大連海事大學(xué)船舶安全管理教案第三章

第三章

人為因素控制和國(guó)際安全管理規(guī)則

HumanElementControl&ISMCodeHumanElementControl&

ISMCodeShipSafetyManagementandHumanElementSafetyBehaviorScienceandHumanElementISO9000andItsGeneralPrinciplesISMCodeandItsGeneralPrinciplesSMS(SafetyManagementSystem)MaritimeSecurity&ISPSCodeHumanElementControl&

ISMCode船上安全管理和人為因素安全行為科學(xué)與人為因素ISO9000及其基本原理ISM規(guī)則及其安全機(jī)制安全管理體系國(guó)際船舶和港口設(shè)施保安規(guī)則Section1:ShipSafetyManagementandHumanElementTheEssentialofShipSafetyManagement:

HumanElementStatisticstudyshowed:80percentmarineaccidentswerecausedbyhumanfactor

Grounding：90％： Fire&explosion：70％： Collision：96％： Contact:70%。第一節(jié)船上安全管理和人為因素船上安全管理要點(diǎn)：

HumanElement人為因素人為因素與船舶事故 據(jù)國(guó)際海事界1991年的權(quán)威統(tǒng)計(jì)，人為因素原因?qū)е碌拇笆鹿时壤秊椋簲R淺90%，火災(zāi)爆炸70%，碰撞96%，觸碰70%。第一節(jié)船上安全管理和人為因素人為因素的控制和人員安全素質(zhì)要求 控制人為因素，是保證安全的關(guān)鍵人員安全教育 安全教育是提高人員安全素質(zhì)和控制人為因素的有效途徑之一。 安全教育的內(nèi)容 安全教育的手段 現(xiàn)場(chǎng)四階段安全教育法和四階段安全作業(yè)法Section2:SafetyBehaviorScienceandHumanElementBehavioristK.Lewin’sSORModelTheCoreofSafetyBehaviorScience:MotivationGroup:FormalGroup&InformalGroupCommunication’EffectonSafetyTheInfluenceofLeadershiponSafety第二節(jié)安全行為科學(xué)與人為因素一、人的行為原理與人為失誤二、安全行為的激勵(lì) 激勵(lì)是安全行為科學(xué)的核心。

1.需要層次理論 2.X理論—Y理論 3.雙因素理論 4.強(qiáng)化理論 5.期望理論 6.公平理論第二節(jié)安全行為科學(xué)與人為因素三、群體行為對(duì)安全的影響 正式群體和非正式群體 非正式群體的積極作用，應(yīng)予適當(dāng)鼓勵(lì) 非正式群體的消極作用不容忽視，應(yīng)該因勢(shì)利導(dǎo)四、人際關(guān)系及溝通對(duì)安全的重要性五、領(lǐng)導(dǎo)行為對(duì)安全的影響

領(lǐng)導(dǎo)的主要功能是組織和激勵(lì)。Section3:

ISO9000andItsGeneralPrinciplesISO(InternationalOrganizationforStandardization)QualityManagementSystemISO9000’sGeneralPrinciples第三節(jié)

ISO9000及其基本原理ISO9000簡(jiǎn)介 ISO(國(guó)際標(biāo)準(zhǔn)化組織) ISO9000

質(zhì)量管理體系 ISO9000安全保障原理WhoISOisISO(InternationalOrganizationforStandardization)ISOisanetworkofthenationalstandardsinstitutesof148countries.ISOisanon-governmentalorganizationISO-qualitymanagementTheISO9000familyisprimarilyconcernedwith"qualitymanagement".ISO9000hasbecomeaninternationalreferenceforqualitymanagementrequirementsinbusiness-to-businessdealings

ISO-environmentalmanagementTheISO14000familyisprimarilyconcernedwith"environmentalmanagement".Thismeanswhattheorganizationdoesto: -minimizeharmfuleffectsontheenvironmentcausedbyitsactivities,andto

-achievecontinualimprovementofitsenvironmentalperformance.ISO-GeneralPrinciplesThevastmajorityofISOstandardsarehighlyspecifictoaparticularproduct,material,orprocess.However,thestandardsthathaveearnedtheISO9000andISO14000familiesaworldwidereputationareknownas"genericmanagementsystemstandards".ISO-GeneralPrinciples"Generic"meansthatthesamestandardscanbeapplied: -toanyorganization,largeorsmall,whateveritsproduct

-includingwhetherits"product"isactuallyaservice,

-inanysectorofactivity,and

-whetheritisabusinessenterprise,apublicadministration,oragovernmentdepartmentISO-GeneralPrinciplesPrinciple1CustomerfocusPrinciple2LeadershipPrinciple3InvolvementofpeoplePrinciple4ProcessapproachPrinciple5SystemapproachtomanagementPrinciple6ContinualimprovementPrinciple7FactualapproachtodecisionmakingPrinciple8MutuallybeneficialsupplierrelationshipsISO-9000一般原理系統(tǒng)工程全面質(zhì)量管理全員參與過程控制閉環(huán)控制雙贏關(guān)系外部審核體系文件化Section4:

ISMCodeandItsGeneralPrinciplesWhatisISM "InternationalSafetyManagement(ISM)Code"meanstheInternationalManagementCodefortheSafeOperationofShipsandforPollutionPrevention第四節(jié)ISM規(guī)則及其安全機(jī)制WhatisISM

國(guó)際安全管理規(guī)則全稱:國(guó)際船舶安全營(yíng)運(yùn)和防止污染管理規(guī)則ISMCode—BackgroundStatisticstudyshowed:80percentmarineaccidentswerecausedbyhumanfactorandtheEssentialofShipSafetyManagementisHumanElementControlTheIMOAssemblyadoptedresolutionA647(16),A.680(17)andA.741(18)successively.SOLAS,ChapterIX-ManagementfortheSafeOperationofShipswhichwasadoptedinMay1994andenteredintoforceon1July1998madetheISMCodemandatory.ISM規(guī)則的產(chǎn)生背景統(tǒng)計(jì)分析結(jié)果表明，船舶安全和污染事故的80%是人為因素造成，且重點(diǎn)在于公司和船員對(duì)船舶的管理和操作。IMO致力于尋找有效地控制公司和船員的人為因素的途徑。海上安全委員會(huì)（MSC）于1992年4月草擬,并顧及了修改中的ISO9000，于1993年11月4日由IMO第18屆大會(huì)通過A741（18）號(hào)決議，即ISM規(guī)則。1994年3月的SOLAS公約外交大會(huì)上通過SOLAS74第11章“船舶安全營(yíng)運(yùn)管理”，使ISM規(guī)則獲得了法律強(qiáng)制力。ISMCode—Objectives

ThepurposeoftheCodeistoprovideaninternationalstandardforthesafemanagementandoperationofshipsandforpollutionprevention.TheobjectivesoftheCodearetoensuresafetyatsea,preventionofhumaninjuryorlossoflife,andavoidanceofdamagetotheenvironment,inparticulartothemarineenvironmentandtoproperty.ISMCode—ObjectivesISM規(guī)則目的是為船舶營(yíng)運(yùn)安全和防污染管理提供一個(gè)國(guó)際標(biāo)準(zhǔn)。ISM規(guī)則的目標(biāo)是保證海上安全，防止人員傷亡，避免對(duì)環(huán)境，特別是海洋環(huán)境造成危害以及對(duì)財(cái)產(chǎn)造成損失。ISMCode—RequirementsSafetymanagementobjectivesoftheCompanyshould,interalia:.1provideforsafepracticesinshipoperationandasafeworkingenvironment;.2establishsafeguardsagainstallidentifiedrisks;and.3continuouslyimprovesafetymanagementskillsofpersonnelashoreandaboardships,includingpreparingforemergenciesrelatedbothtosafetyandenvironmentalprotection.ISMCode—Requirements公司的安全管理目標(biāo)尤其應(yīng)該是： 1.提供船舶營(yíng)運(yùn)的安全做法和安全工作環(huán)境； 2.針對(duì)已認(rèn)定的所有風(fēng)險(xiǎn)，制定防范措施； 3.不斷提高岸上及船上人員的安全管理技能，包括安全及環(huán)境保護(hù)方面的應(yīng)急準(zhǔn)備。ISMCode—RequirementsEveryCompanyshoulddevelop,implementandmaintainasafetymanagementsystem(SMS)whichshouldensure:.1compliancewithmandatoryrulesandregulations;and.2thatapplicablecodes,guidelinesandstandardsrecommendedbytheOrganization,Administrations,classificationsocietiesandmaritimeindustryorganizationsaretakenintoaccount.ISMCode—Requirements每個(gè)公司應(yīng)當(dāng)建立并維護(hù)一個(gè)安全管理體系并保證：符合強(qiáng)制性規(guī)定及規(guī)則； 并對(duì)國(guó)際海事組織、主管機(jī)關(guān)、船級(jí)社和海運(yùn)行業(yè)組織所建議的適用的規(guī)則、指南和標(biāo)準(zhǔn)予以考慮。FunctionalrequirementsforSMS.1asafetyandenvironmental-protectionpolicy;.2instructionsandprocedurestoensuresafeoperationofshipsandprotectionoftheenvironmentincompliancewithrelevantinternationalandflagStatelegislation;.3definedlevelsofauthorityandlinesofcommunicationbetween,andamongst,shoreandshipboardpersonnel;.4proceduresforreportingaccidentsandnon-conformitieswiththeprovisionsofthisCode;.5procedurestoprepareforandrespondtoemergencysituations;and.6proceduresforinternalauditsandmanagementreviews.安全管理體系要求：（1）安全和環(huán)境保護(hù)方針；（2）確保船舶的安全營(yíng)運(yùn)和環(huán)境保護(hù)符合有關(guān)的國(guó)際和船旗國(guó)立法的指令和程序；（3）船、岸人員的權(quán)限和相互間的聯(lián)系渠道；（4）事故和不符合規(guī)則規(guī)定情況的報(bào)告程序；（5）對(duì)緊急情況的準(zhǔn)備和反應(yīng)程序；（6）內(nèi)部評(píng)審和管理性復(fù)查程序。SAFETYANDENVIRONMENTAL-PROTECTIONPOLICYTheCompanyshouldestablishasafetyandenvironmental-protectionpolicywhichdescribeshowtheobjectivesgivenbythiscodewillbeachieved.TheCompanyshouldensurethatthepolicyisimplementedandmaintainedatalllevelsoftheorganization,bothship-basedandshore-based.安全和環(huán)境保護(hù)萬針公司應(yīng)當(dāng)制定安全和環(huán)境保護(hù)方針，說明如何實(shí)現(xiàn)公司的安全管理目標(biāo)。公司應(yīng)當(dāng)保證船岸各級(jí)機(jī)構(gòu)均能執(zhí)行和保持此方針。COMPANYRESPONSIBILITIESANDAUTHORITYIftheentitywhoisresponsiblefortheoperationoftheshipisotherthantheowner,theownermustreportthefullnameanddetailsofsuchentitytotheAdministration.TheCompanyshoulddefineanddocumenttheresponsibility,authorityandinterrelationofallpersonnelwhomanage,performandverifyworkrelatingtoandaffectingsafetyandpollutionprevention.TheCompanyisresponsibleforensuringthatadequateresourcesandshore-basedsupportareprovidedtoenablethedesignatedpersonorpersonstocarryouttheirfunctions.公司的責(zé)任和權(quán)力如果負(fù)責(zé)船舶營(yíng)運(yùn)的實(shí)體不是船舶所有人，船舶所有人應(yīng)向主管機(jī)關(guān)報(bào)告其名稱以及詳細(xì)信息。對(duì)管理、從事和審核涉及安全和防止污染工作的所有人員，公司應(yīng)當(dāng)明確并用文件形式規(guī)定其責(zé)任、權(quán)力及相互關(guān)系。公司應(yīng)當(dāng)負(fù)責(zé)保證向指定的人員提供足夠的資源和岸上的支持，以便使其能夠履行各自的職責(zé)。DESIGNATEDPERSON(S)ToensurethesafeoperationofeachshipandtoprovidealinkbetweentheCompanyandthoseonboard,everyCompany,asappropriate,shoulddesignateapersonorpersonsashorehavingdirectaccesstothehighestlevelofmanagement.Theresponsibilityandauthorityofthedesignatedpersonorpersonsshouldincludemonitoringthesafetyandpollution-preventionaspectsoftheoperationofeachshipandensuringthatadequateresourcesandshore-basedsupportareapplied,asrequired.指定人員為保證各船的安全營(yíng)運(yùn)和提供公司與船上之間的聯(lián)系渠道，公司應(yīng)當(dāng)根據(jù)情況指定一名或數(shù)名能直接同最高管理層聯(lián)系的岸上人員。被指定人員的責(zé)任和權(quán)力應(yīng)包括對(duì)各船的安全營(yíng)運(yùn)和防止污染方面進(jìn)行監(jiān)控，并確保按需要提供足夠的資源和岸上的支持。MASTER'SRESPONSIBILITYANDAUTHORITYTheCompanyshouldclearlydefineanddocumentthemaster'sresponsibilitywithregardto:.1implementingthesafetyandenvironmental-protectionpolicyoftheCompany;.2motivatingthecrewintheobservationofthatpolicy;.3issuingappropriateordersandinstructionsinaclearandsimplemanner;.4verifyingthatspecifiedrequirementsareobserved;and.5reviewingthesafetymanagementsystemandreportingitsdeficienciestotheshore-basedmanagement.MASTER'SRESPONSIBILITYANDAUTHORITYTheCompanyshouldensurethatthesafetymanagementsystemoperatingonboardtheshipcontainsaclearstatementemphasizingthemaster'sauthority.TheCompanyshouldestablishinthesafetymanagementsystemthatthemasterhastheoverridingauthorityandtheresponsibilitytomakedecisionswithrespecttosafetyandpollutionpreventionandtorequesttheCompany'sassistanceasmaybenecessary.船長(zhǎng)的責(zé)任和權(quán)力公司應(yīng)當(dāng)以文件形式明確規(guī)定船長(zhǎng)的下列責(zé)任：（1）執(zhí)行公司的安全和環(huán)境保護(hù)方針；（2）激勵(lì)船員遵守該方針；（3）以簡(jiǎn)明方式發(fā)布相應(yīng)的命令和指令；（4）審核具體要求的遵守情況；（5）復(fù)查安全管理體系并向岸上管理部門報(bào)告其不足之處。公司應(yīng)當(dāng)保證在船上實(shí)施的安全管理體系中包含一個(gè)強(qiáng)調(diào)船長(zhǎng)權(quán)力的明確聲明。公司應(yīng)當(dāng)在安全管理體系中確立船長(zhǎng)的絕對(duì)權(quán)力和責(zé)任，以便做出關(guān)于安全和防止污染事務(wù)的決定并在必要時(shí)要求公司給予協(xié)助。RESOURCESANDPERSONNELTheCompanyshouldensurethatthemasteris:.1properlyqualifiedforcommand;.2fullyconversantwiththeCompany'ssafetymanagementsystem;and.3giventhenecessarysupportsothatthemaster'sdutiescanbesafelyperformed.RESOURCESANDPERSONNEL-TheCompanyshouldensurethat:manning

inaccordancewithnationalandinternationalrequirementsfamiliarizationwiththeirdutiesadequateunderstandingofrelevantrules,regulations,codesandguidelines.trainingworkinglanguagecommunicateeffectively資源和人員公司應(yīng)當(dāng)保證船長(zhǎng):（1）具有適當(dāng)?shù)闹笓]資格；（2）完全熟悉公司的安全管理體系；（3)得到必要支持，以便可靠地履行其職責(zé)。資源和人員-公司應(yīng)當(dāng)保證配備合格、持證并健康的船員。新聘人員和新調(diào)至該崗位人員適當(dāng)熟悉其職責(zé)。與安全管理體系有關(guān)的所有人員對(duì)有關(guān)規(guī)定、規(guī)則和指南有充分的理解。支持安全管理體系可能需要的任何培訓(xùn)，并保證向所有相關(guān)人員提供這種培訓(xùn)。使船上人員藉此能夠獲得以一種工作語言或他們懂得的其他語言書寫的有關(guān)安全管理體系的信息：船上人員在履行其涉及安全管理體系的職責(zé)時(shí)能夠有效地交流。DEVELOPMENTOFPLANSFORSHIPBOARDOPERATIONS

TheCompanyshouldestablishproceduresforthepreparationofplansandinstructions,includingchecklistsasappropriate,forkeyshipboardoperationsconcerningthesafetyoftheshipandthepreventionofpollution.Thevarioustasksinvolvedshouldbedefinedandassignedtoqualifiedpersonnel.船上操作方案的制定對(duì)涉及船舶安全和防止污染的關(guān)鍵性的船上操作，公司應(yīng)當(dāng)建立制定有關(guān)方案和須知的程序。與之有關(guān)的各項(xiàng)工作，應(yīng)當(dāng)明確規(guī)定并分配給適任人員。EMERGENCYPREPAREDNESSTheCompanyshouldestablishprocedurestoidentify,describeandrespondtopotentialemergencyshipboardsituations.TheCompanyshouldestablishprogrammesfordrillsandexercisestoprepareforemergencyactions.ThesafetymanagementsystemshouldprovideformeasuresensuringthattheCompany'sorganizationcanrespondatanytimetohazards,accidentsandemergencysituationsinvolvingitsships.應(yīng)急準(zhǔn)備對(duì)船上可能出現(xiàn)的緊急情況，公司應(yīng)當(dāng)建立標(biāo)明、闡述和反應(yīng)的程序。公司應(yīng)當(dāng)制定應(yīng)急行動(dòng)的訓(xùn)練和演習(xí)計(jì)劃。安全管理體系應(yīng)提供措施，確保公司有關(guān)機(jī)構(gòu)能在任何時(shí)候?qū)ι婕捌浯暗奈ｋU(xiǎn)、事故和緊急情況做出反應(yīng)。

Reports&AnalysisofNon-conformities,Accidents&HazardousOccurrences

Thesafetymanagementsystemshouldincludeproceduresensuringthatnon-conformities,accidentsandhazardoussituationsarereportedtotheCompany,investigatedandanalyzedwiththeobjectiveofimprovingsafetyandpollutionprevention.TheCompanyshouldestablishproceduresfortheimplementationofcorrectiveaction.不符合規(guī)定的情況、事故和險(xiǎn)情的報(bào)告和分析安全管理體系應(yīng)當(dāng)包括確保不符合規(guī)定的情況、事故和險(xiǎn)情得到報(bào)告（至公司）、調(diào)查和分析的程序，以便改進(jìn)安全和防止污染工作。公司應(yīng)當(dāng)建立實(shí)施糾正措施的程序。MAINTENANCEOFTHESHIPANDEQUIPMENTensurethattheshipismaintainedinconformitywiththeprovisionsandwithanyadditionalrequirements.1inspectionsareheldatappropriateintervals;.2anynon-conformityisreported,withitspossiblecause,ifknown;.3appropriatecorrectiveactionistaken;and.4recordsoftheseactivitiesaremaintained.船舶和設(shè)備的維護(hù)公司應(yīng)當(dāng)建立有關(guān)程序，以便保證船舶按照有關(guān)規(guī)定、規(guī)則以及公司可能制定的任何附加要求進(jìn)行維護(hù)。為滿足這些要求，公司應(yīng)當(dāng)保證：（1）按照適當(dāng)?shù)拈g隔期進(jìn)行檢查；（2）報(bào)告已知的不符合規(guī)定的情況并附可能的原因；（3）采取適當(dāng)?shù)募m正措施；（4）保存這些活動(dòng)的記錄。DOCUMENTATIONSafetyManagementSystemSafetyManagementManualEachshipshouldcarryonboardalldocumentationrelevanttothatship.文件公司應(yīng)當(dāng)建立并保持控制與安全管理體系有關(guān)的所有文件和資料的程序。用于闡述和實(shí)施安全管理體系的文件可稱為“安全管理手冊(cè)”。文件應(yīng)當(dāng)以公司認(rèn)為最有效的方式予以保存。每艘船應(yīng)當(dāng)備有與之有關(guān)的全部文件。COMPANYVERIFICATION,REVIEWANDEVALUATIONInternalSafetyAuditstoverifywhethersafetyandpollution-preventionactivitiescomplywiththesafetymanagementsystemAtleastOnceayear公司審核、復(fù)查和評(píng)價(jià)內(nèi)部安全評(píng)審，以審核安全及防止污染活動(dòng)是否符合安全管理體系的要求。公司應(yīng)當(dāng)定期評(píng)價(jià)安全管理體系的有效性，必要時(shí)還應(yīng)當(dāng)根據(jù)公司建立的有關(guān)程序?qū)Π踩芾眢w系進(jìn)行復(fù)查。評(píng)審及可能采取的糾正措施應(yīng)當(dāng)按文件規(guī)定的程序進(jìn)行。除非由于公司的規(guī)模和性質(zhì)不可能做到，實(shí)施評(píng)審的人員應(yīng)當(dāng)不從屬于被評(píng)審的部門。評(píng)審及復(fù)查結(jié)果應(yīng)當(dāng)告知有關(guān)部門的所有負(fù)有責(zé)任的人員，以便提請(qǐng)他們注意。負(fù)有責(zé)任的管理人員應(yīng)當(dāng)對(duì)所發(fā)現(xiàn)的缺陷及時(shí)采取糾正措施。CERTIFICATIONANDPERIODICALVERIFICATION

DocumentofCompliance(issuedbyadministrationforcompanycapableofcomplyingwiththerequirementsofthisCode)

ACopyofDOCshouldbeplacedonboard

Validperiodshouldnotexceed5yearsvalidityofaDOCshouldbesubjecttoannualverification發(fā)證、審核和監(jiān)控符合證明（由主管及向符合規(guī)則要求的公司頒發(fā))船上應(yīng)當(dāng)保存DOC副本DOC有效期不得超過5年為保持有效，DOC須經(jīng)年審。CERTIFICATIONANDPERIODICALVERIFICATION

SafetyManagementCertificate(issuedbyadministrationforashipcomplyingwiththerequirementsofthisCode)Validperiodshouldnotexceed5yearsAtleastoneintermediate

verificationrequiredforvalidityofSMC.SMCshouldalsobewithdrawniftheDOCiswithdrawn.發(fā)證、審核和監(jiān)控安全管理證書（由主管及向符合規(guī)則要求的船舶頒發(fā))SMC有效期不得超過5年為保持有效，DOC須經(jīng)一次中間審核如果DOC失效，SMC隨之失效PERIODICALVERIFICATION-Audit ExamplesofthetypeofdocumentationtheauditorwillwishtoseetoverifycompliancewiththeISMareasfollows:LogbooksSafetyandmanagementmeetingminutesandfollowupactionsMedicallogCompanycircularlettersPlannedmaintenancerecordsRecordsofverificationPERIODICALVERIFICATION-AuditRecordsofmastersreviewofthesystemRecordsofinternalauditsandfollowupRecordsofchartcorrectionsClassquarterlylistingsRecordsofpassageplanningOilrecordbooksGarbagelogsCompanymanualandformsISMCode-SafetyPrinciples1.ISMcodeisanapplicationofISO9000principlestomaritimesafetymanagement.2.ISMcodecontrolshumanelementby

impactingonthewayshippingcompaniesaremanaged,thusenhancesthemaritimesafetyandprotectsthemarineenvironment.3.benefitsderivedfromsafetymanagementimprovetheperformanceofcompanyincompetition.ISMCode-SafetyPrinciples4.VerificationandauditbyadministrationandPSCplayimportantroles.5.Thecommitment,competence,attitudesandmotivationofindividualsatalllevelsdeterminesthesafetymanagementresult.ISM規(guī)則的安全保障原理ISM規(guī)則是ISO9000的原理，結(jié)合海上安全實(shí)際的產(chǎn)物，富含現(xiàn)代管理科學(xué)和安全科學(xué)的成就ISM規(guī)則的重點(diǎn)是公司安全管理，直接目標(biāo)是控制人為因素，最終目標(biāo)是實(shí)現(xiàn)海上安全和防止污染，即通過控制公司來控制人為因素。ISM規(guī)則的驅(qū)動(dòng)機(jī)制:利益驅(qū)動(dòng)ISM規(guī)則的驅(qū)動(dòng)機(jī)制:外部審核ISM規(guī)則的驅(qū)動(dòng)機(jī)制:全員參與SafetyManagementSystemEveryCompanyshoulddevelop,implementandmaintainasafetymanagementsystemwhichshouldmeettheFunctionalrequirements.EachshipshouldcarryonboardalldocumentationrelevanttoSMS.SafetyManagementSystemTheCompanyshouldestablishandmaintainprocedurestocontrolalldocumentsanddatawhicharerelevanttothesafetymanagementsystem.

1validdocumentsareavailableatallrelevantlocations; 2changestodocumentsarereviewedandapprovedbyauthorizedpersonnel;and 3obsoletedocumentsarepromptlyremoved.安全管理體系公司應(yīng)當(dāng)建立并維持有效措施以保證安全管理體系文件：（1）各有關(guān)部門均能夠獲得有效的文件；（2）文件的更改由經(jīng)授權(quán)的人審查批準(zhǔn)；（3）被廢止的文件應(yīng)及時(shí)清除。SMS-keyshipboardoperationsAsystemisinplacefortheonboardgenerationofplansandinstructionsforkeyshipboardoperationsThesetasksmaybedividedintotwocategories:SpecialoperationsandCriticalshipboardoperations關(guān)鍵性船上操作對(duì)涉及船舶安全和防污染的關(guān)鍵性船上操作，公司應(yīng)按程序制定操作方案和須知，明確規(guī)定有關(guān)工作并分配給適任人員。關(guān)鍵性操作分為特殊操作和關(guān)鍵操作。SMS-keyshipboardoperations Specialoperations-thosewhereerrorsonlybecomeapparentafterahazardoussituationoraccidenthasoccurred.E.g.ensuringwatertightintegrity,navigationalsafety(chartcorrections,passageplanning),maintenanceoperations,bunkeroperations.

關(guān)鍵性船上操作特殊操作是指其錯(cuò)誤僅在已造成危險(xiǎn)情況或事故已發(fā)生時(shí)才會(huì)明顯看出的操作。至少包括：保證水密完整性；航行安全，包括改正海圖和有關(guān)出版物；影響設(shè)備（如舵機(jī)）及其有關(guān)的備用機(jī)器可靠性的操作；維護(hù)操作；加油操作及港內(nèi)駁油操作；保持穩(wěn)性和防止超載和應(yīng)力集中；集裝箱、貨物及其他物品的綁固；船舶保安，暴力和海盜行為等。特殊操作的程序和須知應(yīng)包括防患于未然的預(yù)防措施和檢查。SMS-keyshipboardoperations Criticalshipboardoperations-whereanerrorwillimmediatelycauseanaccidentorasituationthatcouldthreatenpersonnel,environmentorvessel.e.g.navigationinconfinedwaters,operationinheavyweather,bunkeroroiltransfers,cargooperationsontankers.

關(guān)鍵操作關(guān)鍵操作是指其錯(cuò)誤會(huì)立刻導(dǎo)致危及人員、環(huán)境或船舶的事故或情況的操作。至少包括：在限制水域和交通密集區(qū)域航行；在接近陸地水域或交通密集水域會(huì)造成突然失去操縱能力的操作；視線不良條件下的航行；氣象惡劣條件下的航行；危險(xiǎn)貨物和有毒有害物質(zhì)的裝卸和積載；海上加油和駁油；氣體運(yùn)輸船、化學(xué)品船和油船的貨物操作；關(guān)鍵性機(jī)器操作等。進(jìn)行關(guān)鍵操作應(yīng)盡可能現(xiàn)場(chǎng)有人監(jiān)督，嚴(yán)格按文件操作，保存經(jīng)雙方簽署的記錄或檢查表。ISM-SafetyManagementEffectThecornerstoneofgoodsafetymanagementiscommitmentfromthetop.Inmattersofsafety andpollutionpreventionitisthecommitment,competence,attitudesandmotivationofindividualsatalllevelsthatdeterminestheendresult.充分發(fā)揮SMS的效能充分發(fā)揮SMS的效能，離不開對(duì)行為的控制，機(jī)制的激勵(lì)和信念的引導(dǎo)；離不開有效的組織化管理、人員素質(zhì)的提高和人員對(duì)SMS的積極響應(yīng)。良好的人員素質(zhì)是SMS有效運(yùn)行的基礎(chǔ)，人員對(duì)體系的積極響應(yīng)，使SMS的安全管理潛能變成現(xiàn)實(shí)，使人員的安全素質(zhì)規(guī)范地體現(xiàn)為人員的安全行為。Section5:

MaritimeSecurity&ISPSCodeBackgroundThenewInternationalShipandPortFacilitySecurityCode(ISPSCode)Enhancethemaritimesecurity第五節(jié)船舶保安產(chǎn)生背景國(guó)際船舶和港口設(shè)施保安規(guī)則加強(qiáng)海上保安MaritimeSecurity-BackgroundPiracyandarmedrobberyagainstshipstragiceventsof11September2001intheUSAtheneedtoreviewthemeasuresalreadyadoptedbyIMOtocombatactsofviolenceandcrimeatseatheadoptionofaresolutiononReviewofmeasuresandprocedurestopreventactsofterrorismwhichthreatenthesecurityofpassengersandcrewsandthesafetyofships.背景海盜911事件IMO對(duì)現(xiàn)有對(duì)抗海上恐怖主義和犯罪的措施的回顧防止危害旅客和船員的恐怖主義措施及程序回顧決議的通過MaritimeSecurity–ISPSCodeThemandatorysecuritymeasuresadoptedinDecember2002,includeanumberofamendmentstoSOLAS(XI-2)issettoenterintoforceinJuly2004.Themostfar-reachingofwhichenshrinesthenewInternationalShipandPortFacilitySecurityCode(ISPSCode).國(guó)際船舶和港口設(shè)施保安規(guī)則2002年通過的強(qiáng)制性保安措施，包括對(duì)SOLAS公約（11-2）的修正案于2004年7月生效。國(guó)際船舶和港口設(shè)施保安規(guī)則ISPSCode–EnhancethemaritimesecuritySECURITYMEASURESANDPROCEDURESTOBEAPPLIEDDURINGSHIP/PORTINTERFACEISPSCode–forSh