洋环境问题上正当履行其职责。

3 大会还通过A.680(17)决议，进一步认识到需要有适当的管理组织，以满足船上为达到和保持安全和环境保护高标准的需要。

4认识到没有两家航运公司或船东是相同的，而且船舶在处于差异很大的情况下营运，本规则系依据总的原则和目标制订。

5 本规则用概括性术语写，具有广泛的适用性。

显然，不同层次的管理，无论是岸上还是海上，对所列事项将要求不同的知识和了解水平。

6 良好的安全管理基础是领导层的承诺。

安全及防污染方面的最终结果取决于各级人员的承诺、能力、态度和动力。

A.部分-实施1 通则1.1 定义1.1.1国际安全管理(国际管理规则)规则：系指国际海事组织大会通过的，并可由该组织予以修改的《国际船舶安全营运及防污染管理规则》。

1.1.2公司：系指船舶所有人或任何其他机构或个人，诸如管理者或光船租赁人，他们已从船舶所有人处承担船舶经营的责任，并同意承担本规则规定的所有义务和责任。

1.1.3主管机关：系指悬挂该国国旗的国家政府部门。

1.1.4 安全管理体系(安全管理体系)：系指能使公司人员有效实施公司的安全及环境保护方针所建立并文件化的体系。

1.1.5 符合证明（DOC）：系指颁发给符合国际管理规则要求的公司的证明文件。

NSM规则理解指南目录说明 (1)前言 (2)A部分实施 (2)1 总则 (2)2 安全和环境保护方针 (5)3 公司的责任和权利 (5)4 指定人员 (7)5 船长的责任和权力 (8)6 资源和人员 (9)7 船上操作方案的制定 (12)8 应急准备 (12)9 不符合规定情况、事故和险情的报告和分析 (13)10 船舶和设备的维护 (14)11 文件 (15)12 公司审核、复查和评价 (16)B部分审核发证 (18)13 发证和定期审核 (18)14 核发临时证书 (19)15 审核 (19)16 证书格式 (19)附录中华人民共和国船舶安全营运和防止污染管理规则 (21)说明为保证海上安全，人们一直做着不懈的努力。

从《1974年国际海上人命安全公约》产生以来，国际上制定了一系列公约、规范、规则，在船舶技术和船员资格等方面作出了具体的要求，对船舶安全起到了巨大的促进作用。

分析以往船舶发生的事故表明，由于人为失误或疏忽造成的事故占总事故的80%以上，而其中的50%左右又与公司岸上的管理有关。

深刻的教训使人们认识到，为了保证船舶安全，仅仅从技术上规范要求是不够的，必须对人的行为建立有利的制约机制，合理计划、组织船舶运输过程中的各种活动，并对活动过程进行控制，从根本上改善安全工作。

1933年IMO制定的《国际安全管理规则》为实施船舶安全管理提供了一个国际标准。

第一次把船舶安全管理工作从船上扩展到航运企业的岸上组织机构，为搞好船舶安全工作提供了指导。

它标志着船舶安全管理走向规范化、系统化和程序化的高度。

国际航运公司通过实施《ISM规则》已取得了显著成效，公司的安全管理水平明显提高，船舶的事故率和在港口国检查中的滞留率明显下降。

据统计表明：我国国际航运公司在实施《ISM 规则》后的平均单船事故率、平均单船死亡人数仅是实施前的1/4和1/6。

为以，中国航运界经过多年的探索后等效采用了《国际安全管理规则》，产生了《国内安全管理规则》。

第一节国际安全管理规则（ISM）0146. Why is a warning sign displayed at the gangway or access point of a barge during cargo transfer ____D____．[1726]驳船在转驳货物时，为什么要在其舷梯口或进出口处显示一个警示牌。

A．To keep visitors away from the barge 不让参观者接近驳船B．To prohibit smoking 禁止吸烟C．To prohibit open lights 禁止明火D．All of the above 以上全是0210. ___D___ is not among the Safety management objectives of the Company．（）不在公司的安全管理目标之中。

A．to provide for safe practices in ship operation and a safe working environment 为了提供安全操作方法和安全工作环境B．to establish safeguards against all identified risks 为所有已识别的危险建立防范措施C．to continuously improve safety management skills of personnel ashore and aboard ships，including preparing for emergencies related both to safety and environmental protection不断提高岸上人员和船员安全管理技能，包括有关安全及环保方面的应急部署D．to avoid damage to the environment，in particular，to the marine environment，and to property防止对环境（特别是海洋环境）及财产造成损害0211. __B____ is not required to be included in SMS of a Company．（）不必被包含在公司的安全管理体系之中A．Procedures for reporting accidents and non-conformities with the provisions of this Code当（发生）事故和与本规则不符的情况时的报告程序B．Application of the codes，guidelines and standards recommended by the Organization，Administrations，classification societies and maritime industry organizations由本组织（IMO）、安全管理部门、船级社和航运业组织推荐的对本规则的应用、指导和标准。

中华人民共和国海事局关于做好《国际船舶安全营运和防止污染管理规则》2013年修正案实施相关工作的通知文章属性•【制定机关】中华人民共和国海事局•【公布日期】2014.07.28•【文号】海安全[2014]479号•【施行日期】2015.01.01•【效力等级】部门规范性文件•【时效性】现行有效•【主题分类】水运正文中华人民共和国海事局关于做好《国际船舶安全营运和防止污染管理规则》2013年修正案实施相关工作的通知(海安全〔2014〕479号)各直属海事局，中国船级社，各有关航运公司，交通安全质量管理体系审核中心：《国际船舶安全营运和防止污染管理规则》（ISM规则）修正案（见附件）已于2013年6月21日在第92届海安会上以第353号决议通过，并将于2015年1月1日起强制实施。

为做好ISM规则修正案实施的相关工作，现将有关事项通知如下：一、各相关国际航运公司应抓紧时间组织研究ISM规则修改的内容，按照修改后的ISM规则尽快完善公司安全管理体系。

二、各审核发证机构、审核员应加强对ISM规则修正案的学习研讨，充分理解掌握ISM规则修正案的精神，自2015年1月1日起按照修改后的ISM规则对公司进行审核发证。

请各直属海事局将本通知精神尽快传达至辖区相关国际航运公司。

附件：ISM规则修正案中华人民共和国海事局2014年7月28日附件ISM规则修正案(MSC.353(92)号决议 2013年6月21日通过）A部分--实施6 资源和人员1 现有第6.2段由下列文字替代：6.2 公司应确保每艘船舶：.1 根据国内和国际规定，配备合格、持证并健康的船员；.2 配备满足船上各种安全操作要求的合适的人员*(注* 参见本组织以第A.1047(27)号决议通过的《最低安全配员原则》)。

12 公司审核、复查和评价2 在现有12.1段之后插入以下新的12.2段，并将现有12.2到12.6段重新编号为12.3到12.7“12.2公司应定期核查所有受托承担涉及ISM事务的相关方开展的工作是否与本规则规定的公司责任相符。

《国际安全管理规则》应用指南国际航运公会〔ICS〕和国际海运联盟〔ISF〕是由40个国家的船东所自愿结成的组织，代表了一半以上的世界商船吨位。

ICS始建于1921年，是航运业的一个商贸协会，其利益涉及海运事务铁饼是海上安全、船舶设计和建筑、防止污染、以及海运法律等各个方面。

ISF始建于1909年，是航运业的一个顾主联盟，在国际上代表其成员有关劳工事务，人力及培训方面的利益。

ICS和ISF在此感谢英国〝Global maritime〞的海事专家joseph m hughes在制定本指南的SMS内审部分的关心；并感谢国际船级社协会〔ices〕对本指南提供有益的说明。

以下几家参与了本指南制定过程中的咨询，并原那么支持半指南的应用。

菠萝的海及国际海事理事会〔bacon〕国际干货船东协会〔intercrop〕国际独立油轮船东协会〔intertanko〕石油公司国际海运论坛〔ocimf〕国际气体运输船和码头经营人协会〔sigtto〕本指南的编写使用了目前所获得的最好资料，本指南仅作为一种指导，其应用责任由用户自负。

ICS,ISF,及任何为指南提供资料、数据，进行编辑、出版、授权翻译和供销的个人，公司，企业或组织对本采纳指南内容而直截了当或间接导致的后果，均不负任何责任。

名目ICS/ISF«国际安全治理规那么»应用指南...................................................... 错误!未定义书签。

序言 (4)第Ⅰ部分引言 (4)背景 (4)安全治理体系〔SMS〕 (5)建立安全治理体系的优越性 (5)目的 (6)使用术语定义 (6)第Ⅱ部分建立和实施安全治理体系的一样性建议 (7)高层领导的承诺 (7)充足的资源配置 (7)船上和岸上人员的参与 (8)实际的时刻表 (8)实施以后 (8)第Ⅲ部分«国际安全治理规那么»和相应的指南 (8)前言 (9)1．总那么 (9)第Ⅳ部分SMS内审指南 (22)SMS外部发证及评估过程 (23)SMS内部审查及评估过程 (23)SMS内部审核 (23)附录A (30)安全治理体系内审打算样本 (30)附录B (33)安全治理体系内审预备表格样本 (33)附录C (34)SMS内审方案样本 (34)附录Ｄ (35)SMS内审方案样本 (35)SMS内审报告的说明 (36)附那么3 (38)安全治理体系的筹建 (38)初始问题 (38)制定打算 (38)附那么4 (40)熟悉方法 (40)附那么5 (41)要紧的国际海运公约和建议案 (41)关于船舶的 (41)关于船东的 (41)关于船员和船舶的 (41)关于海员的 (41)序言第Ⅰ部分引言背景安全治理体系建立安全治理体系的优越性目的使用的术语第二部分建立安全治理体系的一样建议高级领导层的承诺充足的资源配置船上和岸上人员的参与实际的时刻表实施之后第三部分«国际安全治理规那么»和相应的指南前言1．总那么定义目标适用防卫安全治理体系的功能要求2．安全和环保方针3．公司的责任和权益4．指定人员5．船长的责任和权益6．资源和人员7．船上操作打算的制定8．应急预备9．对不符合规定的情形、事故和险情的报告和分析10．船舶和设备的爱护11．文件12．公司审核、复查和评判13．发证、审核几监督第四部分安全治理体系内审指南前言SMS外部发证几平谷过程SMS内部审查及评估过程SMS内部审核准那么目标范畴责任内审员的适任内审员的选择审核打算审核预备及审核方案的制定SMS内审的报告不符合规定的情形〔NOR〕和纠正措施要求〔cars〕SMS内审报告的所有权实施审核预备审核不是安全检查方法观看面谈附录a：安全治理体系内审打算表样本附录b：安全治理体系内审预备表格样本附录c：安全治理体系内审方案样本附录d：安全治理体系内审报告样本附件附那么1：1974年国际海上人命安全公约〔1994修正案〕——第四章船舶安全应允治理〔内容略〕附那么2：主管机关实施ism规那么指南[A．788〔19〕号决议]〔内容略〕附那么3：SMS的建立附那么4：熟悉方法附那么5：要紧国际海运公约和建议案附录6：操作文件的建议项目附那么7：有助于预备船上操作和应急打算的出版物附那么8：可能的安全治理体系文件结构序言本指南的第一版发表在1993年，刚好IMO大会以A．741〔18〕号决议〔1993年11月4日，第18次会议〕通过国际船舶安全营运和防止污染治理规那么〔ism规那么〕之前。