C¸c híng dÉn ®· ®îc bæ sung söa ®æi cho - Nori luat quan ly an toan.pdf · 2000 by...

vµC¸c híng dÉn ®· ®îc bæ sung söa ®æi cho ChÝnh quyÒn Hµnh chÝnh triÓn khai Bé luËt Qu¶n lý an toµn quèc tÕ

andRevised Guidelines on Implementation of the ISM Code by Administrations

côc ®¨ng kiÓm viÖt nam2002

Bé luËtQu¶n lý an toµn quèc tÕ

(Bé luËt ISM)

International Safety Management Code (ISM Code)

Foreword

With the entry into force, on 1 July 1998, of the 1994 amendments to the International Convention for the Safety of Life at Sea (SOLAS). 1974, which introduced a new chapter IX into the Convention, the International Safety Management (ISM) Code has been made mandatory. Chapter IX was amended by resolution MSC.99(73), which was accepted on 1 January 2002 and will enter into force on 1 July 2002. This is the date on which the ISM Code will became mandatory for a wider range of cargo ships and for mobile offshore drilling units.

The Code's origins go back to the late 1980s, when there was mounting concern about poor management standards in shipping. Investigations into accidents revealed major errors on the part of management and in 1987 the IMO Assembly adopted resolution A.596(15), which called upon the Maritime Safety Committee to develop guidelines concerning shipboard and shore-based management to ensure the safe operation of ro-ro passenger ferries.

The ISM Code evolved through the development of the Guidelines on Management for the Safe Operation of Ships and for Pollution Prevention, adopted in 1989 by the IMO Assembly as resolution A.647(16), and the revised Guidelines, adopted two years later as resolution A.680(17), to its current form, the International Management Code for the Safe Operation of Ships and for Pollution Prevention (International Safety Management (ISM) Code), which was adopted in 1993 as resolution A.741(18). This Code was amended in December 2000 by resolution MSC.104(73). This resolution was accepted on 1 January 2002, and the amendments will enter into force on 1 July 2002.

In 1995, the IMO Assembly, recognizing the need for uniform implementation of the ISM Code and that there might be a need for Administrations to enter into agreements in respect of the issuance of certificates by other Administrations in accordance with SOLAS chapter IX and the ISM Code, adopted the Guidelines on Implementation of the International Safety Management (ISM) Code by Administrations by resolution A.788(19). These Guidelines were replaced with Revised Guidelines, which were adopted by resolution A.913(22) in November 2001. This resolution revokes resolution A.788(19) as of 1 July 2002.

This publication includes the texts of SOLAS chapter IX, the ISM Code and the Revised Guidelines referred to in the previous paragraphs.

Lêi nãi ®Çu

Vµo ngµy 01/07/1998, bæ sung söa ®æi n¨m 1994 ®èi víi C«ng íc quèc tÕ vÒ an toµn sinh m¹ng con ngêi trªn biÓn (SOLAS) 1974 b¾t ®Çu cã hiÖu lùc. Bæ sung söa ®æi ®ã ®· ®a ra ch¬ng IX míi vµo SOLAS 1974. Ch¬ng IX cña SOLAS 1974 quy ®Þnh viÖc b¾t buéc tu©n thñ Bé luËt ISM. Sau ®ã, Ch¬ng IX SOLAS 1974 ®· ®îc bæ sung söa ®æi b»ng nghÞ quyÕt MSC.99(73). NghÞ quyÕt nµy ®· ®-îc th«ng qua vµo ngµy 01/01/2002 vµ cã hiÖu lùc vµo ngµy 01/07/2002. §©y còng chÝnh lµ ngµy Bé luËt ISM më réng ph¹m vi ¸p dông b¾t buéc ®èi víi çc tµu chë hµng vµ çc giµn khoan biÓn di ®éng.

Bé luËt nµy ra ®êi b¾t nguån tõ thËp kû 80, khi mµ cã rÊt nhiÒu vÊn ®Ò ®¸ng lo ng¹i vÒ tr×nh ®é qu¶n lý yÕu kÐm trong qu¶n lý tµu. ViÖc ®iÒu tra çc tai n¹n ®· cho thÊy cã rÊt nhiÒu sai sãt trÇm träng trong c«ng t¸c qu¶n lý vµ vµo n¨m 1997, §¹i héi ®ång IMO ®· th«ng qua nghÞ quyÕt A.596(15) do ñy ban An toµn hµng h¶i ®a ra. NghÞ quyÕt nµy ®a ra çc híng dÉn liªn quan tíi c«ng t¸c qu¶n lý díi tµu vµ c«ng t¸c qu¶n lý trªn bê ®Ó ®¶m b¶o an toµn trong çc ho¹t ®éng cña phµ chë kh¸ch RO-RO

Bé luËt ISM ®îc x©y dùng, hoµn thiÖn b¾t ®Çu tõ çc híng dÉn vÒ c«ng t¸c qu¶n lý ®èi víi çc ho¹t ®éng an toµn cña tµu vµ ng¨n ngõa « nhiÔm. N¨m 1989, H-íng dÉn nµy ®îc §¹i héi ®ång th«ng qua b»ng nghÞ quyÕt A.647(16). Hai n¨m sau, híng dÉn nµy ®îc bæ sung söa ®æi vµ ®îc th«ng qua b»ng nghÞ quyÕt A.680(17). Díi h×nh thøc nh hiÖn nay, Bé luËt qu¶n lý quèc tÕ vÒ khai th¸c tµu an toµn vµ ng¨n ngõa « nhiÔm (Bé luËt ISM) ®îc §¹i héi ®ång IMO th«ng qua vµo n¨m 1993 b»ng nghÞ quyÕt A.741(18). Th¸ng 12 n¨m 2002, Bé luËt ISM ®· ®îc bæ sung söa ®æi bëi nghÞ quyÕt MSC.104(73). NghÞ quyÕt nµy ®· ®îc chÊp thuËn vµo ngµy 01/01/2002 vµ çc bæ sung söa ®æi sÏ b¾t ®Çu cã hiÖu lùc vµo 01/07/2002.

N¨m 1995, nhËn thøc ®îc sù cÇn thiÕt ph¶i triÓn khai ¸p dông mét çch thèng nhÊt Bé luËt ISM vµ çc ChÝnh quyÒn Hµnh chÝnh cã thÓ cÇn thiÕt ph¶i ký kÕt çc tháa thuËn vÒ viÖc cÊp çc giÊy chøng nhËn bëi çc ChÝnh quyÒn Hµnh chÝnh kh¸c - phï hîp víi ch¬ng IX cña SOLAS vµ Bé luËt ISM, §¹i héi ®ång IMO ®· th«ng qua Híng dÉn cho çc ChÝnh quyÒn Hµnh chÝnh triÓn khai viÖc ¸p dông Bé luËt ISM b»ng nghÞ quyÕt A.788(19). Th¸ng 11 n¨m 2001, IMO ®· th«ng qua nghÞ quyÕt A.913(22) quy ®Þnh viÖc thay thÕ Híng dÉn nµy b»ng Híng dÉn ®· ®-îc söa ®æi. NghÞ quyÕt nµy hñy bá nghÞ quyÕt A.788(19) vµo ngµy 01/07/2002.

Ên phÊm nµy bao gåm ch¬ng IX cña SOLAS, Bé luËt ISM vµ Híng dÉn ®· ®îc söa ®æi nªu trªn.

Contents

International Convention for the Safety of Life at Sea, 1974,as amendedChapter IX - Management for the safe operation of ships ............ 1

Resolution A.741 (18) as amended by MSC.104(73)International Safety Management (ISM) Code .............................. 7

Resolution A.913 (22)Revised Guidelines on implementation of

the ISM Code by Administrations ................................................. 29

Néi dung

C«ng íc Quèc tÕ vÒ An toµn sinh m¹ng con ngêi trªn biÓn 1974 ®îc bæ sung söa ®æiCh¬ng IX - Qu¶n lý khai th¸c tµu an toµn ....................................... 2

NghÞ quyÕt A.741 ®îc bæ sung söa ®æi bëi MSC.104(73)Bé luËt Qu¶n lý an toµn quèc tÕ (Bé luËt ISM) ................................ 8

NghÞ quyÕt A.913 (22)Híng dÉn ® ®· îc söa ®æi cho c¸c ChÝnh quyÒn Hµnh chÝnh triÓn khai viÖc ¸p dông Bé luËt ISM .................................................. 30

SOLAS 1974 - Chapter IX

Management for the safeoperation of ships

Chapter IX* of the annex to the 1974 SOLAS Convention

Regulation 1 Definitions

For the purpose of this chapter, unless expressly provided otherwise:

1 International Safety Management (ISM) Code means the International Management Code for the Safe Operation of Ships and for Pollution Prevention adopted by the Organization by resolution A.741(18), as may be amended by the Organization, provided that such amendments are adopted, brought into force and take effect in accordance with the provisions of article VIII of the present Convention concerning the amendment procedures applicable to the Annex other than chapter I.

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 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 International Safety Management Code.

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 regulation VII/8.2.‡

5 Gas carrier means a gas carrier as defined in regulation VII/11.2.§

___________* Chapter IX of the annex to te 1974 SOLAS Convention was adopted by the 1994 SOLAS Conference. It was accepted on 1 January 1998 and and enter inforce on 1 July 1998. The text was amended by resolution MSC.99(73) in December 2002, and these amendments were accepted on 1 January 2002. The amended text will enter inforce on 1 July 2002.† i.e., "the oil tanker defined in regulation 1 of Annex I of the Protocol of 1978 relating to the International Convention for the Prevention of Pollution from Ships, 1973.‡ i.e., "a cargo ship constructed or adapted and used for the carriage in bulk of any liquid product 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 liquified gas or other product listed in chapter 19 of the International Gas Carrier Code.

1


Qu¶n lý vÒ khai th¸c tµu an toµn

Ch¬ng IX* trong phô lôc cña C«ng íc SOLAS, 1974

Quy ®Þnh 1Çc ®Þnh nghÜa

§Ó dïng cho ch¬ng nµy trõ khi cã çc quy ®Þnh kh¸c:

1 Bé luËt Qu¶n lý an toµn quèc tÕ (ISM) lµ Bé luËt qu¶n lý quèc tÕ vÒ khai th¸c tµu an toµn vµ ng¨n ngõa « nhiÔm ®îc Tæ chøc th«ng qua b»ng nghÞ quyÕt A.741(18), cã thÓ ®îc Tæ chøc bæ sung söa ®æi, khi mµ nh÷ng bæ sung söa ®æi nµy ®îc th«ng qua, cã hiÖu lùc vµ ®îc thi hµnh theo çc quy ®Þnh ë ®iÒu VIII cña C«ng íc nµy liªn quan tíi çc thñ tôc bæ sung söa ®æi ¸p dông cho phô lôc kh«ng ph¶i lµ ch¬ng I.

2 C«ng ty lµ chñ tµu hoÆc mét tæ chøc hay ç nh©n nµo ®ã nh ngêi qu¶n lý, hoÆc ngêi thuª tµu trÇn, ngêi ®· vµ ®ang ®¶m ®¬ng tr¸ch nhiÖm ®èi víi viÖc khai th¸c tµu thay cho chñ tµu vµ ®ång ý thùc hiÖn toµn bé çc nghÜa vô vµ tr¸ch nhiÖm theo quy ®Þnh cña Bé luËt qu¶n lý an toµn quèc tÕ.

3 Tµu chë dÇu lµ tµu chë dÇu nh ®îc ®Þnh nghÜa ë quy ®Þnh II-1/2.12. †

4 Tµu chë hãa chÊt lµ tµu chë hãa chÊt nh ®îc ®Þnh nghÜa ë quy ®Þnh VII/8.2. ‡

5 Tµu chë khÝ lµ tµu chë khÝ nh ®îc ®Þnh nghÜa ë quy ®Þnh VII/11.2. §

___________* Ch¬ng IX trong phô lôc cña C«ng íc SOLAS 1974, ®îc chÊp thuËn t¹i cuéc héi th¶o vÒ SOLAS n¨m 1994. Ch¬ng nµy ®îc chÊp thuËn vµo ngµy 1 th¸ng 1 n¨m 1998, vµ cã hiÖu lùc vµo ngµy 1 th¸ng 7 n¨m 1998. Néi dung cña ch¬ng nµy ®· ®îc bæ sung söa ®æi bëi nghÞ quyÕt MSC.99(73) vµo th¸ng 12 n¨m 2000, vµ çc bæ sung söa ®æi nµy ®· ®îc chÊp thuËn vµo ngµy 1 th¸ng 1 n¨m 2002. Néi dung söa ®æi sÏ b¾t ®Çu cã hiÖu lùc vµo ngµy 1 th¸ng 7 n¨m 2002.† nghÜa lµ: tµu dÇu ®îc ®Þnh nghÜa ë quy ®Þnh 1 cña Phô lôc I thuéc NghÞ ®Þnh 1978 liªn quan ®Õn C«ng íc MARPOL 73. ‡ nghÜa lµ: tµu hµng ®îc ®ãng hoÆc ho¸n c¶i vµ ®îc sö dông ®Ó chë x« bÊt kú lo¹i hµng láng nµo ®îc liÖt kª trong ch¬ng 17 cña Bé luËt IBC.§ nghÜa lµ: tµu hµng ®îc ®ãng hoÆc ho¸n c¶i vµ ®îc sö dông ®Ó chë x« bÊt kú lo¹i khÝ hãa láng hoÆc çc s¶n phÈm kh¸c ®îc liÖt kª trong ch¬ng 19 cña Bé luËt IGC".

2


6 Bulk carrier means a ship which is constructed generally with single deck, top-side tanks and hopper side tanks in cargo spaces, and is intended primarily to carry dry cargo in bulk, and includes such types as ore carriers and combination carriers.

7 Mobile offshore drilling unit (MODU) means a vessel capable of engaging in drilling operations for the exploration for or exploitation of resources 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 2 Application

1 This chapter applies to ships, regardless of the date of construction, as follows:

.1 passenger ships including passenger high-speed craft, not later than 1 July 1998;

.2 oil tankers, chemical tankers, gas carriers, bulk carriers and cargo high speed craft of 500 gross tonnage and upwards, not later than 1 July 1998; and

.3 other cargo ships and mobile offshore drilling units of 500 gross tonnage and upwards, not later than 1 July 2002.

2 This chapter does not apply to government-operated ships used for non-commercial purposes.

Regulation 3 Safety management requirements

1 The company and the ship shall comply with the requirements of the International Safety Management Code. For the purpose of this regulation, the requirements of the Code shall be treated as mandatory.

2 The ship shall be operated by a company holding a Document of Compliance referred to in regulation 4.

__________* i.e., "a craft capable of a maximum speed, in metres per second (m/s), equal to or exceeding

3.7∇0.1667 where ∇ = Volume of displacement corresponding to the design waterline (m3) excluding craft the hull of which is supported completely clear about the water surface in non-displacement mode by aerodynamic forces generated by ground effect".

3


6 Tµu chë x« hµng kh« lµ tµu thêng ®îc ®ãng boong ®¬n, víi çc kÐt ®Ønh m¹n vµ çc kÐt h«ng trong khoang hµng, cã môc ®Ých chñ yÕu ®Ó chë x« hµng kh«, vµ bao gåm c¶ çc lo¹i tµu nh tµu chë quÆng vµ tµu chë hµng hçn hîp.

7 Giµn khoan biÓn di ®éng (MODU) lµ tµu cã kh¶ n¨ng tham gia çc ho¹t ®éng khoan nh»m th¨m dß hoÆc khai th¸c kho¸ng s¶n díi ®¸y biÓn nh cacbua hydro, lu huúnh hoÆc muèi ë thÓ khÝ hoÆc láng.

8 Tµu cao tèc lµ tµu nh ®îc ®Þnh nghÜa ë quy ®Þnh X/1.*

Quy ®Þnh 2Ph¹m vi ¸p dông

1 Ch¬ng nµy ¸p dông cho çc tµu, kh«ng xÐt tíi ngµy ®ãng, nh sau:

.1 çc tµu kh¸ch bao gåm c¶ tµu kh¸ch cao tèc, kh«ng muén h¬n ngµy 1 th¸ng 7 n¨m 1998;

.2 çc tµu chë dÇu, tµu chë hãa chÊt, tµu chë khÝ, tµu chë hµng x« vµ tµu hµng cao tèc cã tæng dung tÝch tõ 500 trë lªn, kh«ng muén h¬n ngµy 1 th¸ng 7 n¨m 1998; vµ

.3 çc tµu hµng kh¸c vµ çc giµn khoan biÓn di ®éng cã tæng dung tÝch tõ 500 trë lªn, kh«ng muén h¬n ngµy 1 th¸ng 7 n¨m 2002.

2 Ch¬ng nµy kh«ng ¸p dông cho nh÷ng tµu ®îc chÝnh phñ khai th¸c dïng cho nh÷ng môc ®Ých phi th¬ng m¹i.

Quy ®Þnh 3Çc yªu cÇu vÒ qu¶n lý an toµn

1 C«ng ty vµ tµu ph¶i tu©n theo çc yªu cÇu cña Bé luËt Qu¶n lý an toµn quèc tÕ. Quy ®Þnh nµy nh»m môc ®Ých b¾t buéc ¸p dông çc yªu cÇu cña Bé luËt ISM.

2 Tµu ph¶i ®îc khai th¸c bëi mét C«ng ty cã GiÊy chøng nhËn Phï hîp nh ®-îc nªu ë quy ®Þnh 4.

__________

* nghÜa lµ: mét tµu cã kh¶ n¨ng ®¹t tèc ®é tèi ®a theo ®¬n vÞ mÐt trªn gi©y (m/s) b»ng hoÆc vît:

3.7∇0.1667 víi ∇ = thÓ tÝch lîng chiÕm níc t¬ng øng víi ®êng níc thiÕt kÕ (m3) trõ tµu cã th©n n»m hoµn toµn bªn trªn mÆt níc trong t×nh tr¹ng kh«ng cã lîng chiÕm níc do hiÖu øng khÝ ®éng lùc g©y ra.

4


Regulation 4 Certification

1 A Document of Compliance shall be issued to every company which complies with the requirements of the International Safety Management Code. This document shall be issued by the Administration, by an organization recognized by the Administration, or at the request of the Administration by another Contracting Government.

2 A copy of the Document of Compliance shall be kept on board the ship in order that the master can produce it on request for verification.

3 A Certificate, called a Safety Management Certificate, shall be issued to every ship by the Administration or an organization recognized by the Administration. The Administration or organization recognized by it shall, before issuing the Safety Management Certificate, verify that the company and its shipboard management operate in accordance with the approved safety management system.

Regulation 5 Maintenance of conditions

The safety management system shall be maintained in accordance with the provisions of the International Safety Management Code.

Regulation 6 Verification and control

1 The Administration, another Contracting Government at the request of the Administration or an organization recognized by the Administration shall periodically verify the proper functioning of the ship's safety management system.

2 A ship required to hold a certificate issued pursuant to the provisions of regulation 4.3 shall be subject to control in accordance with the provisions of regulation XI/4. For this purpose such certificate shall be treated as a certificate issued under regulation I/12 or I/13.

5


Quy ®Þnh 4Chøng nhËn

1 GiÊy chøng nhËn Phï hîp sÏ ®îc cÊp cho mçi C«ng ty tháa m·n çc yªu cÇu cña Bé luËt qu¶n lý an toµn quèc tÕ. ChÝnh quyÒn Hµnh chÝnh, mét tæ chøc ®îc ChÝnh quyÒn Hµnh chÝnh c«ng nhËn, hoÆc mét ChÝnh phñ ký kÕt kh¸c nÕu ChÝnh quyÒn Hµnh chÝnh yªu cÇu sÏ cÊp giÊy chøng nhËn nµy.

2 B¶n sao cña GiÊy chøng nhËn Phï hîp sÏ ph¶i ®îc lu gi÷ trªn tµu ®Ó thuyÒn trëng cã thÓ ®a ra khi ®îc yªu cÇu kiÓm tra x¸c nhËn.

3 GiÊy chøng nhËn, ®îc gäi lµ GiÊy chøng nhËn Qu¶n lý an toµn, sÏ ®îc cÊp cho mçi tµu bëi ChÝnh quyÒn Hµnh chÝnh hoÆc bëi mét tæ chøc ®îc ChÝnh quyÒn Hµnh chÝnh c«ng nhËn. Tríc khi cÊp GiÊy chøng nhËn Qu¶n lý An toµn, ChÝnh quyÒn Hµnh chÝnh hoÆc mét tæ chøc ®îc ChÝnh quyÒn Hµnh chÝnh c«ng nhËn ph¶i kiÓm tra xem C«ng ty vµ çc ho¹t ®éng qu¶n lý trªn tµu cña C«ng ty cã phï hîp víi hÖ thèng qu¶n lý an toµn nh ®· ®îc phª chuÈn hay kh«ng.

Quy ®Þnh 5Duy tr× çc ®iÒu kiÖn

HÖ thèng qu¶n lý an toµn ph¶i ®îc duy tr× phï hîp çc ®iÒu kho¶n cña Bé luËt Qu¶n lý an toµn quèc tÕ.

Quy ®Þnh 6 KiÓm tra x¸c nhËn vµ kiÓm so¸t

1 ChÝnh quyÒn Hµnh chÝnh, ChÝnh phñ ký kÕt kh¸c theo yªu cÇu cña ChÝnh quyÒn Hµnh chÝnh hoÆc mét tæ chøc ®îc ChÝnh quyÒn Hµnh chÝnh c«ng nhËn sÏ kiÓm tra x¸c nhËn theo ®Þnh kú viÖc thùc hiÖn chøc n¨ng thÝch hîp cña hÖ thèng qu¶n lý an toµn cña tµu.

2 Tµu ®îc yªu cÇu ph¶i cã giÊy chøng nhËn ®îc cÊp theo çc ®iÒu kho¶n cña quy ®Þnh 4.3 sÏ ph¶i chÞu sù kiÓm so¸t theo çc ®iÒu kho¶n cña quy ®Þnh XI/4. Quy ®Þnh nµy nh»m môc ®Ých kh¼ng ®Þnh: giÊy chøng nhËn ®ã sÏ ®îc xem nh giÊy chøng nhËn ®îc cÊp theo quy ®Þnh I/12 hoÆc I/13.

6

ISM Code

International Safety Management Code

PREAMBLE

1 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 - IMPLEMENTATION

1 GENERAL

1.1 Definitions

The following definitions apply to parts A and B of this Code.

7

ISM Code

Bé luËt Qu¶n lý an toµn quèc tÕ

GIíI THIÖU

1 Môc ®Ých cña Bé luËt nµy lµ ®a ra mét tiªu chuÈn quèc tÕ vÒ qu¶n lý vµ khai th¸c tµu an toµn vµ vÒ ng¨n ngõa « nhiÔm.

2 §¹i héi ®ång ®· th«ng qua nghÞ quyÕt A.443(XI) khuyÕn nghÞ çc ChÝnh phñ ¸p dông nh÷ng biÖn ph¸p cÇn thiÕt ®Ó b¶o vÖ thuyÒn trëng thùc thi mét çch ®óng ®¾n tr¸ch nhiÖm cña m×nh liªn quan ®Õn an toµn hµng h¶i vµ b¶o vÖ m«i trêng biÓn.

3 §¹i héi ®ång còng ®· th«ng qua nghÞ quyÕt A.680(17) c«ng nhËn cÇn ph¶i tæ chøc qu¶n lý mét çch thÝch hîp ®Ó cã kh¶ n¨ng ®¸p øng nhu cÇu cña thuyÒn bé trªn tµu nh»m ®¹t ®îc vµ duy tr× çc tiªu chuÈn cao vÒ an toµn vµ b¶o vÖ m«i trêng.

4 NhËn thÊy r»ng kh«ng cã hai C«ng ty tµu biÓn hoÆc hai chñ tµu gièng nhau vµ çc tµu ho¹t ®éng trong mét ph¹m vi réng víi çc ®iÒu kiÖn kh¸c nhau, do ®ã Bé luËt nµy ®îc x©y dùng trªn çc nguyªn t¾c vµ çc môc tiªu chung.

5 Bé luËt nµy sö dông nh÷ng thuËt ng÷ kh¸i qu¸t ®Ó cã thÓ ¸p dông réng r·i. Do møc ®é qu¶n lý trªn bê hay trªn biÓn kh¸c nhau, nªn çc yªu cÇu vÒ hiÓu biÕt vµ nhËn thøc vÒ çc ®iÒu kho¶n ®· ®îc nªu ra sÏ kh¸c nhau.

6 NÒn t¶ng cña qu¶n lý an toµn tèt chÝnh lµ sù cam kÕt tõ cÊp l·nh ®¹o cao nhÊt. Trong lÜnh vùc an toµn vµ ng¨n ngõa « nhiÔm, sù cam kÕt, n¨ng lùc, th¸i ®é vµ ®éng c¬ cña mçi thµnh viªn ë tÊt c¶ çc cÊp sÏ quyÕt ®Þnh kÕt qu¶ cuèi cïng.

PhÇn A-Thùc hiÖn

1 QUY §ÞNH CHUNG

1.1 Çc ®Þnh nghÜa

Nh÷ng ®Þnh nghÜa sau ®îc ¸p dông cho phÇn A vµ B cña Bé luËt nµy

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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 the responsibility for operation of the ship from the Shipowner and who, on assuming such responsibility, has agreed to take over all the 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.

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1.1.1 Bé luËt Qu¶n lý an toµn quèc tÕ (ISM ) nghÜa lµ Bé luËt Qu¶n lý quèc tÕ vÒ khai th¸c tµu an toµn vµ ng¨n ngõa « nhiÔm ®· ®îc §¹i héi ®ång th«ng qua vµ cã thÓ ®îc Tæ chøc bæ sung söa ®æi.

1.1.2 C«ng ty nghÜa lµ chñ tµu hoÆc mét tæ chøc hay ç nh©n nµo ®ã nh ngêi qu¶n lý, hoÆc ngêi thuª tµu trÇn, ngêi ®· vµ ®ang ®¶m ®¬ng tr¸ch nhiÖm ®èi víi viÖc khai th¸c tµu thay cho chñ tµu vµ ®ång ý thùc hiÖn toµn bé çc nghÜa vô vµ tr¸ch nhiÖm theo quy ®Þnh cña Bé luËt nµy.

1.1.3 ChÝnh quyÒn Hµnh chÝnh nghÜa lµ ChÝnh phñ cña quèc gia mµ tµu treo cê.

1.1.4 HÖ thèng qu¶n lý an toµn nghÜa lµ hÖ thèng cã cÊu tróc vµ ®îc lËp thµnh v¨n b¶n cho phÐp nh÷ng ngêi trong C«ng ty thùc hiÖn cã hiÖu lùc chÝnh s¸ch an toµn vµ b¶o vÖ m«i trêng cña C«ng ty.

1.1.5 GiÊy chøng nhËn Phï hîp nghÜa lµ giÊy chøng nhËn cÊp cho C«ng ty tu©n thñ víi çc yªu cÇu cña Bé luËt nµy.

1.1.6 GiÊy chøng nhËn Qu¶n lý an toµn nghÜa lµ giÊy chøng nhËn cÊp cho tµu kh¼ng ®Þnh ho¹t ®éng qu¶n lý cña C«ng ty vµ trªn tµu tu©n thñ víi hÖ thèng qu¶n lý an toµn ®· ®îc phª duyÖt.

1.1.7 B»ng chøng x¸c thùc nghÜa lµ çc th«ng tin, hå s¬ hoÆc nh÷ng sù viÖc thùc tÕ mang tÝnh chÊt ®Þnh tÝnh hoÆc ®Þnh lîng liªn quan ®Õn an toµn hoÆc sù tån t¹i vµ viÖc thùc hiÖn mét yÕu tè cña hÖ thèng qu¶n lý an toµn. B»ng chøng x¸c thùc cã ®îc dùa trªn viÖc quan s¸t, ®o ®¹c hoÆc thö vµ cã thÓ kiÓm tra x¸c nhËn ®îc.

1.1.8 Sù ghi nhËn nghÜa lµ mét sù viÖc thùc tÕ ®îc ph¸t hiÖn khi ®¸nh gi¸ c«ng t¸c qu¶n lý an toµn vµ ®îc chøng minh b»ng nh÷ng b»ng chøng x¸c thùc.

1.1.9 Sù kh«ng phï hîp nghÜa lµ mét t×nh huèng quan s¸t ®îc vµ cã çc b»ng chøng x¸c thùc chØ ra sù kh«ng tu©n thñ víi mét yªu cÇu cô thÓ.

1.1.10 Sù kh«ng phï hîp nghiªm träng nghÜa lµ mét sai lÖch ®îc x¸c ®Þnh r»ng nã ®e däa nghiªm träng tíi an toµn cña con ngêi, tµu hoÆc m«i trêng vµ yªu cÇu ph¶i cã hµnh ®éng kh¾c phôc ngay lËp tøc. Sù kh«ng phï hîp nghiªm träng cßn bao gåm c¶ viÖc thùc hiÖn mét yªu cÇu cña Bé luËt nµy mét çch thiÕu hÖ thèng vµ thiÕu hiÖu lùc.

1.1.11 Ngµy ®Õn Ên ®Þnh kiÓm tra hµng n¨m nghÜa lµ ngµy vµ th¸ng cña n¨m trïng víi ngµy hÕt h¹n hiÖu lùc cña giÊy chøng nhËn liªn quan.

1.1.12 C«ng íc nghÜa lµ C«ng íc quèc tÕ vÒ an toµn sinh m¹ng con ngêi trªn biÓn, 1974, ®· ®îc bæ sung söa ®æi.

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1.2 Objectives

1.2.1 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 and management system should ensure:

.1 compliance with mandatory rules and regulations; and

.2 that applicable codes, guidelines and standards recommended Organization, Administrations, classification societies and maritime industry organizations are taken into account.

1.3 Application

The requirements of this Code may be applied to all ships.

1.4 Functional requirements for a Safety Management System

Every 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.

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1.2 Môc tiªu

1.2.1 Môc tiªu cña Bé luËt nµy lµ ®¶m b¶o an toµn trªn biÓn, ng¨n ngõa th¬ng vong vÒ ngêi, vµ tr¸nh çc thiÖt h¹i ®èi víi m«i trêng, ®Æc biÖt lµ m«i trêng biÓn vµ ®èi víi tµi s¶n.

1.2.2 Môc tiªu qu¶n lý an toµn cña C«ng ty tèi thiÓu ph¶i:

.1 lËp ra çc t¸c nghiÖp an toµn trong khai th¸c tµu vµ m«i trêng lµm viÖc an toµn;

.2 thiÕt lËp çc ph¬ng ¸n phßng chèng mäi nguy c¬ ®· x¸c ®Þnh; vµ

.3 liªn tôc hoµn thiÖn kü n¨ng qu¶n lý an toµn cña nh÷ng ngêi trªn bê vµ díi tµu, bao gåm c¶ viÖc chuÈn bÞ ®èi phã víi çc t×nh huèng khÈn cÊp liªn quan tíi an toµn vµ b¶o vÖ m«i trêng.

1.2.3 HÖ thèng qu¶n lý an toµn ph¶i ®¶m b¶o:

.1 tu©n thñ çc quy ph¹m vµ çc quy ®Þnh b¾t buéc; vµ

.2 lu t©m tíi çc bé luËt, híng dÉn vµ tiªu chuÈn thÝch hîp do Tæ chøc hµng h¶i quèc tÕ, çc ChÝnh quyÒn Hµnh chÝnh, çc tæ chøc ph©n cÊp vµ çc tæ chøc c«ng nghiÖp hµng h¶i khuyÕn nghÞ.

1.3 ¸p dông

Çc yªu cÇu cña Bé luËt nµy cã thÓ ¸p dông cho tÊt c¶ çc tµu.

1.4 Çc yªu cÇu chøc n¨ng ®èi víi hÖ thèng qu¶n lý an toµn

Mçi C«ng ty ph¶i x©y dùng, triÓn khai thùc hiÖn vµ duy tr× mét hÖ thèng qu¶n lý an toµn bao gåm çc yªu cÇu chøc n¨ng sau:

.1 mét chÝnh s¸ch an toµn vµ b¶o vÖ m«i trêng;

.2 çc híng dÉn vµ quy tr×nh ®Ó ®¶m b¶o khai th¸c tµu an toµn vµ b¶o vÖ m«i trêng phï hîp víi luËt ph¸p cã liªn quan cña quèc tÕ vµ quèc gia mµ tµu mang cê;

.3 x¸c ®Þnh çc møc ph©n cÊp quyÒn h¹n vµ tuyÕn th«ng tin liªn l¹c gi÷a nh÷ng ngêi trªn bê, gi÷a nh÷ng ngêi trªn tµu vµ gi÷a tµu víi bê;

.4 çc quy tr×nh b¸o ço çc tai n¹n vµ sù kh«ng phï hîp víi çc ®iÒu kho¶n cña Bé luËt nµy;

.5 çc quy tr×nh chuÈn bÞ vµ ®èi phã víi çc t×nh huèng khÈn cÊp; vµ

.6 çc quy tr×nh ®¸nh gi¸ néi bé vµ xem xÐt c«ng t¸c qu¶n lý.

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2 SAFETY AND ENVIRONMENTAL PROTECTION POLICY

2.1 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 as well as shore based.

3 COMPANY RESPONSIBILITIES AND AUTHORITY

3.1 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 AUTHORITY

5.1 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;

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2 ChÝnh s¸ch an toµn vµ b¶o vÖ m«i trêng

2.1 C«ng ty ph¶i thiÕt lËp mét chÝnh s¸ch an toµn vµ b¶o vÖ m«i trêng trong m« t¶ çch thøc ®Ó ®¹t ®îc nh÷ng môc tiªu ®· ®Ò ra trong môc 1.2.

2.2 C«ng ty ph¶i ®¶m b¶o r»ng chÝnh s¸ch nµy ®îc thùc hiÖn vµ duy tr× ë tÊt c¶ çc cÊp, c¶ ë trªn bê vµ díi tµu.

3 Tr¸ch nhiÖm vµ quyÒn h¹n cña C«ng ty

3.1 NÕu thùc thÓ chÞu tr¸ch nhiÖm qu¶n lý tµu mµ kh«ng ph¶i lµ chñ tµu, th× chñ tµu ph¶i th«ng b¸o ®Çy ®ñ tªn vµ çc chi tiÕt vÒ thùc thÓ ®ã cho ChÝnh quyÒn Hµnh chÝnh.

3.2 C«ng ty ph¶i x¸c ®Þnh vµ lËp thµnh v¨n b¶n tr¸ch nhiÖm, quyÒn h¹n vµ mèi quan hÖ cña tÊt c¶ nh÷ng ngêi lµm c«ng t¸c qu¶n lý, thùc hiÖn vµ kiÓm tra c«ng viÖc cã liªn quan vµ ¶nh hëng tíi an toµn vµ ng¨n ngõa « nhiÔm.

3.3 C«ng ty cã tr¸ch nhiÖm cung cÊp ®ñ nguån lùc vµ sù hç trî trªn bê gióp ngêi phô tr¸ch hoÆc nh÷ng ngêi phô tr¸ch thùc thi çc chøc n¨ng cña m×nh.

4 Ngêi phô tr¸ch

C«ng ty ph¶i cö ra mét hoÆc nhiÒu ngêi phô tr¸ch ë trªn bê, ngêi cã quyÒn gÆp trùc tiÕp l·nh ®¹o cao nhÊt ®Ó ®¶m b¶o khai th¸c tµu an toµn vµ duy tr× mèi liªn l¹c gi÷a C«ng ty vµ tµu. Tr¸ch nhiÖm vµ quyÒn h¹n cña (nh÷ng) ngêi phô tr¸ch ph¶i bao gåm c¶ viÖc gi¸m s¸t vÒ an toµn vµ ng¨n ngõa « nhiÔm trong khai th¸c tµu vµ ®¶m b¶o nguån lùc vµ sù hç trî trªn bê ®îc cung cÊp ®Çy ®ñ theo yªu cÇu.

5 Tr¸ch nhiÖm vµ quyÒn h¹n cña ThuyÒn trëng

5.1 C«ng ty ph¶i cÇn x¸c ®Þnh vµ lËp thµnh v¨n b¶n mét çch râ rµng tr¸ch nhiÖm cña thuyÒn trëng ®èi víi:

.1 viÖc thùc hiÖn chÝnh s¸ch an toµn vµ b¶o vÖ m«i trêng cña C«ng ty;

.2 viÖc thóc ®Èy thuyÒn viªn tu©n thñ chÝnh s¸ch nµy;

.3 viÖc ®a ra çc mÖnh lÖnh vµ çc chØ dÉn thÝch hîp mét çch râ rµng vµ ®¬n gi¶n;

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.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 PERSONNEL

6.1 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. Instructions which 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.

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.4 viÖc kiÓm tra x¸c nhËn r»ng çc yªu cÇu ®Ò ra ®· ®îc tu©n thñ; vµ

.5 viÖc xem xÐt hÖ thèng qu¶n lý an toµn vµ b¸o ço nh÷ng khiÕm khuyÕt cña hÖ thèng qu¶n lý an toµn cho ban qu¶n lý trªn bê.

5.2 C«ng ty ph¶i ®¶m b¶o hÖ thèng qu¶n lý an toµn ¸p dông trªn tµu ph¶i cã ®iÒu kho¶n râ rµng nªu bËt ®îc thÈm quyÒn cña thuyÒn trëng. HÖ thèng qu¶n lý an toµn cña C«ng ty ph¶i kh¼ng ®Þnh r»ng thuyÒn trëng cã quyÒn vît quyÒn h¹n vµ chÞu tr¸ch nhiÖm ®a ra çc quyÕt ®Þnh liªn quan ®Õn an toµn vµ ng¨n ngõa « nhiÔm vµ ph¶i yªu cÇu sù trî gióp cña C«ng ty khi xÐt thÊy cÇn thiÕt.

6 Nguån lùc vµ nh©n lùc

6.1 C«ng ty ph¶i ®¶m b¶o thuyÒn trëng lµ ngêi:

.1 ®ñ n¨ng lùc chuyªn m«n ®Ó ®iÒu hµnh;

.2 hiÓu thÊu ®¸o hÖ thèng qu¶n lý an toµn cña C«ng ty; vµ

.3 ®îc hç trî cÇn thiÕt ®Ó thùc thi çc nhiÖm vô cña m×nh mét çch an toµn.

6.2 C«ng ty ph¶i ®¶m b¶o mäi thuyÒn viªn trªn tµu cã ®ñ n¨ng lùc, ®îc chøng nhËn vµ cã søc kháe phï hîp víi çc yªu cÇu cña quèc gia vµ quèc tÕ.

6.3 C«ng ty ph¶i thiÕt lËp çc quy tr×nh ®Ó ®¶m b¶o nh÷ng ngêi míi tuyÓn vµo vµ nh÷ng ngêi chuyÓn sang vÞ trÝ c«ng t¸c míi liªn quan tíi an toµn vµ ng¨n ngõa « nhiÔm ph¶i ®îc lµm quen víi nhiÖm vô cña m×nh. Nh÷ng híng dÉn thiÕt yÕu ph¶i ®a ra tríc khi khëi hµnh ph¶i ®îc x¸c ®Þnh, lËp thµnh v¨n b¶n vµ cung cÊp.

6.4 C«ng ty ph¶i ®¶m b¶o r»ng tÊt c¶ çc nh÷ng ngêi tham gia trong hÖ thèng qu¶n lý an toµn cña C«ng ty ph¶i cã sù hiÓu biÕt cÇn thiÕt vÒ çc quy ph¹m, quy ®Þnh, bé luËt vµ híng dÉn liªn quan.

6.5 C«ng ty ph¶i thiÕt lËp vµ duy tr× çc quy tr×nh vÒ x¸c ®Þnh c«ng t¸c ®µo t¹o cÇn thiÕt ®Ó hç trî hÖ thèng qu¶n lý an toµn vµ ®¶m b¶o viÖc ®µo t¹o ®ã ®îc ¸p dông cho tÊt c¶ nh÷ng ngêi cã liªn quan.

6.6 C«ng ty ph¶i thiÕt lËp çc quy tr×nh ®¶m b¶o mäi thuyÒn viªn cña tµu nhËn ®îc çc th«ng tin liªn quan ®Õn hÖ thèng qu¶n lý an toµn b»ng ng«n ng÷ lµm viÖc hoÆc çc ng«n ng÷ mµ hä hiÓu ®îc.

6.7 C«ng ty ph¶i ®¶m b¶o mäi thuyÒn viªn cña tµu cã kh¶ n¨ng giao tiÕp mét çch cã hiÖu qu¶ khi thùc thi çc nhiÖm vô cña m×nh liªn quan tíi hÖ thèng qu¶n lý an toµn.

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7 DEVELOPMENT OF PLANS FOR SHIPBOARD OPERATIONS

The 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 PREPAREDNESS

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.

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 OCCURRENCES

9.1 The safety management system should include procedures ensuring that non-conformities, accidents and hazardous situations are reported to the Company, investigated and analyzed 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 EQUIPMENT

10.1 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.

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7 triÓn khai çc kÕ ho¹ch ho¹t ®éng trªn tµu

C«ng ty ph¶i thiÕt lËp çc quy tr×nh vÒ viÖc chuÈn bÞ çc kÕ ho¹ch vµ çc híng dÉn, bao gåm c¶ çc danh môc kiÓm tra thÝch hîp, cho çc ho¹t ®éng then chèt trªn tµu liªn quan tíi an toµn cña tµu vµ ng¨n ngõa « nhiÔm. Nh÷ng nhiÖm vô kh¸c nhau cã liªn quan ®Õn vÊn ®Ò trªn ph¶i ®îc x¸c ®Þnh vµ ph©n c«ng cho ng-êi cã ®ñ n¨ng lùc.

8 s½n sµng §èi phã t×nh huèng khÈn cÊp

8.1 C«ng ty ph¶i thiÕt lËp çc quy tr×nh ®Ó x¸c ®Þnh, m« t¶ vµ ®èi phã víi çc t×nh huèng khÈn cÊp tiÒm tµng trªn tµu.

8.2 C«ng ty ph¶i thiÕt lËp çc ch¬ng tr×nh huÊn luyÖn vµ thùc tËp ®Ó s½n sµng thùc hiÖn çc hµnh ®éng khÈn cÊp.

8.3 HÖ thèng qu¶n lý an toµn ph¶i ®a ra çc biÖn ph¸p ®¶m b¶o r»ng tæ chøc cña C«ng ty vµo bÊt kú thêi ®iÓm nµo còng cã thÓ ®èi phã víi çc mèi nguy hiÓm, tai n¹n vµ çc t×nh huèng khÈn cÊp liªn quan tíi çc tµu cña C«ng ty.

9 b¸o ço vµ ph©n tÝch vÒ sù kh«ng phï hîp, tai n¹n vµ t×nh huèng nguy hiÓm

9.1 HÖ thèng qu¶n lý an toµn ph¶i cã çc quy tr×nh ®¶m b¶o r»ng mäi sù kh«ng phï hîp, tai n¹n vµ t×nh huèng nguy hiÓm ®îc b¸o ço vÒ C«ng ty, ®îc ®iÒu tra vµ ph©n tÝch nh»m môc ®Ých n©ng cao an toµn vµ ng¨n ngõa « nhiÔm.

9.2 C«ng ty ph¶i thiÕt lËp çc quy tr×nh vÒ thùc hiÖn hµnh ®éng kh¾c phôc.

10 B¶o dìng tµu vµ trang thiÕt bÞ

10.1 C«ng ty ph¶i thiÕt lËp çc quy tr×nh ®Ó ®¶m b¶o r»ng tµu cña C«ng ty ®îc b¶o dìng tu©n thñ çc ®iÒu kho¶n cña çc quy ph¹m, quy ®Þnh liªn quan vµ çc yªu cÇu kh¸c cña C«ng ty.

10.2 §Ó ®¸p øng çc yªu cÇu nµy C«ng ty ph¶i ®¶m b¶o:

.1 viÖc kiÓm tra ®îc thùc hiÖn theo chu kú thÝch hîp;

.2 mäi sù kh«ng phï hîp ®îc b¸o ço cïng víi nguyªn nh©n cña nã, nÕu ®îc biÕt;

.3 hµnh ®éng kh¾c phôc thÝch hîp ®îc thùc hiÖn; vµ

.4 hå s¬ vÒ nh÷ng ho¹t ®éng nµy ®îc lu gi÷.

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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 10.3 should be integrated in the ship's operational maintenance routine.

11 DOCUMENTATION

11.1 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 EVALUATION

12.1 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, and when needed, review the safety management system in accordance with procedures established 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.

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10.3 C«ng ty ph¶i thiÕt lËp çc quy tr×nh trong hÖ thèng qu¶n lý an toµn ®Ó x¸c ®Þnh thiÕt bÞ vµ hÖ thèng kü thuËt mµ sù h háng bÊt ngê trong ho¹t ®éng cña chóng cã thÓ dÉn ®Õn çc t×nh huèng nguy hiÓm. HÖ thèng qu¶n lý an toµn ph¶i cã çc biÖn ph¸p cô thÓ nh»m n©ng cao ®é tin cËn cña çc thiÕt bÞ hoÆc hÖ thèng ®ã. Çc biÖn ph¸p nµy ph¶i bao gåm c¶ viÖc thö thêng xuyªn çc trang thiÕt bÞ dù phßng, vµ çc trang thiÕt bÞ hoÆc hÖ thèng kü thuËt kh«ng ®îc sö dông thêng xuyªn.

10.4 ViÖc kiÓm tra nªu trong môc 10.2 vµ çc biÖn ph¸p nªu trong môc 10.3 ph¶i lµ mét phÇn cña lÞch tr×nh b¶o dìng thêng xuyªn.

11 Tµi liÖu

11.1 C«ng ty ph¶i thiÕt lËp vµ duy tr× çc quy tr×nh ®Ó kiÓm so¸t tÊt c¶ çc tµi liÖu vµ d÷ liÖu liªn quan tíi hÖ thèng qu¶n lý an toµn.

11.2 C«ng ty ph¶i ®¶m b¶o:

.1 çc tµi liÖu cßn hiÖu lùc ph¶i cã s½n ë çc vÞ trÝ cÇn thiÕt;

.2 mäi thay ®æi ®èi víi tµi liÖu ph¶i ®îc ngêi cã thÈm quyÒn xem xÐt vµ phª duyÖt;

.3 çc tµi liÖu lçi thêi ph¶i ®îc nhanh chãng lo¹i bá.

11.3 Tµi liÖu sö dông ®Ó m« t¶ vµ thùc hiÖn hÖ thèng qu¶n lý an toµn cã thÓ ®-îc gäi lµ Sæ tay Qu¶n lý An toµn. Tµi liÖu ph¶i ®îc quy ®Þnh theo h×nh thøc mµ C«ng ty cho lµ thÝch hîp nhÊt. Mçi tµu ph¶i cã tÊt c¶ çc tµi liÖu cã liªn quan tíi tµu m×nh.

12 kiÓm tra x¸c nhËn, xem xÐt vµ ®¸nh gi¸ cña C¤ng ty

12.1 C«ng ty ph¶i tiÕn hµnh çc cuéc ®¸nh gi¸ an toµn néi bé ®Ó kiÓm tra x¸c nhËn çc ho¹t ®éng an toµn vµ ng¨n ngõa « nhiÔm cã tu©n thñ cña víi hÖ thèng qu¶n lý an toµn hay kh«ng.

12.2 C«ng ty ph¶i ®Þnh kú ®¸nh gi¸ tÝnh hiÖu qu¶ vµ, nÕu cÇn thiÕt, ph¶i xem xÐt hÖ thèng qu¶n lý an toµn cã tu©n thñ çc quy tr×nh ®· ®îc C«ng ty thiÕt lËp hay kh«ng.

12.3 Çc cuéc ®¸nh gi¸ nªu trªn vµ hµnh ®éng kh¾c phôc cÇn thiÕt ph¶i ®îc tiÕn hµnh tu©n thñ çc quy tr×nh ®· lËp thµnh v¨n b¶n.

12.4 Ngêi thùc hiÖn viÖc ®¸nh gi¸ ph¶i ®éc lËp víi lÜnh vùc ®îc ®¸nh gi¸ trõ khi tÇm cì vµ b¶n chÊt cña C«ng ty kh«ng cho phÐp.

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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 VERIFICATION

13 CERTIFICATION AND PERIODICAL VERIFICATION

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 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.

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12.5 KÕt qu¶ cña çc cuéc ®¸nh gi¸ vµ xem xÐt ph¶i ®îc th«ng b¸o cho nh÷ng ngêi chÞu tr¸ch nhiÖm trong lÜnh vùc liªn quan.

12.6 Ngêi chÞu tr¸ch nhiÖm trong lÜnh vùc liªn quan ph¶i tiÕn hµnh nh÷ng hµnh ®éng kh¾c phôc kÞp thêi çc khiÕm khuyÕt ®îc ph¸t hiÖn.

PhÇn b - chøng nhËn vµ kiÓm tra X¸C NHËN

13 chøng nhËn vµ kiÓm tra X¸C NHËN ®Þnh kú

13.1 Tµu ph¶i ®îc khai th¸c bëi mét C«ng ty ®· ®îc cÊp GiÊy chøng nhËn Phï hîp hoÆc mét GiÊy chøng nhËn Phï hîp t¹m thêi tu©n thñ víi môc 14.1, thÝch hîp víi con tµu ®ã.

13.2 Mäi C«ng ty tháa m·n çc yªu cÇu cña Bé luËt nµy sÏ ®îc cÊp mét GiÊy chøng nhËn Phï hîp bëi ChÝnh quyÒn Hµnh chÝnh, mét tæ chøc ®îc ChÝnh quyÒn Hµnh chÝnh c«ng nhËn, hoÆc ChÝnh phñ ký kÕt C«ng íc (theo yªu cÇu cña ChÝnh quyÒn Hµnh chÝnh). Thêi h¹n cña giÊy chøng nhËn ®îc ChÝnh quyÒn Hµnh chÝnh Ên ®Þnh, tuy nhiªn kh«ng kÐo dµi qu¸ n¨m n¨m. GiÊy chøng nhËn nµy ph¶i ®îc xem lµ b»ng chøng chøng tá C«ng ty cã kh¶ n¨ng tu©n thñ víi çc yªu cÇu cña Bé luËt nµy.

13.3 GiÊy chøng nhËn Phï hîp chØ cã gi¸ trÞ ®èi víi nh÷ng lo¹i tµu ®îc chØ râ trªn giÊy chøng nhËn. Lo¹i tµu ®îc x¸c ®Þnh dùa trªn c¬ së ®¸nh gi¸ lÇn ®Çu C«ng ty. Çc lo¹i tµu kh¸c chØ ®îc bæ sung sau khi ®· kiÓm tra x¸c nhËn r»ng C«ng ty cã kh¶ n¨ng tu©n thñ çc yªu cÇu cña Bé luËt ®èi víi nh÷ng lo¹i tµu ®ã. Trong ®iÒu nµy, çc lo¹i tµu lµ lo¹i ®· ®îc ®Þnh nghÜa trong quy ®Þnh IX/1 cña C«ng íc SOLAS 1974 ®· ®îc bæ sung söa ®æi.

13.4 §Ó duy tr× hiÖu lùc cña GiÊy chøng nhËn Phï hîp, hÖ thèng qu¶n lý an toµn ph¶i ®îc kiÓm tra x¸c nhËn hµng n¨m bëi ChÝnh quyÒn Hµnh chÝnh, mét tæ chøc ®îc ChÝnh quyÒn Hµnh chÝnh c«ng nhËn, hoÆc ChÝnh phñ ký kÕt (theo yªu cÇu cña ChÝnh quyÒn Hµnh chÝnh) trong thêi h¹n ba th¸ng tríc hoÆc sau ngµy ®Õn h¹n ®¸nh gi¸ hµng n¨m.

13.5 ChÝnh quyÒn Hµnh chÝnh hoÆc ChÝnh phñ ký kÕt - c¬ quan cÊp giÊy chøng nhËn (theo yªu cÇu cña ChÝnh quyÒn Hµnh chÝnh) - sÏ thu håi giÊy chøng nhËn nÕu viÖc kiÓm tra x¸c nhËn hµng n¨m theo yªu cÇu trong môc 13.4 kh«ng ®îc C«ng ty yªu cÇu hoÆc nÕu cã b»ng chøng vÒ sù kh«ng phï hîp nghiªm träng víi Bé luËt nµy.

13.5.1 TÊt c¶ çc GiÊy chøng nhËn Qu¶n lý an toµn vµ/ hoÆc GiÊy chøng nhËn Qu¶n lý an toµn t¹m thêi liªn quan ph¶i ®îc thu håi nÕu GiÊy chøng nhËn Phï hîp bÞ thu håi.

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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 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.

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 Mangement 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.

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13.6 Mét b¶n sao GiÊy chøng nhËn Phï hîp ph¶i ®îc gi÷ trªn tµu ®Ó khi cã yªu cÇu, thuyÒn trëng cã thÓ tr×nh cho ChÝnh quyÒn Hµnh chÝnh hoÆc ChÝnh phñ ký kÕt (theo yªu cÇu cña ChÝnh quyÒn Hµnh chÝnh) nh»m môc ®Ých kiÓm so¸t theo quy ®Þnh IX/6.2 cña C«ng íc. B¶n sao GiÊy chøng nhËn Phï hîp kh«ng cÇn ph¶i x¸c nhËn hay chøng thùc.

13.7 Mét GiÊy chøng nhËn Qu¶n lý an toµn cã thêi h¹n kh«ng qu¸ n¨m n¨m sÏ ®îc cÊp cho tµu bëi ChÝnh quyÒn Hµnh chÝnh, tæ chøc ®îc ChÝnh quyÒn Hµnh chÝnh c«ng nhËn, hoÆc ChÝnh phñ ký kÕt (theo yªu cÇu cña ChÝnh quyÒn Hµnh chÝnh). GiÊy chøng nhËn Qu¶n lý an toµn ®îc cÊp sau khi ®· kiÓm tra x¸c nhËn r»ng ho¹t ®éng qu¶n lý cña C«ng ty vµ trªn tµu phï hîp víi hÖ thèng qu¶n lý an toµn ®· ®îc phª duyÖt. GiÊy chøng nhËn nµy ph¶i ®îc xem lµ b»ng chøng chøng tá con tµu tu©n thñ víi c¸c yªu cÇu cña Bé luËt nµy.

13.8 §Ó duy tr× hiÖu lùc cña GiÊy chøng nhËn Qu¶n lý an toµn, hÖ thèng qu¶n lý an toµn trªn tµu ph¶i ®îc kiÓm tra x¸c nhËn trung gian Ýt nhÊt mét lÇn bëi ChÝnh quyÒn Hµnh chÝnh, tæ chøc ®îc ChÝnh quyÒn Hµnh chÝnh c«ng nhËn, hoÆc ChÝnh phñ ký kÕt (theo yªu cÇu cña ChÝnh quyÒn Hµnh chÝnh). NÕu chØ cã mét cuéc kiÓm tra x¸c nhËn trung gian ®îc tiÕn hµnh vµ thêi h¹n cña GiÊy chøng nhËn Qu¶n lý an toµn lµ n¨m n¨m th× cuéc kiÓm tra x¸c nhËn trung gian ph¶i ®-îc tiÕn hµnh trong kho¶ng gi÷a c¸c ngµy ®Õn h¹n ®¸nh gi¸ hµng n¨m lÇn thø hai vµ thø ba cña GiÊy chøng nhËn Qu¶n lý an toµn.

13.9 Ngoµi nh÷ng yªu cÇu trong môc 13.5.1, ChÝnh quyÒn Hµnh chÝnh hoÆc ChÝnh phñ ký kÕt - c¬ quan cÊp giÊy chøng nhËn (theo yªu cÇu cña ChÝnh quyÒn Hµnh chÝnh) - sÏ thu håi GiÊy chøng nhËn Qu¶n lý an toµn nÕu viÖc kiÓm tra x¸c nhËn trung gian theo yªu cÇu trong môc 13.8 kh«ng ®îc C«ng ty yªu cÇu hoÆc nÕu cã b»ng chøng vÒ sù kh«ng phï hîp nghiªm träng víi Bé luËt nµy.

13.10 Ngoµi nh÷ng yªu cÇu trong môc 13.2 vµ 13.7, khi hoµn tÊt viÖc ®¸nh gi¸ cÊp míi trong thêi h¹n ba th¸ng tríc ngµy hÕt h¹n cña GiÊy chøng nhËn Phï hîp hoÆc GiÊy chøng nhËn Qu¶n lý an toµn hiÖn hµnh, GiÊy chøng nhËn Phï hîp míi hoÆc GiÊy chøng nhËn Qu¶n lý an toµn míi sÏ cã hiÖu lùc tõ ngµy hoµn tÊt cuéc ®¸nh gi¸ cÊp míi víi thêi h¹n kh«ng qu¸ n¨m n¨m kÓ tõ ngµy hÕt h¹n cña GiÊy chøng nhËn Phï hîp hoÆc GiÊy chøng nhËn Qu¶n lý an toµn hiÖn hµnh.

13.11 NÕu viÖc ®¸nh gi¸ cÊp míi ®îc hoµn tÊt ngoµi ba th¸ng tríc ngµy hÕt h¹n cña GiÊy chøng nhËn Phï hîp hoÆc GiÊy chøng nhËn Qu¶n lý an toµn hiÖn hµnh, GiÊy chøng nhËn Phï hîp míi hoÆc GiÊy chøng nhËn Qu¶n lý an toµn míi sÏ cã hiÖu lùc tõ ngµy hoµn tÊt cuéc ®¸nh gi¸ cÊp míi víi thêi h¹n kh«ng qu¸ n¨m n¨m kÓ tõ ngµy hoµn tÊt cuéc ®¸nh gi¸ cÊp míi.

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14 INTERIM CERTIFICATION

14.1 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;

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14 Chøng nhËn t¹m thêi

14.1 Mét GiÊy chøng nhËn Phï hîp t¹m thêi cã thÓ ®îc cÊp ®Ó t¹o thuËn lîi cho viÖc thùc hiÖn Bé luËt trong thêi gian ®Çu, khi:

.1 mét C«ng ty míi ®îc thµnh lËp; hoÆc

.2 lo¹i tµu míi ®îc bæ sung vµo mét GiÊy chøng nhËn Phï hîp hiÖn hµnh.

sau khi ®· kiÓm tra x¸c nhËn r»ng C«ng ty cã hÖ thèng qu¶n lý an toµn ®¸p øng c¸c môc tiªu trong môc 1.2.3 cña Bé luËt nµy, víi ®iÒu kiÖn C«ng ty chøng minh ®îc nh÷ng kÕ ho¹ch ®Ó thùc hiÖn hÖ thèng qu¶n lý an toµn ®¸p øng ®Çy ®ñ c¸c ®iÒu kiÖn cña Bé luËt nµy trong kho¶ng thêi h¹n hiÖu lùc cña GiÊy chøng nhËn Phï hîp t¹m thêi. GiÊy chøng nhËn Phï hîp nµy cã hiÖu lùc kh«ng qu¸ 12 th¸ng ®îc cÊp bëi ChÝnh quyÒn Hµnh chÝnh, tæ chøc ®îc ChÝnh quyÒn Hµnh chÝnh c«ng nhËn, hoÆc ChÝnh phñ ký kÕt (theo yªu cÇu cña ChÝnh quyÒn Hµnh chÝnh). Mét b¶n sao GiÊy chøng nhËn Phï hîp t¹m thêi ph¶i ®îc gi÷ trªn tµu ®Ó khi cã yªu cÇu, thuyÒn trëng cã thÓ tr×nh cho ChÝnh quyÒn Hµnh chÝnh hoÆc ChÝnh phñ ký kÕt (theo yªu cÇu cña ChÝnh quyÒn Hµnh chÝnh) nh»m môc ®Ých kiÓm so¸t theo quy ®Þnh IX/6.2 cña C«ng íc. B¶n sao GiÊy chøng nhËn Phï hîp kh«ng cÇn ph¶i x¸c nhËn hay chøng thùc.

14.2 GiÊy chøng nhËn Qu¶n lý an toµn t¹m thêi cã thÓ ®îc cÊp:

.1 cho mét tµu míi ®îc ®a vµo sö dông;

.2 khi C«ng ty chÞu tr¸ch nhiÖm khai th¸c mét con tµu míi ®èi víi C«ng ty; hoÆc

.3 khi tµu chuyÓn cê.

GiÊy chøng nhËn Qu¶n lý an toµn nµy cã hiÖu lùc kh«ng qu¸ 6 th¸ng ®îc cÊp bëi ChÝnh quyÒn Hµnh chÝnh, tæ chøc ®îc ChÝnh quyÒn Hµnh chÝnh c«ng nhËn, hoÆc ChÝnh phñ ký kÕt (theo yªu cÇu cña ChÝnh quyÒn Hµnh chÝnh).

14.3 ChÝnh quyÒn Hµnh chÝnh, tæ chøc ®îc ChÝnh quyÒn Hµnh chÝnh c«ng nhËn, hoÆc ChÝnh phñ ký kÕt (theo yªu cÇu cña ChÝnh quyÒn Hµnh chÝnh) cã thÓ, trong trêng hîp ®Æc biÖt, gia h¹n hiÖu lùc GiÊy chøng nhËn Qu¶n lý an toµn t¹m thêi, nhng kh«ng vît qu¸ 6 th¸ng kÓ tõ ngµy hÕt hiÖu lùc cña giÊy chøng nhËn.

14.4 GiÊy chøng nhËn Qu¶n lý an toµn cã thÓ ®îc cÊp sau khi ®· kiÓm tra x¸c nhËn:

.1 GiÊy chøng nhËn Phï hîp, hoÆc GiÊy chøng nhËn Phï hîp t¹m thêi phï hîp víi con tµu ®ã;

27

ISM Code

.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 VERIFICATION

15.1 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 CERTIFICATES

.1 The Document of Compliance, the Safety Management Certificate, the Interim Document of Compliance and the Interim Safety Management Certific ate 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.

.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.

* Refer to the revised Guidelines on implementation of the International Safety Management (ISM) Code by Administrations, adopted by the Organization by resolution A.913(22).

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ISM Code

.2 HÖ thèng qu¶n lý an toµn ®îc C«ng ty ¸p dông trªn con tµu ®ã bao gåm nh÷ng yÕu tè thiÕt yÕu cña Bé luËt nµy vµ ®· ®îc ®¸nh gi¸ khi tiÕn hµnh ®¸nh gi¸ cÊp GiÊy chøng nhËn Phï hîp hoÆc ®· ®îc chøng minh ®Ó cÊp GiÊy chøng nhËn Phï hîp t¹m thêi;

.3 C«ng ty cã kÕ ho¹ch ®¸nh gi¸ tµu trong thêi h¹n ba th¸ng;

.4 thuyÒn trëng vµ çc sü quan trªn tµu ph¶i quen thuéc víi hÖ thèng qu¶n lý an toµn vµ víi kÕ ho¹ch triÓn khai thùc hiÖn hÖ thèng qu¶n lý an toµn;

.5 nh÷ng híng dÉn thiÕt yÕu ph¶i ®îc cung cÊp tríc khi tµu khëi hµnh; vµ

.6 nh÷ng th«ng tin liªn quan ®Õn hÖ thèng qu¶n lý an toµn ph¶i ®îc ®a ra b»ng ng«n ng÷ lµm viÖc hoÆc ng«n ng÷ mµ mäi ngêi trªn tµu ®Òu hiÓu ®îc.

15 kiÓm tra x¸c nhËn

15.1 ViÖc kiÓm tra x¸c nhËn theo yªu cÇu cña çc ®iÒu kho¶n cña Bé luËt nµy ph¶i ®îc tiÕn hµnh tu©n thñ víi çc quy tr×nh ®îc ChÝnh quyÒn Hµnh chÝnh chÊp thuËn, cã lu ý tíi nh÷ng híng dÉn ®îc Tæ chøc hµng h¶i quèc ®Õ ®Ò ra.*

16 MÉu giÊy chøng nhËn

16.1 GiÊy chøng nhËn Phï hîp, GiÊy chøng nhËn Qu¶n lý an toµn, GiÊy chøng nhËn Phï hîp t¹m thêi vµ GiÊy chøng nhËn Qu¶n lý an toµn t¹m thêi ph¶i theo mÉu t¬ng øng víi nh÷ng mÉu trong phô lôc cña Bé luËt nµy. NÕu ng«n ng÷ sö dông kh«ng ph¶i lµ tiÕng Anh hoÆc tiÕng Ph¸p, néi dung trong giÊy chøng nhËn ph¶i bao gåm b¶n dÞch sang mét trong hai ng«n ng÷ nµy.

16.2 Ngoµi nh÷ng yªu cÇu trong môc 13.3, lo¹i tµu ®îc chØ ra trªn GiÊy chøng nhËn Phï hîp vµ GiÊy chøng nhËn Phï hîp t¹m thêi cã thÓ ®îc x¸c nhËn ®Ó ph¶n ¸nh bÊt kú h¹n chÕ nµo trong viÖc khai th¸c çc tµu trong hÖ thèng Qu¶n lý an toµn.

* Tham kh¶o Híng dÉn ®· bæ sung söa ®æi cho çc ChÝnh quyÒn Hµnh chÝnh triÓn khai thùc hiÖn Bé luËt ISM do IMO th«ng qua b»ng nghÞ quyÕt A.913(22).

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Resolution A.913 (22)

Revised Guidelines on implementation of the International Safety Management (ISM)

Code by AdministrationsResolution A.913(22)

INTRODUCTION

The ISM Code

The International Management Code for the Safe Operation of Ships and for Pollution Prevention (International Safety Management (ISM) Code) was adopted by the Organization by resolution A.741(18) and became mandatory by virtue of the entry into force on 1 July 1998 of SOLAS chapter IX on Management for the Safe Operation of Ships. The ISM Code provides an international standard for the safe management and operation of ships and for pollution prevention.

The Maritime Safety Committee, at its seventy-third session, adopted amendments to chapter IX of SOLAS by resolution MSC.99(73), and to sections 1, 7, 13, 14, 15 and 16 of the ISM Code by resolution MSC.104(73). As a result it is necessary to revise the previous version of the Guidelines contained in Assembly resolution A.788(19), which is being superseded by the present Guidelines.

The ISM Code requires that Companies establish safety objectives as described in section 1.2 of the ISM Code, and in addition that the Companies develop, implement and maintain a safety management system which includes functional requirements as listed in section 1.4 of the ISM Code.

The application of the ISM Code should support and encourage the development of a safety culture in shipping. Success factors for the development of a safety culture are, inter alia, commitment, values and beliefs.

Mandatory application of the ISM Code

The appropriate organization of management, ashore and on board, is needed to ensure adequate standards of safety and pollution prevention. A systematic approach to management by those responsible for management of ships is therefore required. The objectives of the mandatory application of the ISM Code are to ensure:

.1 compliance with mandatory rules and regulations related to the safe operation of ships and protection of the environment; and

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Híng dÉn ® ®· îc söa ®æicho çc ChÝnh quyÒn Hµnh chÝnh triÓn khai thùc

hiÖn Bé luËt Qu¶n lý an toµn quèc tÕ (ISM)NghÞ quyÕt A.913(22)

Giíi thiÖu

Bé luËt ISM

Bé luËt Qu¶n lý An toµn Quèc tÕ vÒ Ho¹t ®éng An toµn cña Tµu vµ Ng¨n ngõa ¤ nhiÔm (Bé luËt Qu¶n lý An toµn Quèc tÕ (ISM)) ® ®îc Tæ chøc Hµng h¶i Quèc tÕ th«ng qua trong nghÞ quyÕt A.741(18) vµ sÏ trë thµnh b¾t buéc theo hiÖu lùc cña ch¬ng IX SOLAS vÒ Qu¶n lý Ho¹t ®éng An toµn cña Tµu vµo ngµy 1/7/1998. Bé luËt ISM ®a ra mét tiªu chuÈn quèc tÕ cho qu¶n lý an toµn vµ ho¹t ®éng cña tµu vµ ng¨n ngõa « nhiÔm.

T¹i phiªn häp thø 73, ñy ban An toµn hµng h¶i ®· th«ng qua çc bæ sung söa ®æi ®èi víi ch¬ng IX cña SOLAS b»ng nghÞ quyÕt MSC.99(73), vµ ®èi víi çc quy ®Þnh 1, 7, 13, 14, 15 vµ 16 cña Bé luËt ISM b»ng nghÞ quyÕt MSC.104(73). §iÒu nµy dÉn tíi viÖc ph¶i bæ sung söa ®æi Híng dÉn cho çc ChÝnh quyÒn Hµnh chÝnh triÓn khai thùc hiÖn Bé luËt ISM trong nghÞ quyÕt A.788(19) cña §¹i héi ®ång. Híng dÉn nµy sÏ ®îc thay thÕ b»ng Híng dÉn trong nghÞ quyÕt A.913(73).

Bé luËt ISM yªu cÇu çc C«ng ty thiÕt lËp çc môc tiªu vÒ an toµn nh ®· nªu trong ®iÒu 1.2 cña Bé luËt ISM, vµ thªm vµo ®ã yªu cÇu C«ng ty x©y dùng, thùc hiÖn vµ duy tr× mét hÖ thèng qu¶n lý an toµn bao gåm çc yªu cÇu chøc n¨ng ®· liÖt kª trong ®iÒu 1.4 cña Bé luËt ISM.

ViÖc ¸p dông Bé luËt ISM sÏ hç trî vµ khuyÕn khÝch t¹o nªn v¨n hãa an toµn trong ngµnh hµng h¶i. Çc yÕu tè thµnh c«ng cña viÖc ph¸t triÓn v¨n hãa an toµn th«ng qua sù cam kÕt, tiªu chuÈn vµ lßng tin.

B¾t buéc ¸p dông cña Bé luËt ISM

Tæ chøc qu¶n lý phï hîp trªn bê vµ trªn tµu lµ cÇn thiÕt ®Ó ®¶m b¶o cã çc tiªu chuÈn t¬ng xøng vÒ an toµn vµ ng¨n ngõa « nhiÔm. Do ®ã yªu cÇu ph¶i cã mét ph¬ng ph¸p qu¶n lý mét çch hÖ thèng ®îc thùc hiÖn bëi nh÷ng ngêi chÞu tr¸ch nhiÖm qu¶n lý tµu. Çc môc tiªu ¸p dông b¾t buéc cña Bé luËt ISM ph¶i ®¶m b¶o:

.1 tu©n thñ víi çc qui ®Þnh, qui ph¹m b¾t buéc liªn quan tíi khai th¸c tµu an toµn vµ b¶o vÖ m«i trêng; vµ

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.2 the effective implementation and enforcement thereof by Administrations.

Effective enforcement by Administrations must include verification that the safety management system complies with the requirements as stipulated in the ISM Code, as well as verification of compliance with mandatory rules and regulations.

The mandatory application of the ISM Code should ensure, support and encourage the taking into account of applicable codes, guidelines and standards recommended by the Organization, Administrations, classification societies and maritime industry organizations.

Verification and certification responsibilities

The Administration is responsible for verifying compliance with the requirements of the ISM Code and for issuing Documents of Compliance to Companies and Safety Management Certificates to ships.

Resolutions A.739(18) - Guidelines for the authorization of organizations acting on behalf of the Administration and A.789(19) - Specifications on the survey and certification functions of recognized organizations acting on behalf of the Administration, which have been made mandatory by virtue of SOLAS regulation XI/1, and resolution A.847(20) - Guidelines to assist flag States in the implementation of IMO instruments, are applicable when Administrations authorize organizations to issue Documents of Compliance and Safety Management Certificates on their behalf.

1 SCOPE AND APPLICATION

1.1 Definitions

The terms used in these Revised Guidelines have the same meaning as those given in the ISM Code.

1.2 Scope and application

1.2.1 These Guidelines establish basic principles:

.1 for verifying that the safety management system of a Company responsible for the operation of ships, or the safety management system for the ship or ships controlled by the company, complies with the ISM Code; and.

.2 for the issue and annual verification of the Document of Compliance and for the issue and intermediate verification of the Safety Management Certificate.

1.2.2 These Guidelines are applicable to Administrations with effect as of 1 July 2002.

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.2 çc ChÝnh quyÒn Hµnh chÝnh thùc hiÖn vµ b¾t buéc cã hiÖu qu¶ Bé luËt ISM.

ViÖc b¾t buéc cã hiÖu qu¶ cña ChÝnh quyÒn Hµnh chÝnh ph¶i bao gåm viÖc kiÓm tra x¸c nhËn r»ng hÖ thèng qu¶n lý an toµn phï hîp víi çc yªu cÇu cña Bé luËt ISM còng nh phï hîp víi çc qui ®Þnh vµ qui ph¹m b¾t buéc.

ViÖc ¸p dông b¾t buéc Bé luËt ISM ph¶i ®¶m b¶o, hç trî, khuyÕn khÝch lu t©m tíi bé luËt, híng dÉn, tiªu chuÈn cÇn ph¶i ¸p dông mµ IMO, ChÝnh quyÒn Hµnh chÝnh, çc tæ chøc ph©n cÊp, çc tæ chøc c«ng nghiÖp hµng h¶i ®· khuyÕn nghÞ.

Tr¸ch nhiÖm kiÓm tra x¸c nhËn vµ chøng nhËn

ChÝnh quyÒn Hµnh chÝnh chÞu tr¸ch nhiÖm kiÓm tra x¸c nhËn vÒ sù tu©n thñ víi çc yªu cÇu cña Bé luËt ISM vµ chÞu tr¸ch nhiÖm cÊp GiÊy chøng nhËn Phï hîp (DOC) cho C«ng ty vµ GiÊy chøng nhËn Qu¶n lý An toµn (SMC) cho çc tµu.

NghÞ quyÕt A.739(18)- Híng dÉn cho çc tæ chøc ®îc ñy quyÒn thay mÆt ChÝnh quyÒn Hµnh chÝnh, vµ nghÞ quyÕt A.789(19) - Quy ®Þnh cô thÓ vÒ chøc n¨ng kiÓm tra ®¨ng kiÓm vµ chøng nhËn cña tæ chøc ®îc c«ng nhËn thay mÆt ChÝnh quyÒn Hµnh chÝnh ®· trë thµnh b¾t buéc theo quy ®Þnh XI/1 míi cña SOLAS vµ nghÞ quyÕt A.847(20)- Híng dÉn hç trî cho çc Quèc gia mµ tµu mang cê trong viÖc triÓn khai çc v¨n kiÖn cña IMO cã thÓ ¸p dông khi ChÝnh quyÒn Hµnh chÝnh ñy quyÒn cho çc tæ chøc ®Ó cÊp çc GiÊy chøng nhËn Phï hîp (DOC) vµ çc GiÊy chøng nhËn Qu¶n lý an toµn (SMC) thay mÆt cho ChÝnh quyÒn Hµnh chÝnh.

1 Ph¹m vi vµ ¸p dông

1.1 Çc ®Þnh nghÜa

Çc thuËt ng÷ ®îc sö dông trong híng dÉn ®· ®îc bæ sung söa ®æi nµy lµ çc ®Þnh nghÜa trong Bé luËt ISM.

1.2 Ph¹m vi vµ ¸p dông

1.2.1 Híng dÉn nµy thiÕt lËp çc nguyªn t¾c c¬ b¶n:

.1 ®Ó kiÓm tra x¸c nhËn sù tu©n thñ Bé luËt ISM cña hÖ thèng qu¶n lý an toµn cña C«ng ty chÞu tr¸ch nhiÖm khai th¸c tµu hoÆc hÖ thèng qu¶n lý an toµn cña mét hoÆc nhiÒu tµu chÞu sù kiÓm so¸t cña C«ng ty; vµ

.2 ®Ó cÊp ph¸t/ ®¸nh gi¸ hµng n¨m GiÊy chøng nhËn Phï hîp vµ ®Ó cÊp ph¸t/ kiÓm tra x¸c nhËn trung gian GiÊy chøng nhËn Qu¶n lý an toµn.

1.2.2 ChÝnh quyÒn Hµnh chÝnh cã thÓ ¸p dông Híng dÉn nµy tõ 01/07/2002.

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2 VERIFYING COMPLIANCE WITH THE ISM CODE

2.1 General

2.1.1 To comply with the requirements of the ISM Code, Companies should develop, implement and maintain a safety management system to ensure that the safety and environmental protection policy of the Company is implemented. The Company policy should include the objectives defined by the ISM Code. *

2.1.2 Administrations should verify compliance with the requirements of the ISM Code by determining:

.1 the conformity of the Company's safety management system with the requirements of the ISM Code; and

.2 that the safety management system ensures that the objectives defined in paragraph 1.2.3 of the ISM Code are met.

2.1.3 Determining the conformity or non-conformity of safety management system elements with the requirements specified by the ISM Code may demand that criteria for assessment be developed. Administrations are recommended to limit the development of criteria in the form of prescriptive management system solutions. Criteria for assessment in the form of prescriptive requirements may have the effect that safety management in shipping results in Companies implementing solutions prepared by others, and it may then be difficult for a Company to develop the solutions which best suit that particular Company, that particular operation or that specific ship.

2.1.4 Therefore, Administrations are recommended to ensure that these assessments are based on determining the effectiveness of the safety management system in meeting specified objectives, rather than conformity with detailed requirements in addition to those contained in the ISM Code, so as to reduce the need for developing criteria to facilitate assessment of the Companies' compliance with the Code.

2.2 The ability of the safety management system to meet general safety management objectives

2.2.1 The ISM Code identifies general safety management objectives. These objectives are:

.1 to provide for safe practices in ship operation and a safe working environment;

* The ICS/ISF Guidelines on the application of the International Safety Management Code provide useful guidence on important individual elements of a safety management system and its development by Companies.

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2 ®¸nh gi¸ sù phï hîp víi Bé luËt ISM

2.1 Qui ®Þnh chung

2.1.1 §Ó ®¸p øng çc yªu cÇu cña Bé luËt ISM, C«ng ty ph¶i x©y dùng, thùc hiÖn vµ duy tr× mét hÖ thèng qu¶n lý an toµn®Ó ®¶m b¶o r»ng chÝnh s¸ch an toµn vµ b¶o vÖ m«i trêng cña C«ng ty ®îc thùc hiÖn. ChÝnh s¸ch cña C«ng ty ph¶i bao gåm çc môc tiªu ®· chØ ra trong Bé luËt ISM. *

2.1.2 ChÝnh quyÒn Hµnh chÝnh ph¶i kiÓm tra sù tu©n thñ çc yªu cÇu cña Bé luËt ISM b»ng viÖc x¸c ®Þnh r»ng:

.1 HÖ thèng qu¶n lý an toµn cña C«ng ty tu©n thñ víi çc yªu cÇu cña Bé luËt ISM; vµ

.2 HÖ thèng qu¶n lý an toµn ®ã ®¶m b¶o ®¸p øng çc môc tiªu ®· ®Æt ra trong ®iÒu 1.2.3 cña Bé luËt ISM.

2.1.3 ViÖc x¸c ®Þnh sù tu©n thñ hay kh«ng tu©n thñ cña çc yÕu tè cña hÖ thèng qu¶n lý an toµn víi çc yªu cÇu ®· ®Æt ra trong Bé luËt ISM ®ßi hái ph¶i x©y dùng çc tiªu chuÈn ®¸nh gi¸. Çc ChÝnh quyÒn Hµnh chÝnh ®îc khuyÕn nghÞ h¹n chÕ viÖc thùc hiÖn çc tiªu chuÈn díi h×nh thøc çc gi¶i ph¸p hÖ thèng qu¶n lý theo khu«n mÉu. Çc tiªu chuÈn ®¸nh gi¸ theo h×nh thøc çc yªu cÇu theo khu«n mÉu cã thÔ dÉn tíi viÖc çc C«ng ty, ®ang thùc hiÖn çc gi¶i ph¸p vÒ qu¶n lý an toµn trong vËn t¶i biÓn do bªn ngoµi ®a ra, cã thÓ sÏ gÆp mét sè khã kh¨n khi muèn x©y dùng mét gi¶i ph¸p tèi u cho C«ng ty m×nh, cho tõng ho¹t ®éng hoÆc tõng con tµu cô thÓ.

2.1.4 Do ®ã, ChÝnh phñ nªn ®¶m b¶o r»ng viÖc ®¸nh gi¸ nµy dùa trªn sù x¸c ®Þnh tÝnh hiÖu qu¶ cña hÖ thèng qu¶n lý an toµn trong viÖc ®¸p øng çc môc tiªu ®· ®Æt ra h¬n lµ sù tu©n thñ çc yªu cÇu chi tiÕt kh¸c ngoµi çc yªu cÇu cña Bé luËt ISM ®Ó h¹n chÕ çc tiªu chuÈn, t¹o ®iÒu kiÖn ®¸nh gi¸ sù tu©n thñ cña C«ng ty theo Bé luËt ISM.

2.2 N¨ng lùc cña hÖ thèng qu¶n lý an toµn ®Ó ®¸p øng çc môc tiªu qu¶n lý an toµn chung

2.2.1 Bé luËt ISM chØ ra çc môc tiªu qu¶n lý an toµn chung. Çc môc tiªu ®ã lµ:

.1 ®a ra çc viÖc thùc hµnh an toµn trong ho¹t ®éng cña tµu vµ mét m«i trêng lµm viÖc an toµn;

* Çc Híng dÉn cña ICS/ISF vÒ viÖc ¸p dông Bé luËt ISM ®a ra çc chØ dÉn h÷u Ých vÒ tõng yÕu tè quan träng riªng biÖt cña hÖ thèng qu¶n lý an toµn vµ viÖc x©y dùng hÖ thèng qu¶n lý an toµn cña çc C«ng ty.

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.2 to establish safeguards against all identified risks; and

.3 to continuously improve the safety-management skills of personnel ashore and aboard, including preparing for emergencies related both to safety and to environmental protection.

The verification should support and encourage Companies in achieving these objectives.

2.2.2 These objectives provide clear guidance to Companies for the development of safety management system elements in compliance with the ISM Code. Since, however, the ability of the safety management system to achieve these objectives cannot be determined beyond whether the safety management system complies with the requirements of the ISM Code, they should not form the basis for establishing detailed interpretations to be used for determining conformity or non-conformity with the requirements of the ISM Code.

2.3 The ability of the safety management system to meet specific requirements of safety and pollution prevention

2.3.1 The main criterion which should govern the development of interpretations needed for assessing compliance with the requirements of the ISM Code should be the ability of the safety management system to meet the specific requirements defined by the ISM Code in terms of specific standards of safety and pollution prevention.

The specific standards of safety and protection of the environment specified by the ISM Code are:

.1 compliance with mandatory rules and regulations; and

.2 that applicable codes, guidelines and standards recommended by the Organization, Administrations, classification societies and other maritime industry organizations are taken into account.

2.3.2 All records having the potential to facilitate verification of compliance with the ISM Code should be open to scrutiny during an examination. For this purpose the Administration should ensure that the Company provide auditors with statutory and classification records relevant to the actions taken by the Company to ensure that compliance with mandatory rules and regulations is maintained. In this regard the records may be examined to substantiate their authenticity and veracity.

2.3.3 Some mandatory requirements may not be subject to statutory or classification surveys, such as:

.1 maintaining the condition of ship and equipment between surveys; and

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.2 thiÕt lËp sù b¶o vÖ chèng l¹i mäi nguy c¬ ®· x¸c ®Þnh; vµ

.3 tiÕp tôc hoµn thiÖn çc kü n¨ng qu¶n lý an toµn cña nh÷ng ngêi lµm viÖc trªn bê vµ trªn tµu, bao gåm c¶ viÖc chuÈn bÞ ®èi phã ®èi víi çc sù cè khÈn cÊp liªn quan tíi c¶ an toµn vµ b¶o vÖ m«i tr-êng.

ViÖc ®¸nh gi¸ ph¶i gióp ®ì vµ khuyÕn khÝch çc C«ng ty ®¹t ®îc çc môc tiªu trªn.

2.2.2 Nh÷ng môc tiªu nµy ®a ra híng dÉn râ rµng cho C«ng ty triÓn khai çc yÕu tè cña hÖ thèng qu¶n lý an toµn phï hîp víi Bé luËt ISM. Tuy nhiªn n¨ng lùc cña hÖ thèng qu¶n lý an toµn trong viÖc ®¹t ®îc çc môc tiªu trªn cã thÓ kh«ng x¸c ®Þnh ®îc ngo¹i trõ viÖc x¸c ®Þnh hÖ thèng qu¶n lý an toµn phï hîp víi çc yªu cÇu cña Bé luËt ISM. ChÝnh v× vËy, çc môc tiªu nµy kh«ng ph¶i lµ c¬ së ®Ó thiÕt lËp çc chØ dÉn chi tiÕt nh»m x¸c ®Þnh sù phï hîp hay kh«ng phï hîp víi çc yªu cÇu cña Bé luËt ISM.

2.3 N¨ng lùc cña hÖ thèng qu¶n lý an toµn trong viÖc ®¸p øng çc yªu cÇu ® ®Æt ra vÒ an toµn vµ ng¨n ngõa « nhiÔm·

2.3.1 Çc tiªu chuÈn chñ ®¹o chi phèi viÖc x©y dùng çc chØ dÉn cÇn thiÕt cho viÖc ®¸nh gi¸ sù phï hîp víi çc yªu cÇu cña Bé luËt ISM ph¶i lµ n¨ng lùc cña hÖ thèng qu¶n lý an toµn ®Ó ®¹t ®îc çc yªu cÇu cô thÓ ®· chØ ra trong Bé luËt ISM t¹i çc ®iÒu kho¶n cña çc tiªu chuÈn cô thÓ vÒ an toµn vµ ng¨n ngõa « nhiÔm.

Çc tiªu chuÈn cô thÓ vÒ an toµn vµ b¶o vÖ m«i trêng ®· chØ ra trong Bé luËt ISM ph¶i:

.1 phï hîp víi çc qui ®Þnh vµ qui ph¹m b¾t buéc; vµ

.2 lu t©m tíi viÖc ¸p dông çc bé luËt, híng dÉn, tiªu chuÈn cã thÓ ®-îc ¸p dông ®· ®îc Tæ chøc, ChÝnh quyÒn Hµnh chÝnh, çc tæ chøc ph©n cÊp vµ çc tæ chøc c«ng nghiÖp hµng h¶i kh¸c khuyÕn nghÞ .

2.3.2 TÊt c¶ çc hå s¬ cã kh¶ n¨ng t¹o ®iÒu kiÖn cho viÖc ®¸nh gi¸ sù tu©n thñ víi Bé luËt ISM ph¶i s½n sµng ®Ó xem xÐt trong suèt qu¸ tr×nh kiÓm tra. V× môc ®Ých nµy, ChÝnh quyÒn Hµnh chÝnh ph¶i ®¶m b¶o r»ng çc C«ng ty cung cÊp cho çc ®¸nh gi¸ viªn çc hå s¬ ph©n cÊp vµ theo luËt ®Þnh liªn quan tíi çc ho¹t ®éng do C«ng ty thùc hiÖn ®Ó ®¶m b¶o r»ng sù phï hîp víi çc qui ph¹m, qui ®Þnh b¾t buéc ®îc duy tr×. Çc hå s¬ nµy ph¶i ®îc kiÓm tra ®Ó x¸c minh tÝnh ®óng ®¾n vµ tÝnh x¸c thùc.

2.3.3 Mét sè çc yªu cÇu b¾t buéc cã thÓ kh«ng chÞu sù kiÓm tra ph©n cÊp hoÆc kiÓm tra theo luËt, nh lµ:

.1 viÖc duy tr× t×nh tr¹ng cña con tµu vµ trang thiÕt bÞ gi÷a çc lÇn kiÓm tra ®¨ng kiÓm; vµ

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.2 certain operational requirements.

Specific arrangements may be required to ensure compliance and to provide for the objective evidence needed for verification in these cases, such as:

.1 documented procedures and instructions; and

.2 documentation of the verification carried out by senior officers of day-to-day operation when relevant to ensure compliance

2.3.4 The verification of compliance with mandatory rules and regulations, which is part of the ISM Code certification, neither duplicates nor substitutes surveys for other maritime certificates. The verification of compliance with the ISM Code does not relieve the Company, the master or any other entity or person involved in the management or operation of the ship of their responsibilities.

2.3.5 Administrations should ensure that the Company has:.1 taken into account the recommendations, as referred to in 1.2.3.2

of the ISM Code, when establishing the safety management system; and

.2 developed procedures to ensure that these recommendations are implemented on shore and on board.

2.3.6 Within a safety management system, implementation of codes, guidelines and standards recommended by the Organization, Administrations, classification societies and other maritime industry organizations does not make these recommendations mandatory under the ISM Code. Nevertheless auditors should encourage companies to adopt these recommendations whenever applicable to the Company.

3 THE CERTIFICATION PROCESS

3.1 Certification activities

3.1.1 The certification process relevant to a Document of Compliance for a Company and a Safety Management Certificate to a ship will normally involve the following steps:

.1 initial verification;

.2 annual or intermediate verification;

.3 renewal verification; and

.4 additional verification.

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.2 mét sè yªu cÇu ho¹t ®éng.

Mét sè yªu cÇu cô thÓ cÇn ph¶i cã ®Ó ®¶m b¶o sù tu©n thñ vµ ®Ó cung cÊp çc b»ng chøng x¸c thùc cÇn thiÕt cho viÖc ®¸nh gi¸ trong nh÷ng trêng hîp nµy, nh lµ:

.1 çc quy tr×nh vµ çc híng dÉn b»ng v¨n b¶n; vµ

.2 çc tµi liÖu chøng minh r»ng ngêi cã tr¸ch nhiÖm ®· thùc hiÖn viÖc ®¸nh gi¸ ®Ó ®¶m b¶o sù phï hîp trong çc ho¹t ®éng thêng lÖ liªn quan.

2.3.4 §¸nh gi¸ viÖc tu©n thñ çc qui ph¹m vµ çc qui ®Þnh b¾t buéc lµ mét phÇn cña viÖc chøng nhËn theo Bé luËt ISM nhng kh«ng gièng hoÆc kh«ng thay thÕ çc cuéc kiÓm tra cÊp giÊy chøng nhËn hµng h¶i kh¸c. §¸nh gi¸ sù phï hîp víi Bé luËt ISM kh«ng lµm gi¶m tr¸ch nhiÖm cña C«ng ty, thuyÒn trëng hoÆc bÊt kú mét thùc thÓ hay mét ç nh©n nµo kh¸c cã liªn quan ®Õn vÊn ®Ò qu¶n lý hoÆc khai th¸c tµu.

2.3.5 ChÝnh quyÒn Hµnh chÝnh ph¶i ®¶m b¶o r»ng C«ng ty ®·:

.1 lu t©m tíi çc khuyÕn nghÞ, nh ®¸ ®a ra trong môc 1.2.3.2 cña Bé luËt ISM, khi x©y dùng hÖ thèng qu¶n lý an toµn; vµ

.2 x©y dùng çc quy tr×nh ®Ó ®¶m b¶o r»ng çc khuyÕn nghÞ nµy ®îc thùc hiÖn c¶ trªn bê vµ díi tµu .

2.3.6 Trong mét hÖ thèng qu¶n lý an toµn, viÖc thùc hiÖn çc bé luËt, híng dÉn vµ çc tiªu chuÈn ®· ®îc khuyÕn nghÞ bëi Tæ chøc, ChÝnh quyÒn Hµnh chÝnh, çc tæ chøc ph©n cÊp vµ çc tæ chøc c«ng nghiÖp hµng h¶i kh¸c kh«ng ph¶i lµ quy ®Þnh b¾t buéc cña Bé luËt ISM. Tuy nhiªn çc ®¸nh gi¸ viªn ph¶i khuyÕn khÝch çc C«ng ty chÊp nhËn vµ thùc hiÖn çc khuyÕn nghÞ ®ã.

3 Qu¸ tr×nh chøng nhËn

3.1 Ho¹t ®éng chøng nhËn

Qu¸ tr×nh chøng nhËn ®Ó cÊp GiÊy chøng nhËn Phï hîp cho mét C«ng ty vµ cÊp GiÊy chøng nhËn Qu¶n lý an toµn cho mét tµu th«ng thêng theo tr×nh tù sau:

.1 §¸nh gi¸ lÇn ®Çu;

.2 §¸nh gÝa hµng n¨m hoÆc trung gian;

.3 §¸nh gi¸ cÊp míi; vµ

.4 §¸nh gi¸ bæ sung.

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These verifications are carried out at the request of the Company to the Administration, or to the organization recognized by the Administration to perform certification functions under the ISM Code, or at the request of the Administration by another Contracting Government to the Convention.

The verifications will include an audit of the safety management system.

3.2 Initial verification

3.2.1 The Company should apply for ISM Code certification to the Administration.

3.2.2 An assessment of the shore side management system undertaken by the Administration would necessitate assessment of the offices where such management is carried out and possibly of other locations, depending on the Company's organization and the functions of the various locations.

3.2.3 On satisfactory completion of the assessment of the shore side safety management system, arrangements/planning may commence for the assessment of the Company's ships.

3.2.4 On satisfactory completion of the assessment, a Document of Compliance will be issued to the Company, copies of which should be forwarded to each shore side premises and each ship in the Company's fleet. As each ship is assessed and issued with a Safety Management Certificate, a copy of it should also be forwarded to the Company's head office.

3.2.5 In cases where certificates are issued by a recognized organization, copies of all certificates should also be sent to the Administration.

3.2.6 The safety management audit for the Company and for a ship will involve the same basic steps. The purpose is to verify that a Company or a ship complies with the requirements of the ISM Code. The audits include:

.1 the conformity of the Company's safety management system with the requirements of the ISM Code, including objective evidence demonstrating that the Company's safety management system has been in operation for at least three months and that a safety management system has been in operation on board at least one ship of each type operated by the Company for at least three months; and

.2 that the safety management system ensures that the objectives defined in paragraph 1.2.3 of the ISM Code are met. This includes verification that the Document of Compliance for the Company responsible for the operation of the ship is applicable to that particular type of ship, and assessment of the shipboard safety management system to verify that it complies with the

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ViÖc kiÓm tra x¸c nhËn ®ã ®îc tiÕn hµnh theo ®Ò nghÞ cña C«ng ty tíi ChÝnh quyÒn Hµnh chÝnh, hoÆc tíi tæ chøc ®îc ChÝnh quyÒn Hµnh chÝnh c«ng nhËn ®Ó thùc hiÖn chøc n¨ng chøng nhËn theo Bé luËt ISM, hoÆc ChÝnh phñ tham gia c«ng íc kh¸c sÏ thùc hiÖn chøc n¨ng chøng nhËn theo ®Ò nghÞ cña ChÝnh quyÒn Hµnh chÝnh.

ViÖc kiÓm tra x¸c nhËn nµy ph¶i bao gåm mét cuéc ®¸nh gi¸ hÖ thèng qu¶n lý an toµn.

3.2 §¸nh gi¸ ban ®Çu

3.2.1 C«ng ty ph¶i göi ®¬n xin chøng nhËn theo Bé luËt ISM cho ChÝnh quyÒn Hµnh chÝnh.

3.2.2 Mét cuéc ®¸nh gi¸ hÖ thèng qu¶n lý trªn bê ®îc ChÝnh quyÒn Hµnh chÝnh thùc hiÖn ph¶i lµ sù ®¸nh gi¸ t¹i çc bé phËn mµ t¹i ®ã hÖ thèng qu¶n lý ®ã ®îc thùc hiÖn vµ cã thÓ t¹i çc ®¬n vÞ kh¸c tïy thuéc vµo tæ chøc cña C«ng ty vµ vµo chøc n¨ng cña çc ®¬n vÞ kh¸c nhau.

3.2.3 Khi hoµn tÊt cuéc ®¸nh gi¸ mét hÖ thèng qu¶n lý an toµn trªn bê, cã thÓ b¾t ®Çu çc c«ng viÖc chuÈn bÞ/ lËp kÕ ho¹ch ®¸nh gi¸ çc tµu cña C«ng ty.

3.2.4 Khi viÖc ®¸nh gi¸ ®· hoµn tÊt, mét GiÊy chøng nhËn Phï hîp sÏ ®îc cÊp cho C«ng ty, çc b¶n sao cña GiÊy chøng nhËn Phï hîp sÏ ®îc göi tíi tõng phßng/ ban trªn bê vµ tõng tµu trong ®éi tµu cña C«ng ty. Khi mét tµu ®· ®îc ®¸nh gi¸ vµ ®îc cÊp mét GiÊy chøng nhËn Qu¶n lý an toµn, mét b¶n sao cña GiÊy chøng nhËn Qu¶n lý an toµn còng ph¶i ®îc göi tíi trô së chÝnh cña C«ng ty.

3.2.5 Trong trêng hîp çc giÊy chøng nhËn ®îc cÊp bëi mét tæ chøc ®îc c«ng nhËn, b¶n sao cña tÊt c¶ çc giÊy chøng nhËn nµy còng ph¶i ®îc göi cho ChÝnh quyÒn Hµnh chÝnh.

3.2.6 §¸nh gi¸ qu¶n lý an toµn ®èi víi C«ng ty vµ tµu sÏ theo çc bíc c¬ b¶n gièng nhau. Môc ®Ých lµ ®Ó kiÓm tra x¸c nhËn r»ng C«ng ty hoÆc tµu tu©n thñ víi çc yªu cÇu cña Bé luËt ISM. ViÖc ®¸nh gi¸ bao gåm:

.1 sù tu©n thñ cña hÖ thèng qu¶n lý an toµn cña C«ng ty víi çc yªu cÇu cña Bé luËt ISM, bao gåm çc b»ng chøng x¸c thùc chøng minh r»ng hÖ thèng qu¶n lý an toµn cña C«ng ty ®· ®îc thùc hiÖn tèi thiÓu lµ ba th¸ng vµ mét hÖ thèng qu¶n lý an toµn ®· ®îc thùc hiÖn tèi thiÓu lµ ba th¸ng trªn tèi thiÓu mét tµu ®èi víi mçi lo¹i tµu cña C«ng ty

.2 HÖ thèng qu¶n lý an toµn ph¶i ®¶m b¶o r»ng çc môc tiªu ®· nªu trong ®iÒu 1.2.3 cña Bé luËt ISM ®îc tháa m·n. §iÒu nµy bao gåm viÖc kiÓm tra x¸c nhËn r»ng GiÊy chøng nhËn Phï hîp cña C«ng ty chÞu tr¸ch nhiÖm qu¶n lý tµu lµ thÝch hîp ®èi víi lo¹i tµu cô thÓ ®ã, vµ ®¸nh gi¸ hÖ thèng qu¶n lý an toµn cña tµu ®Ó kiÓm tra x¸c nhËn vÒ sù tu©n thñ cña hÖ thèng qu¶n lý an toµn víi

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requirements of the ISM Code, and that it is implemented. Objective evidence demonstrating that the Company's safety management system has been functioning effectively for at least three months on board the ship should be available, including, inter alia, records from the internal audit performed by the Company.

3.3 Annual verification of Document of Compliance

3.3.1 Annual safety management audits are to be carried out to maintain the validity of the Document of Compliance, and should include examining and verifying the correctness of the statutory and classification records presented for at least one ship of each type to which the Document of Compliance applies. The purpose of these audits is to verify the effective functioning of the safety management system, and that any modifications made the Safety Management System comply with the requirements of the ISM Code.

3.3.2 Annual verification is to be carried out within three months before and after each anniversary date of the Document of Compliance. A schedule not exceeding three months is to be agreed for completion of the necessary corrective actions.

3.3.3 Where the Company has more than one shore side premises, each of which may not have been visited at the initial assessment, the annual assessments should endeavour to ensure that all sites are visited during the period of validity of the Document of Compliance.

3.4 Intermediate verification of Safety Management Certificates

3.4.1 Intermediate safety management audits should be carried out to maintain the validity of the Safety Management Certificate. The purpose of these audits is to verify the effective functioning of the safety management system and that any modifications made to the safety management system comply with the requirements of the ISM Code. In certain cases, particularly during the initial period of operation under the safety management system, the Administration may find it necessary to increase the frequency of the intermediate verification. Additionally, the nature of non-conformities may also provide a basis for increasing the frequency of intermediate verifications.

3.4.2 If only one intermediate verification is to be carried out, it should take place between the second and third anniversary date of the issue of the Safety Management Certificate.

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çc yªu cÇu cña Bé luËt ISM vµ hÖ thèng qu¶n lý an toµn ®· ®îc thùc hiÖn. Ph¶i cã s½n çc b»ng chøng x¸c thùc chøng minh hÖ thèng qu¶n lý an toµn cña C«ng ty ®· thùc hiÖn chøc n¨ng mét çch cã hiÖu lùc trªn tµu tèi thiÓu lµ ba th¸ng, bao gåm tèi thiÓu çc hå s¬ ®¸nh gi¸ néi bé do C«ng ty thùc hiÖn.

3.3 KiÓm tra x¸c nhËn hµng n¨m GiÊy chøng nhËn Phï hîp

3.3.1 §¸nh gi¸ qu¶n lý an toµn hµng n¨m ph¶i ®îc thùc hiÖn ®Ó duy tr× hiÖu lùc cña GiÊy chøng nhËn Phï hîp vµ ph¶i bao gåm viÖc kiÓm tra vµ x¸c nhËn tÝnh chÝnh x¸c cña çc hå s¬ theo luËt ®Þnh vµ ph©n cÊp ®îc tr×nh ra tèi thiÓu lµ mét tµu ®èi víi mçi lo¹i tµu ®îc ghi trong GiÊy chøng nhËn Phï hîp. Môc ®Ých cña çc cuéc ®¸nh gi¸ nµy lµ ®Ó x¸c ®Þnh viÖc thùc hiÖn cã hiÖu qu¶ hÖ thèng qu¶n lý an toµn, vµ mäi söa ®æi ®èi víi hÖ thèng qu¶n lý an toµn ph¶i phï hîp víi çc yªu cÇu cña Bé luËt ISM.

3.3.2 §¸nh gi¸ hµng n¨m ph¶i ®îc thùc hiÖn trong vßng 3 th¸ng tríc hoÆc sau mçi ngµy Ên ®Þnh kiÓm tra cña GiÊy chøng nhËn Phï hîp. Thêi h¹n hoµn thµnh çc ho¹t ®éng kh¾c phôc cÇn thiÕt kh«ng qu¸ 3 th¸ng ph¶i ®îc tháa thuËn tríc.

3.3.3 NÕu mét C«ng ty cã nhiÒu trô së, trong lÇn ®¸nh gi¸ lÇn ®Çu kh«ng cÇn thiÕt ph¶i ®¸nh gi¸ tÊt c¶ çc trô së ®ã, nhng ph¶i ®¶m b¶o r»ng tÊt c¶ çc trô së ®Òu ®îc ®¸nh gi¸ trong thêi h¹n hiÖu lùc cña GiÊy chøng nhËn Phï hîp.

3.4 §¸nh gi¸ trung gian hÖ thèng qu¶n lý an toµn

3.4.1 §¸nh gi¸ trung gian hÖ thèng qu¶n lý an toµn ph¶i ®îc thùc hiÖn ®Ó duy tr× hiÖu lùc cña GiÊy chøng nhËn Qu¶n lý an toµn. Môc ®Ých cña çc cuéc ®¸nh gi¸ nµy lµ nh»m x¸c ®Þnh viÖc thùc hiÖn cã hiÖu qu¶ hÖ thèng qu¶n lý an toµn, vµ mäi söa ®æi ®èi víi hÖ thèng qu¶n lý an toµn ph¶i phï hîp víi çc yªu cÇu cña Bé luËt ISM. Trong trêng hîp cô thÓ nµo ®ã, ®Æc biÖt lµ trong giai ®o¹n ®Çu thùc hiÖn hÖ thèng qu¶n lý an toµn, ChÝnh quyÒn Hµnh chÝnh cã thÓ t¨ng cêng sè lÇn ®¸nh gi¸ trung gian. Ngoµi ra, b¶n chÊt cña çc sù kh«ng phï hîp còng cã thÓ lµ c¬ së cho viÖc t¨ng cêng sè lÇn ®¸nh gi¸ trung gian.

3.4.2 NÕu chØ cã mét cuéc kiÓm tra trung gian th× cuéc ®¸nh gi¸ ®ã ph¶i ®îc thùc hiÖn trong kho¶ng thêi gian gi÷a çc ngµy Ên ®Þnh kiÓm tra lÇn thø 2 vµ lÇn thø 3 (tÝnh theo ngµy cÊp) cña GiÊy chøng nhËn Qu¶n lý an toµn.

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3.5 Renewal verification

Renewal verifications are to be performed before the validity of the Document of Compliance orthe Safety Management Certificate expires. The renewal verification will address all the elements of the safety management system and the activities to which the requirements of the ISM Code apply. Renewal verification may be carried out from six months before the date of expiry of the Document of Compliance or the Safety Management Certificate, and should be completed before their date of expiry.

3.6 Safety management audits

The procedure for safety management audits outlined in the following paragraphs includes all steps relevant for initial verification. Safety management audits for annual verification and renewal verification should be based on the same principles even if their scope may be different.

3.7 Application for audit

3.7.1 The Company should submit a request for audit to the Administration or to the organization recognized by the Administration for issuing a Document of Compliance or a Safety Management Certificate on behalf of the Administration.

3.7.2 The Administration or the recognized organization should then nominate the lead auditor and, if relevant, the audit team.

3.8 Preliminary review

As a basis for planning the audit, the auditor should review the safety management manual to determine the adequacy of the safety management system in meeting the requirements of the ISM Code. If this review reveals that the system is not adequate, the audit will have to be delayed until the Company undertakes corrective action.

3.9 Preparing the audit

3.9.1 The nominated lead auditor should liaise with the Company and produce an audit plan.

3.9.2 The auditor should provide the working documents which are to govern the execution of the audit to facilitate the assessments, investigations and examinations in accordance with the standard procedures, instructions and forms which have been established to ensure consistent auditing practices.

3.9.3 The audit team should be able to communicate effectively with auditees.

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3.5 §¸nh gi¸ cÊp míi

ViÖc ®¸nh gi¸ cÊp míi ph¶i ®îc thùc hiÖn tríc khi GiÊy chøng nhËn Phï hîp vµ GiÊy chøng nhËn Qu¶n lý an toµn mÊt hiÖu lùc. ViÖc ®¸nh gi¸ cÊp míi sÏ nh»m vµo tÊt c¶ çc yÕu tè cña hÖ thèng qu¶n lý an toµn vµ çc ho¹t ®éng mµ Bé luËt ISM yªu cÇu. §¸nh gi¸ cÊp míi cã thÓ ®îc thùc hiÖn tõ 6 th¸ng tríc ngµy mÊt hiÖu lùc cña GiÊy chøng nhËn Phï hîp hoÆc GiÊy chøng nhËn Qu¶n lý an toµn vµ ph¶i ®îc hoµn thµnh tríc ngµy mÊt hiÖu lùc cña çc GiÊy chøng nhËn ®ã.

3.6 §¸nh gi¸ qu¶n lý an toµn

Quy tr×nh ®¸nh gi¸ qu¶n lý an toµn ®îc ®a ra sau ®©y bao gåm tÊt c¶ çc bíc liªn quan tíi ®¸nh gi¸ lÇn ®Çu. §¸nh gi¸ qu¶n lý an toµn ®èi víi viÖc kiÓm tra x¸c nhËn hµng n¨m vµ cÊp míi ph¶i dùa trªn cïng mét nguyªn lý thËm chÝ ph¹m vi cña chóng cã thÓ kh¸c nhau.

3.7 §¬n xin ®¸nh gi¸

3.7.1 C«ng ty ph¶i ®Ö tr×nh çc ®Ò nghÞ ®¸nh gi¸ tíi ChÝnh quyÒn Hµnh chÝnh hoÆc tæ chøc ®îc ChÝnh quyÒn Hµnh chÝnh c«ng nhËn ®Ó cÊp GiÊy chøng nhËn Phï hîp hoÆc GiÊy chøng nhËn Qu¶n lý an toµn thay mÆt ChÝnh quyÒn Hµnh chÝnh.

3.7.2 Sau ®ã ChÝnh quyÒn Hµnh chÝnh hoÆc tæ chøc ®îc c«ng nhËn ph¶i chØ ®Þnh ®éi trëng ®éi ®¸nh gi¸, nÕu cÇn thiÕt th× lËp ®éi ®¸nh gi¸.

3.8 Xem xÐt ban ®Çu

§Ó lµm c¬ së cho viÖc lËp kÕ ho¹ch ®¸nh gi¸, chuyªn gia ®¸nh gi¸ ph¶i xem xÐt Sæ tay Qu¶n lý an toµn ®Ó x¸c ®Þnh tÝnh ®Çy ®ñ cña hÖ thèng qu¶n lý an toµn trong viÖc ®¸p øng çc yªu cÇu cña Bé luËt ISM. NÕu viÖc xem xÐt nµy ph¸t hiÖn r»ng hÖ thèng nµy kh«ng ®¸p øng mét çch ®Çy ®ñ th× cuéc ®¸nh gi¸ ph¶i bÞ ho·n l¹i ®Õn khi C«ng ty cam kÕt sÏ thùc hiÖn çc ho¹t ®éng kh¾c phôc.

3.9 ChuÈn bÞ c«ng viÖc ®¸nh gi¸

3.9.1 §éi trëng ®éi ®¸nh gi¸ ®· ®îc bæ nhiÖm sÏ liªn hÖ víi C«ng ty vµ lËp kÕ ho¹ch ®¸nh gi¸.

3.9.2 §¸nh gi¸ viªn ph¶i ®a ra çc tµi liÖu lµm viÖc chi phèi ®Õn viÖc thùc hiÖn ®¸nh gi¸ ®Ó t¹o ®iÒu kiÖn thuËn lîi cho qu¸ tr×nh ®¸nh gi¸, ®iÒu tra vµ kiÓm tra phï hîp víi çc quy tr×nh, híng dÉn, hå s¬ ®¸nh gi¸ mÉu. çc tµi liÖu mÉu nµy ®îc thiÕt lËp ®Ó ®¶m b¶o tÝnh nhÊt qu¸n trong çc ho¹t ®éng ®¸nh gi¸.

3.9.3 §éi ®¸nh gi¸ ph¶i cã kh¶ n¨ng liªn l¹c mét çch hiÖu qu¶ víi ®¬n vÞ ®-îc ®¸nh gi¸.

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3.10 Executing the audit

3.10.1 The audit should start with an opening meeting in order to introduce the audit team to the Company's senior management, summarize the methods for conducting the audit, confirm that all agreed facilities are available, confirm time and date for a closing meeting and clarify possible unclear details relevant to the audit.

3.10.2 The audit team should assess the safety management system on the basis of the documentation presented by the Company and objective evidence as to its effective implementation.

3.10.3 Evidence should be collected through interviews and examination of documents. Observation of activities and conditions may also be included when necessary to determine the effectiveness of the safety management system in meeting the specific standards of safety and protection of the environment required by the ISM Code.

3.10.4 Audit observations should be documented. After activities have been audited, the audit team should review their observations to determine which are to be reported as non-conformities. Non-conformities should be reported in terms of the general and specific provisions of the ISM Code.

3.10.5 At the end of the audit, prior to preparing the audit report, the audit team should hold a meeting with the senior management of the Company and those responsible for the functions concerned. The purpose is to present the observations in such a way as to ensure that the results of the audit are clearly understood.

3.11 Audit report

3.11.1 The audit report should be prepared under the direction of the lead auditor, who is responsible for its accuracy and completeness.

3.11.2 The audit report should include the audit plan, identification of audit team members, dates and identification of the Company, observations on any non-conformities and observations on the effectiveness of the safety management system in meeting the specified objectives.

3.11.3 The Company should receive a copy of the audit report. The Company should be advised to provide a copy of the shipboard audit reports to the ship.

3.12 Corrective action follow-up

3.12.1 The Company is responsible for determining and initiating the corrective action needed to correct a non-conformity or to correct the

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3.10 Thùc hiÖn viÖc ®¸nh gi¸

3.10.1 Cuéc ®¸nh gi¸ ph¶i b¾t ®Çu b»ng cuéc häp më ®Çu ®Ó giíi thiÖu ®éi ®¸nh gi¸ víi nh÷ng çn bé l·nh ®¹o cña C«ng ty, tãm t¾t çc ph¬ng ph¸p chØ ®¹o viÖc ®¸nh gi¸, x¸c ®Þnh r»ng cã ®ñ c¶ çc ®iÒu kiÖn ®· tháa thuËn, x¸c ®Þnh vÒ thêi gian vµ ngµy häp kÕt thóc vµ lµm s¸ng tá nh÷ng chi tiÕt cha râ rµng liªn quan ®Õn c«ng viÖc ®¸nh gi¸.

3.10.2 §éi ®¸nh gi¸ sÏ ®¸nh gi¸ hÖ thèng qu¶n lý an toµn dùa trªn c¬ së lµ çc tµi liÖu dÉn chøng ®îc C«ng ty ®a ra vµ dùa vµo çc b»ng chøng x¸c thùc vÒ viÖc thùc hiÖn cã hiÖu qu¶ hÖ thèng qu¶n lý an toµn.

3.10.3 B»ng chøng sÏ ®îc thu thËp th«ng qua pháng vÊn vµ xem xÐt tµi liÖu. Khi cÇn x¸c ®Þnh tÝnh hiÖu qu¶ cña hÖ thèng qu¶n lý an toµn trong viÖc ®¸p øng çc tiªu chuÈn ®· chØ râ vÒ an toµn vµ b¶o vÖ m«i trêng ®îc nªu trong Bé luËt ISM, viÖc thu thËp b»ng chøng cã thÓ bao gåm c¶ viÖc quan s¸t çc ho¹t ®éng vµ t×nh tr¹ng thùc tÕ.

3.10.4 Çc ph¸t hiÖn khi ®¸nh gi¸ ph¶i ®îc lËp thµnh v¨n b¶n. Sau khi çc ho¹t ®éng ®· ®îc ®¸nh gi¸, ®éi ®¸nh gi¸ ph¶i xem xÐt l¹i çc ph¸t hiÖn ®Ó quyÕt ®Þnh xem ph¸t hiÖn nµo ph¶i ®îc b¸o ço lµ sù kh«ng phï hîp. Sù kh«ng phï hîp ph¶i ®îc b¸o ço theo çc ®iÒu kho¶n chung vµ cô thÓ cña Bé luËt ISM.

3.10.5 Khi kÕt thóc cuéc ®¸nh gi¸, tríc khi chuÈn bÞ b¸o ço ®¸nh gi¸, ®éi ®¸nh gi¸ ph¶i tæ chøc mét cuéc häp víi çc çn bé l·nh ®¹o C«ng ty vµ nh÷ng ngêi chÞu tr¸ch nhiÖm ë çc bé phËn cã liªn quan. Môc ®Ých cña cuéc häp nµy lµ ®Ó ®a ra çc ph¸t hiÖn ®Ó ®¶m b¶o r»ng kÕt qu¶ cña cuéc ®¸nh gi¸ ®îc hiÓu râ rµng.

3.11 B¸o ço ®¸nh gi¸

3.11.1 §éi trëng ®éi ®¸nh gi¸ ph¶i chØ ®¹o viÖc chuÈn bÞ b¸o ço ®¸nh gi¸. §éi trëng ®éi ®¸nh gi¸ ph¶i chÞu tr¸ch nhiÖm vÒ sù chÝnh x¸c vµ hoµn chØnh cña b¸o ço ®¸nh gi¸.

3.11.2 B¶n b¸o ço ®¸nh gi¸ ph¶i bao gåm kÕ ho¹ch ®¸nh gi¸, x¸c ®Þnh thµnh viªn cña ®éi ®¸nh gi¸, x¸c ®Þnh thêi gian ®¸nh gi¸, nhËn biÕt vÒ C«ng ty, çc b»ng chøng vÒ sù kh«ng phï hîp vµ vÒ tÝnh hiÖu qu¶ cña hÖ thèng qu¶n lý an toµn trong viÖc ®¸p øng çc môc tiªu ®· chØ ra.

3.11.3 C«ng ty ph¶i nhËn ®îc mét b¶n sao b¸o ço ®¸nh gi¸ vµ ph¶i ®îc yªu cÇu göi mét b¶n sao b¸o ço ®¸nh gi¸ díi tµu cho tµu.

3.12 Çc hµnh ®éng kh¾c phôc sau ®¸nh gi¸

3.12.1 C«ng ty chÞu tr¸ch nhiÖm x¸c ®Þnh vµ khëi xíng thùc hiÖn çc hµnh ®éng kh¾c phôc cÇn thiÕt ®Ó kh¾c phôc sù kh«ng phï hîp hoÆc kh¾c phôc

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cause of the non-conformity. Failure to correct non-conformities with specific requirements of the ISM Code may affect the validity of the Document of Compliance and related Safety Management Certificates.

3.12.2 Corrective actions and possible subsequent follow-up audits should be completed within the time period agreed. The Company should apply for the follow-up audits.

3.13 Company responsibilities pertaining to safety management audits

3.13.1 The verification of compliance with the requirements of the ISM Code does not relieve the Company, management, officers or seafarers of their obligations as to compliance with national and international legislation related to safety and protection of the environment.

3.13.2 The Company is responsible for:

.1 informing relevant employees about the objectives and scope of the ISM Code certification;

.2 appointing responsible members of staff to accompany members of the team performing the certification;

.3 providing the resources needed by those performing the certification to ensure an effective and efficient verification process;

.4 providing access and evidential material as requested by those performing the certification; and

.5 co-operating with the verification team to permit the certification objectives to be achieved.

3.14 Responsibilities of the organization performing the ISM Code certification

The organization performing the ISM Code certification is responsible for ensuring that the certification process is performed according to the ISM Code and these Guidelines. This includes management control of all aspects of the certification according to the appendix to these Guidelines.

3.15 Responsibilities of the verification team

3.15.1 Whether the verifications involved with certification are performed by a team or not, one person should be in charge of the verification. The leader should be given the authority to make final decisions regarding the conduct of the verification and any observations. His responsibilities should include:

.1 preparation of a plan for the verification; and

.2 submission of the report of the verification.

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çc nguyªn nh©n cña sù kh«ng phï hîp. NÕu kh«ng thùc hiÖn ®îc çc hµnh ®éng kh¾c phôc sù kh«ng phï hîp víi theo çc yªu cÇu cô thÓ cña Bé luËt ISM th× cã thÓ cã ¶nh hëng tíi hiÖu lùc cña GiÊy chøng nhËn Phï hîp vµ çc GiÊy chøng nhËn Qu¶n lý an toµn liªn quan

3.12.2 Çc hµnh ®éng kh¾c phôc vµ çc cuéc ®¸nh gi¸ tiÕp theo sau ®ã ph¶i ®îc hoµn thµnh trong kho¶ng thêi gian tháa thuËn. C«ng ty ph¶i chÞu çc cuéc ®¸nh gi¸ tiÕp theo.

3.13 Tr¸ch nhiÖm cña C«ng ty liªn quan tíi viÖc ®¸nh gi¸ qu¶n lý an toµn

3.13.1 ViÖc kiÓm tra x¸c nhËn vÒ sù tu©n thñ víi çc yªu cÇu cña Bé luËt ISM kh«ng lµm gi¶m bít nghÜa vô cña C«ng ty, çc nhµ qu¶n lý, çc sü quan hoÆc çc thuyÒn viªn ®èi víi viÖc tu©n thñ luËt ph¸p quèc gia vµ quèc tÕ liªn quan tíi an toµn vµ b¶o vÖ m«i trêng.

3.13.2 C«ng ty ph¶i chÞu tr¸ch nhiÖm:

.1 th«ng b¸o cho çc nh©n viªn liªn quan vÒ môc tiªu vµ ph¹m vi cña viÖc chøng nhËn theo Bé luËt ISM;

.2 cö çc çn bé cã tr¸ch nhiÖm ®i kÌm víi çc thµnh viªn cña ®éi ®¸nh gi¸;

.3 cung cÊp çc nguån lùc cÇn thiÕt cho ®éi ®¸nh gi¸ ®Ó ®¶m b¶o qu¸ tr×nh kiÓm tra x¸c nhËn cã hiÖu lùc vµ ®¹t hiÖu qu¶;

.4 cho phÐp ®¸nh gi¸ viªn tiÕp cËn ®Ó t×m hiÓu vµ cung cÊp b»ng chøng theo ®Ò nghÞ cho ®¸nh gi¸ viªn;

.5 hîp t¸c víi ®éi ®¸nh gi¸ cuéc ®¸nh gi¸ ®¹t kÕt qu¶.

3.14 Tr¸ch nhiÖm cña tæ chøc thùc hiÖn viÖc chøng nhËn theo Bé luËt ISM

3.14.1 Tæ chøc thùc hiÖn viÖc chøng nhËn theo Bé luËt ISM chÞu tr¸ch nhiÖm ®¶m b¶o r»ng qu¸ tr×nh chøng nhËn ®îc thùc hiÖn tu©n thñ Bé luËt ISM vµ Híng dÉn nµy. §iÒu nµy bao gåm viÖc kiÓm so¸t qu¶n lý tÊt c¶ çc h×nh thøc chøng nhËn theo phô ch¬ng cña Híng dÉn nµy.

3.15 Tr¸ch nhiÖm cña ®éi ®¸nh gi¸

3.15.1 Dï çc cuéc ®¸nh gi¸ liªn quan ®Õn viÖc chøng nhËn ®îc thùc hiÖn do mét ®éi hay kh«ng ph¶i lµ mét ®éi th× vÉn ph¶i cã mét ngêi chÞu tr¸ch nhiÖm. §éi trëng ®éi ®¸nh gi¸ ph¶i ®îc trao quyÒn ®Ó ®a ra quyÕt ®Þnh cuèi cïng vÒ viÖc chØ ®¹o viÖc kiÓm tra x¸c nhËn vµ vÒ bÊt kú mét b»ng chøng nµo. Tr¸ch nhiÖm cña ®éi trëng ph¶i bao gåm:

.1 chuÈn bÞ kÕ ho¹ch ®¸nh gi¸; vµ

.2 tr×nh biªn b¶n b¸o ço ®¸nh gi¸.

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3.15.2 Personnel participating in the verification are responsible for complying with the requirements governing the verification, ensuring confidentiality of documents pertaining to the certification and treating privileged information with discretion.

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3.15.2 Çc ç nh©n tham gia thùc hiÖn ®¸nh gi¸ ph¶i chÞu tr¸ch nhiÖm tu©n theo çc yªu cÇu vÒ ®¸nh gi¸, ®¶m b¶o bÝ mËt cña çc tµi liÖu liªn quan ®Õn viÖc chøng nhËn vµ xö lý çc th«ng tin mËt mét çch thËn träng.

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Resolution A.913 (22)-Appendix

Appendix

Standards on ISM Code Certification Arrangements

1 Introduction

The audit team involved with ISM Code certification, and the organization under which it may be managed, should comply with the specific requirements stated in this Appendix.

2 Standard of managemennt

2.1 Organizations managing verification of compliance with the ISM Code should have, in their own organization, competence in relation to:

.1 ensuring compliance with the rules and regulations, including certification of seafarers, for the ships operated by the Company;

.2 approval, survey and certification activities;

.3 the terms of reference that must be taken into account under the safety management system as required by the ISM Code; and

.4 practical experience of ship operation.

2.2 The Convention requires that organizations recognized by Administrations for issuing a Document of Compliance and a Safety Management Certificate at their request should comply with resolution A.739(18) - Guidelines for the authorization of organizations acting on behalf of the Administration and A.789(19) - Specifications on the survey and certification functions of recognized organizations acting on behalf of the Administration.

2.3 Any organization performing verification of compliance with the provisions of the ISM Code should ensure that there exists independence between the personnel providing consultancy services and those involved in the certification procedure.

3 Standard of competency

3.1 ISM Code certification scheme management

Management of ISM Code certification schemes should be carried out by those who have practical knowledge of ISM Code certification procedures and practices.

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Phô ch¬ng

Çc tiªu chuÈn vÒ viÖcchøng nhËn theo Bé luËt ISM

1 Giíi thiÖu

§éi ®¸nh gi¸ liªn quan víi viÖc chøng nhËn theo Bé luËt ISM vµ tæ chøc qu¶n lý ®éi ®¸nh gi¸, ph¶i tu©n thñ víi çc yªu cÇu cô thÓ ®· tr×nh bµy trong phô ch¬ng nµy.

2 Tiªu chuÈn qu¶n lý

2.1 Çc tæ chøc qu¶n lý viÖc ®¸nh gi¸ vÒ sù tu©n thñ víi Bé luËt ISM ph¶i cã n¨ng lùc vÒ:

.1 ®¶m b¶o phï hîp víi çc qui ph¹m, qui ®Þnh bao gåm viÖc chøng nhËn cho çc thuyÒn viªn, ®èi víi çc tµu do C«ng ty qu¶n lý.

.2 çc ho¹t ®éng chøng nhËn, kiÓm tra, phª duyÖt.

.3 çc ®iÒu kho¶n liªn quan ph¶i ®îc ®Ò cËp tíi trong hÖ thèng qu¶n lý an toµn theo yªu cÇu cña Bé luËt ISM.

.4 kinh nghiÖm thùc tÕ vÒ khai th¸c tµu.

2.2 C«ng íc SOLAS 1974 yªu cÇu r»ng çc tæ chøc ®îc ChÝnh quyÒn Hµnh chÝnh c«ng nhËn cho viÖc cÊp GiÊy chøng nhËn Phï hîp vµ GiÊy chøng nhËn Qu¶n lý an toµn theo yªu cÇu cña ChÝnh quyÒn Hµnh chÝnh ph¶i phï hîp víi nghÞ quyÕt A.739(18)-Híng dÉn cho çc tæ chøc ®îc c«ng nhËn hµnh ®éng thay mÆt cho ChÝnh quyÒn Hµnh chÝnh, vµ nghÞ quyÕt A.789(19)- ChØ dÉn vÒ chøc n¨ng kiÓm tra vµ chøng nhËn cho tæ chøc ®îc c«ng nhËn hµnh ®éng thay mÆt cho ChÝnh quyÒn Hµnh chÝnh.

2.3 Mäi tæ chøc thùc hiÖn viÖc kiÓm tra x¸c nhËn vÒ sù phï hîp víi çc ®iÒu kho¶n cña Bé luËt ISM ph¶i ®¶m b¶o cã sù ®éc lËp gi÷a nh÷ng ngêi cung cÊp çc dÞch vô t vÊn víi nh÷ng ngêi cã liªn quan ®Õn çc quy tr×nh chøng nhËn.

3 Çc tiªu chuÈn vÒ n¨ng lùc

3.1 Qu¶n lý viÖc chØ ®¹o c«ng t¸c chøng nhËn theo Bé luËt ISM

Qu¶n lý viÖc chØ ®¹o c«ng t¸c chøng nhËn Bé luËt ISM ph¶i ®îc thùc hiÖn bëi nh÷ng ngêi cã kiÕn thøc thùc tÕ vÒ çc quy tr×nh chøng nhËn theo Bé luËt ISM vµ ®· tham gia vµo viÖc chøng nhËn.

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3.2 Basic competence for performing verification

3.2.1 Personnel who are to participate in the verification of compliance with the requirements of the ISM Code should have a minimum of formal education comprising the following:

.1 qualifications from a tertiary institution recognized by the Administration or by the recognized organization within a relevant field of engineering or physical science (minimum two years programme), or

.2 qualifications from a marine or nautical institution and relevant seagoing experience as a certified ship officer.

3.2.2 They should have undergone training to ensure adequate competence and skills for performing verification of compliance with the requirements of the ISM Code, particularly with regard to:

.1 knowledge and understanding of the ISM Code;

.2 mandatory rules and regulations;

.3 the terms of reference which the ISM Code requires that Companies should take into account;

.4 assessment techniques of examining, questioning, evaluating and reporting;

.5 technical or operational aspects of safety management;

.6 basic knowledge of shipping and shipboard operations; and

.7 participation in at least one marine-related management system audit.

3.2.3 Such competence should be demonstrated through written or oral examinations, or other acceptable means.

3.3 Competence for initial verification and renewal verification

3.3.1 In order to assess fully whether the Company or the ship complies with the requirements of the ISM Code, in addition to the basic competence stated under 3.2 above, personnel who are to perform initial verifications or renewal verifications for a Document of Compliance or a Safety Management Certificate must possess the competence to:

.1 determine whether the safety management system elements conform or do not conform with the requirements of the ISM Code;

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3.2 N¨ng lùc c¬ b¶n ®Ó thùc hiÖn viÖc ®¸nh gi¸

3.2.1 Çc ç nh©n tham gia thùc hiÖn viÖc ®¸nh gi¸ vÒ sù tu©n thñ víi çc yªu cÇu cña Bé luËt ISM tèi thiÓu ph¶i cã tr×nh ®é häc vÊn bao gåm:

.1 ph¶i ®îc ®µo t¹o tõ trêng cao ®¼ng/ ®¹i häc ®îc c«ng nhËn bëi ChÝnh quyÒn Hµnh chÝnh hoÆc bëi tæ chøc ®îc chÝnh phñ c«ng nhËn trong çc lÜnh vùc cã liªn quan ®Õn kü thuËt hoÆc khoa häc tù nhiªn (ch¬ng tr×nh tèi thiÓu lµ 2 n¨m), hoÆc

.2 ®îc ®µo t¹o tõ trêng hµng h¶i vµ lµ sü quan tµu biÓn cã kinh nghiÖm.

3.2.2 §¸nh gi¸ viªn ph¶i tr¶i qua ®µo t¹o ®Ó ®¶m b¶o cã ®Çy ®ñ n¨ng lùc vµ kü n¨ng ®Ó thùc hiÖn viÖc kiÓm tra x¸c nhËn vÒ sù tu©n thñ víi çc yªu cÇu cña Bé luËt ISM, ®Æc biÖt vÒ:

.1 kiÕn thøc vµ hiÓu biÕt vÒ Bé luËt ISM;

.2 çc qui ®Þnh vµ qui ph¹m b¾t buéc;

.3 çc ®iÒu kho¶n theo yªu cÇu cña Bé luËt ISM mµ C«ng ty ph¶i lu t©m tíi;

.4 kü thuËt ®¸nh gi¸: kiÓm tra, ®Æt c©u hái, ®a ra kÕt luËn vµ b¸o ço;

.5 çc lÜnh vùc vÒ kü thuËt hoÆc ho¹t ®éng qu¶n lý an toµn;

.6 kiÕn thøc c¬ b¶n vÒ vËn t¶i biÓn vµ çc ho¹t ®«ng trªn tµu;

.7 tham gia Ýt nhÊt mét lÇn ®¸nh gi¸ vÒ hÖ thèng qu¶n lý cã liªn quan ®Õn hµng h¶i.

3.2.3 Çc n¨ng lùc nh vËy ph¶i ®îc minh chøng th«ng qua çc cuéc kiÓm tra viÕt hoÆc vÊn ®¸p hoÆc çc h×nh thøc kh¸c cã thÓ chÊp nhËn ®îc.

3.3 N¨ng lùc ®Ó thùc hiÖn ®¸nh gi¸ lÇn ®Çu ®Çu vµ ®¸nh gi¸ cÊp míi

3.3.1 §Ó ®¶m b¶o viÖc ®¸nh gi¸ ®îc ®Çy ®ñ xem C«ng ty hoÆc tµu cã phï hîp víi çc yªu cÇu cña Bé luËt ISM hay kh«ng, bæ sung vµo çc n¨ng lùc c¬ b¶n ®· tr×nh bµy trong phÇn 3.2 ë trªn, çc ç nh©n thùc hiÖn çc cuéc ®¸nh gi¸ lÇn ®Çu hay cÊp míi GiÊy chøng nhËn Phï hîp hoÆc GiÊy chøng nhËn Qu¶n lý an toµn, ph¶i cã ®ñ çc n¨ng lùc ®Ó:

.1 x¸c ®Þnh çc yÕu tè cña hÖ thèng qu¶n lý an toµn cã tu©n thñ çc yªu cÇu cña Bé luËt ISM hay kh«ng;

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.2 determine the effectiveness of the Company's safety management system, or that of the ship, to ensure compliance with rules and regulations as evidenced by the statutory and classification survey records;

.3 assess the effectiveness of the safety management system in ensuring compliance with other rules and regulations which are not covered by statutory and classification surveys and enabling verification of compliance with these rules and regulations; and

.4 assess whether the safe practices recommended by the Organization, Administrations, classification societies and maritime industry organizations have been taken into account.

3.3.2 This competence can be accomplished by teams which together possess the total competence required.

3.3.3 Personnel who are to be in charge of initial verification or renewal verification of compliance with the requirements of the ISM Code should have at least five years experience in areas relevant to the technical or operational aspects of safety management, and should have participated in at least three initial verifications or renewal verifications. Participation in verification of compliance with other management standards may be considered as equivalent to participation in verification of compliance with the ISM Code.

3.4 Competence for annual, intermediate and interim verification

Personnel who are to perform annual, intermediate and interim verifications should satisfy basic requirements for personnel participating in verifications and should have participated in a minimum of two annual, renewal or initial verifications. They should have received special instructions needed to ensure that they possess the competence required to determine the effectiveness of the Company's safety management system.

4 Qualification arrangements

Organizations performing ISM Code certification should have implemented a documented system for qualification and continuous updating of the knowledge and competence of personnel who are to perform verification of compliance with the ISM Code. This system should comprise theoretical training courses covering all the competence requirements and the appropriate procedures connected to the certification process, as well as practical tutored training, and it should provide documented evidence of satisfactory completion of the training.

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.2 x¸c ®Þnh tÝnh hiÖu qu¶ cña hÖ thèng qu¶n lý an toµn cña C«ng ty hoÆc hÖ thèng qu¶n lý an toµn cña tµu, ®Ó ®¶m b¶o vÒ tu©n thñ çc qui ph¹m vµ çc qui ®Þnh b»ng viÖc lÊy çc biªn b¶n kiÓm tra ph©n cÊp vµ kiÓm tra theo luËt ®Þnh lµm b»ng chøng

.3 ®¸nh gi¸ tÝnh hiÖu qu¶ cña hÖ thèng qu¶n lý an toµn trong viÖc ®¶m b¶o sù phï hîp víi çc qui ph¹m vµ qui ®Þnh kh¸c mµ nã kh«ng ®îc bao trïm bëi çc cuéc kiÓm tra ph©n cÊp vµ kiÓm tra theo luËt ®Þnh vµ t¹o ®iÒu kiÖn cho çc cuéc kiÓm tra x¸c nhËn vÒ sù tu©n thñ víi çc qui ®Þnh vµ qui ph¹m nµy;

.4 ®¸nh gi¸ xem çc t¸c nghiÖp an toµn ®· ®îc khuyÕn nghÞ bëi Tæ chøc, çc ChÝnh quyÒn Hµnh chÝnh, çc tæ chøc ph©n cÊp vµ çc tæ chøc c«ng nghiÖp hµng h¶i cã ®îc lu t©m tíi hay kh«ng.

3.3.2 Çc yªu cÇu vÒ n¨ng lùc cã thÓ ®îc ®¸p øng bëi n¨ng lùc hîp l¹i cña toµn ®éi ®¸nh gi¸.

3.3.3 Çc ç nh©n chÞu tr¸ch nhiÖm thùc hiÖn viÖc ®¸nh gi¸ lÇn ®Çu hoÆc cÊp míi vÒ sù tu©n thñ víi çc yªu cÇu cña Bé luËt ISM ph¶i cã Ýt nhÊt 5 n¨m kinh nghiÖm trong çc lÜnh vùc cã liªn quan ®Õn kü thuËt hoÆc ho¹t ®éng qu¶n lý an toµn, vµ ®· thùc hµnh Ýt nhÊt 3 cuéc kiÓm tra x¸c nhËn lÇn ®Çu hoÆc cÊp míi. ViÖc tham gia ®¸nh gi¸ vÒ sù tu©n thñ víi çc tiªu chuÈn qu¶n lý kh¸c cã thÓ ®-îc coi nh t¬ng ®¬ng víi viÖc ®¸nh gi¸ vÒ sù tu©n thñ víi Bé luËt ISM.

3.4 N¨ng lùc ®Ó thùc hiÖn ®¸nh gi¸ ®Þnh kú, trung gian vµ s¬ bé

Nh÷ng ngêi thùc hiÖn viÖc ®¸nh gi¸ hµng n¨m, trung gian vµ s¬ bé ph¶i tháa m·n çc yªu cÇu c¬ b¶n ®èi víi ngêi thùc hiÖn viÖc ®¸nh gi¸ vµ ph¶i ®· tham gia tèi thiÓu lµ 2 cuéc ®¸nh gi¸ hµng n¨m, cÊp míi hoÆc lÇn ®Çu. Hä ph¶i nhËn ®îc çc chØ dÉn ®Æc biÖt cÇn thiÕt ®Ó ®¶m b¶o r»ng hä cã ®ñ çc n¨ng lùc cÇn thiÕt ®Ó x¸c ®Þnh tÝnh hiÖu qu¶ cña hÖ thèng qu¶n lý an toµn cña C«ng ty.

4 Tr×nh ®é chuyªn m«n

Çc tæ chøc thùc hiÖn chøng nhËn theo Bé luËt ISM ph¶i thùc hiÖn mét hÖ thèng v¨n b¶n vÒ tr×nh ®é chuyªn m«n vµ ph¶i liªn tôc cËp nhËt kiÕn thøc vµ n¨ng lùc cña çc ç nh©n thùc hiÖn viÖc ®¸nh gi¸ vÒ sù tu©n thñ víi Bé luËt ISM. HÖ thèng nµy bao gåm çc khãa ®µo t¹o kü thuËt mµ chóng bao trïm tÊt c¶ çc yªu cÇu vÒ n¨ng lùc vµ çc quy tr×nh phï hîp liªn quan tíi qu¸ tr×nh chøng nhËn còng nh çc khãa ®µo t¹o thùc hµnh riªng, vµ nã ph¶i ®a ra çc b»ng chøng b»ng v¨n b¶n vÒ sù hoµn tÊt khãa ®µo t¹o.

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5 Certification Procedures and Instructions

Organizations performing ISM Code certification should have implemented a documented system to ensure that the certification process is performed in accordance with this standard. This system should, inter alia, include procedures and instructions for the following:

.1 contract agreements with Companies;

.2 planning, scheduling and performing verification;

.3 reporting results from verification;

.4 issuance of Documents of Compliance, Safety Management Certificates and Interim Documents of Compliance and Safety Management Certificates; and

.5 corrective action and follow-up of verifications, including actions to be taken in cases of major non-conformity.

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5 Tr×nh ®é chuyªn m«n

Çc tæ chøc thùc hiÖn chøng nhËn Bé luËt ISM ph¶i thùc hiÖn mét hÖ thèng ®· ®îc lËp thµnh v¨n b¶n ®Ó ®¶m b¶o r»ng qu¸ tr×nh chøng nhËn ®îc thùc hiÖn theo tiªu chuÈn nµy. HÖ thèng nµy ph¶i bao gåm çc quy tr×nh vµ çc híng dÉn nh sau:

.1 çc hîp ®ång víi C«ng ty;

.2 lËp kÕ ho¹ch, lËp ch¬ng tr×nh vµ thùc hiÖn ®¸nh gi¸;

.3 b¸o ço kÕt qu¶ ®¸nh gi¸;

.4 cÊp ph¸t GiÊy chøng nhËn Phï hîp, GiÊy chøng nhËn Qu¶n lý an toµn vµ çc GiÊy chøng nhËn Phï hîp t¹m thêi, GiÊy chøng nhËn Qu¶n lý an toµn t¹m thêi; vµ

.5 çc hµnh ®éng kh¾c phôc vµ ®¸nh gi¸ tiÕp theo bao gåm çc hµnh ®éng ®îc thùc hiÖn trong çc trêng hîp kh«ng phï hîp nghiªm träng.

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C¸c híng dÉn ®· ®îc bæ sung söa ®æi cho - Nori luat quan ly an toan.pdf · 2000 by...

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Transcript of C¸c híng dÉn ®· ®îc bæ sung söa ®æi cho - Nori luat quan ly an toan.pdf · 2000 by...