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 shorebased management to ensure the safe operation of roro 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

B»ng viÖc ®­a ra c¸c bæ sung söa ®æi ®èi víi C«ng ­íc quèc tÕ vÒ an toµn sinh m¹ng con ng­êi trªn biÓn (SOLAS), 1974 ®i vµo hiÖu lùc ngµy 01/07/1998. Trong ®ã bæ sung ch­¬ng IX vµo C«ng ­íc nµy, th× Bé luËt Qu¶n lý an toµn quèc tÕ (Bé luËt ISM) còng b¾t ®Çu ®i vµo ¸p dông b¾t buéc. NghÞ quyÕt MSC.99(73) bæ sung söa ®æi ®èi víi ch­¬ng IX ®· ®­îc chÊp thuËn ngµy 01/01/2002 vµ cã hiÖu lùc tõ ngµy 01/07/2002. §©y còng chÝnh lµ ngµy Bé luËt ISM më réng ph¹m vi ¸p dông b¾t buéc ®èi víi c¸c tµu chë hµng kh¸c vµ ®èi víi c¸c giµn khoan biÓn di ®éng.

Bé luËt nµy khëi nguån tõ cuèi thËp kû 1980, khi mµ sù lo ng¹i ngµy cµng gia t¨ng vÒ viÖc thiÕu c¸c tiªu chuÈn qu¶n lý tµu. C¸c ®iÒu tra tai n¹n ®· cho thÊy c¸c 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) trong ®ã yªu cÇu ñy ban An toµn hµng h¶i ph¶i x©y dùng c¸c h­íng dÉn liªn quan tíi c«ng t¸c qu¶n lý d­íi tµu vµ trªn bê ®Ó ®¶m b¶o ho¹t ®éng an toµn cho tµu chë kh¸ch RO-RO.

Bé luËt ISM ®­îc kiÖn toµn th«ng qua viÖc triÓn khai H­íng dÉn vÒ qu¶n lý khai th¸c tµu an toµn vµ ng¨n ngõa « nhiÔm ®· ®­îc §¹i héi ®ång IMO th«ng qua n¨m 1989 b»ng nghÞ quyÕt A.647(16), vµ H­íng dÉn ®· ®­îc bæ sung söa ®æi nµy ®­îc th«ng qua hai n¨m sau ®ã b»ng nghÞ quyÕt A.680(17) vµ 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 th«ng qua vµo n¨m 1993 b»ng nghÞ quyÕt A.741(18). Bé luËt ISM ®· ®­îc bæ sung söa ®æi vµo 12/2000 b»ng nghÞ quyÕt MSC.104(73). NghÞ quyÕt nµy ®· ®­îc chÊp thuËn vµo ngµy 01/01/2002 vµ c¸c bæ sung söa ®æi sÏ cã hiÖu lùc tõ 01/07/2002.

NhËn thøc ®­îc sù cÇn thiÕt ®èi víi viÖc triÓn khai thùc hiÖn Bé luËt ISM mét c¸ch thèng nhÊt vµ ®èi víi ChÝnh quyÒn Hµnh chÝnh vÒ viÖc tháa thuËn víi c¸c ChÝnh quyÒn Hµnh chÝnh kh¸c vÒ viÖc cÊp c¸c giÊy chøng phï hîp víi ch­¬ng IX cña SOLAS vµ Bé luËt ISM, n¨m 1995, §¹i héi ®ång IMO ®· th«ng qua H­íng dÉn cho c¸c ChÝnh quyÒn Hµnh chÝnh vÒ viÖc triÓn khai thùc hiÖn Bé luËt Qu¶n lý an toµn quèc tÕ (Bé luËt ISM) b»ng nghÞ quyÕt A.788(19). H­íng dÉn nµy ®· ®­îc thay thÕ b»ng H­íng dÉn ®· ®­îc bæ sung söa ®æi vµo th¸ng 11 n¨m 2001 ®­îc th«ng qua b»ng nghÞ quyÕt A.913(22). 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 amended

Chapter 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 ®æi

Ch­¬ng IX - Qu¶n lý khai th¸c tµuan 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 safe

operation 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:

.11International 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.

.22Company 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.

.33Oil tanker means an oil tanker as defined in regulation II-1/2.12.†

.44Chemical tanker means a chemical tanker as defined in regulation VII/8.2.‡

.55Gas carrier means a gas carrier as defined in regulation VII/11.2.§

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*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

SOLAS 1974 - Chapter IX

Qu¶n lý vÒ

khai th¸c tµu an toµn

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

Quy ®Þnh 1
C¸c ®Þnh nghÜa
§Ó dïng cho ch­¬ng nµy trõ khi cã c¸c quy ®Þnh kh¸c:

1Bé 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 c¸c quy ®Þnh ë ®iÒu VIII cña C«ng ­íc nµy liªn quan tíi c¸c thñ tôc bæ sung söa ®æi ¸p dông cho phô lôc kh«ng ph¶i lµ ch­¬ng I.

2C«ng ty lµ chñ tµu hoÆc mét tæ chøc hay c¸ 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 c¸c nghÜa vô vµ tr¸ch nhiÖm theo quy ®Þnh cña Bé luËt qu¶n lý an toµn quèc tÕ.

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

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

5Tµu 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 c¸c 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 c¸c s¶n phÈm kh¸c ®­îc liÖt kª trong ch­¬ng 19 cña Bé luËt IGC".

1

SOLAS 1974 - Chapter IX

6Bulk 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.

7Mobile 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.

8High speed craft means a craft as defined in regulation X/1.*

Regulation 2

Application

.11This chapter applies to ships, regardless of the date of construction, as follows:

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

.2oil 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

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

.22This chapter does not apply to government-operated ships used for non-commercial purposes.

Regulation 3

Safety management requirements

61The 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.

72The 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0.1667where  = 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".

1

SOLAS 1974 - Chapter IX

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

7Giµn khoan biÓn di ®éng (MODU) lµ tµu cã kh¶ n¨ng tham gia c¸c 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.

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

Quy ®Þnh 2

Ph¹m vi ¸p dông

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

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

.2c¸c 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

.3c¸c tµu hµng kh¸c vµ c¸c 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.

2Ch­¬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 3

C¸c yªu cÇu vÒ qu¶n lý an toµn

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

2Tµu 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0.1667víi  = 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.

1

SOLAS 1974 - Chapter IX

Regulation 4

Certification

1A 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.

2A 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.

3A 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

1The 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.

2A 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.

1

SOLAS 1974 - Chapter IX
Quy ®Þnh 4
Chøng nhËn

1GiÊy chøng nhËn Phï hîp sÏ ®­îc cÊp cho mçi C«ng ty tháa m·n c¸c 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.

2B¶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.

3GiÊy 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 c¸c 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 5

Duy tr× c¸c ®iÒu kiÖn

HÖ thèng qu¶n lý an toµn ph¶i ®­îc duy tr× phï hîp c¸c ®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

1ChÝnh 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.

2Tµu ®­îc yªu cÇu ph¶i cã giÊy chøng nhËn ®­îc cÊp theo c¸c ®iÒu kho¶n cña quy ®Þnh 4.3 sÏ ph¶i chÞu sù kiÓm so¸t theo c¸c ®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.

1

ISM Code

International Safety

Management Code

PREAMBLE

1The purpose of this Code is to provide an international standard for the safe management and operation of ships and for pollution prevention.

2The 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.

3The 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.

4Recognizing 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.

5The 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.

6The 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
1GENERAL

1.1Definitions

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

1

ISM Code

Bé luËt

Qu¶n lý an toµn quèc tÕ

GIíI THIÖU

.11Môc ®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.

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

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

.44NhËn thÊy r»ng kh«ng cã hai C«ng ty tµu biÓn hoÆc hai chñ tµu gièng nhau vµ c¸c tµu ho¹t ®éng trong mét ph¹m vi réng víi c¸c ®iÒu kiÖn kh¸c nhau, do ®ã Bé luËt nµy ®­îc x©y dùng trªn c¸c nguyªn t¾c vµ c¸c môc tiªu chung.

.55Bé 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 c¸c yªu cÇu vÒ hiÓu biÕt vµ nhËn thøc vÒ c¸c ®iÒu kho¶n ®· ®­îc nªu ra sÏ kh¸c nhau.

.66NÒn 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¶ c¸c cÊp sÏ quyÕt ®Þnh kÕt qu¶ cuèi cïng.

PhÇn A-Thùc hiÖn

1QUY §ÞNH CHUNG

1.1C¸c ®Þnh nghÜa

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

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1.1.1International 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.

1.1.2Company 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.

1.1.3Administration means the Government of the State whose flag the ship is entitled to fly.

1.1.4Safety Management System means a structured and documented system enabling Company personnel to implement effectively the Company safety and environmental protection policy.

1.1.5Document of Compliance means a document issued to a Company which complies with the requirements of this Code.

1.1.6Safety 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.

1.1.7Objective 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.

1.1.8Observation means a statement of fact made during a safety management audit and substantiated by objective evidence.

1.1.9Non-conformity means an observed situation where objective evidence indicates the non-fulfilment of a specified requirement.

1.1.10Major 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 includesor the lack of effective and systematic implementation of a requirement of this Code.

1.1.11Anniversary date means the day and month of each year that corresponds to the date of expiry of the relevant document or certificate.

1.1.12Convention means the International Convention for the Safety of Life at Sea, 1974 as amended.

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1.1.1Bé 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. Bé luËt ®· ®­îc §¹i héi ®ång th«ng qua vµ cã thÓ ®­îc Tæ chøc hµng h¶i quèc tÕ (IMO) söa ®æi.

1.1.2C«ng ty nghÜa lµ chñ tµu hoÆc mét tæ chøc hay c¸ 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 c¸c nghÜa vô vµ tr¸ch nhiÖm theo quy ®Þnh cña Bé luËt Qu¶n lý an toµn quèc tÕ

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

1.1.4HÖ 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.

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

1.1.6GiÊy 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.

1.1.7B»ng chøng kh¸ch quan nghÜa lµ c¸c 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 kh¸ch quan cã ®­îc dùa trªn viÖc quan s¸t, ®o ®¹c hoÆc thö nghiÖm vµ cã thÓ kiÓm tra x¸c nhËn ®­îc.

1.1.8Sù 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 kh¸ch quan.

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

1.1.10Sù kh«ng phï hîp nghiªm träng nghÜa lµ mét sai lÖch cã thÓ x¸c ®Þnh, ®e däa nghiªm träng tíi an toµn cña con ng­êi hoÆc 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 hoÆc thùc hiÖn mét yªu cÇu cña Bé luËt nµy mét c¸ch thiÕu hÖ thèng vµ thiÕu hiÖu lùc.

1.1.11Ngµy Ên ®Þnh 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.

1.1.12C«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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1.2Objectives

1.2.1The 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.

1.2.2Safety management objectives of the Company should, inter alia:

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

.2assess all identified risks to its ships, personnel and the environment and establish appropriate safeguards; and

establish safeguards against all identified risks; and

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

1.2.3The safety and management system should ensure:

.1compliance with mandatory rules and regulations; and

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

1.3Application

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

1.4Functional requirements for a Safety Management System

Every Company should develop, implement and maintain a Safety Management System which includes the following functional requirements:

.1a safety and environmental protection policy;

.2instructions and procedures to ensure safe operation of ships and protection of the environment in compliance with relevant international and flag State legislation;

.3defined levels of authority and lines of communication between, and amongst, shore and shipboard personnel;

.4procedures for reporting accidents and non-conformities with the provisions of this Code;

.5procedures to prepare for and respond to emergency situations; and

.6procedures for internal audits and management reviews.

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1.2Môc tiªu

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

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

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

.2®¸nh gi¸ mäi rñi ro ®¨ ®­îc x¸c ®Þnh ®èi víi tµu, con ng­êi vµ m«i tr­êng vµ thiÕt lËp c¸c ph­¬ng ¸nbiÖn ph¸pphßng chèng mäi nguy c¬ ®· x¸c ®ÞnhthÝch hîp; vµ

.3liªn 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 c¸c t×nh huèng khÈn cÊp liªn quan tíi an toµn vµ b¶o vÖ m«i tr­êng.

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

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

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

1.3¸p dông

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

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

Mçi C«ng ty ph¶i x©y dùng, thùc hiÖn vµ duy tr× mét HÖ thèng Qu¶n lý An toµn bao gåm c¸c yªu cÇu chøc n¨ng sau:

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

.2c¸c 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;

.3x¸c ®Þnh c¸c 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;

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

.5c¸c quy tr×nh ®Ó chuÈn bÞ s½n sµng vµ ®èi phã víi c¸c t×nh huèng khÈn cÊp; vµ

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

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2SAFETY AND ENVIRONMENTAL PROTECTION POLICY

2.1The Company should establish a safety and environmental-protection policy which describes how the objectives, given in paragraph 1.2 will be achieved.

2.2The Company should ensure that the policy is implemented and maintained at all levels of the organization, both ship based as well as shore based.

3COMPANY RESPONSIBILITIES AND AUTHORITY

3.1If 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.

3.2The 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.

3.3The 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.

4DESIGNATED 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.

5MASTER'S RESPONSIBILITY AND AUTHORITY

5.1The Company should clearly define and document the master's responsibility with regard to:

.1implementing the safety and environmental protection policy of the Company;

.2motivating the crew in the observation of that policy;

.3issuing appropriate orders and instructions in a clear and simple manner;

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

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

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

3Tr¸ch nhiÖm vµ quyÒn h¹n cña C«ng ty

3.1NÕu 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 c¸c chi tiÕt vÒ thùc thÓ ®ã cho ChÝnh quyÒn Hµnh chÝnh.

3.2C«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.

3.3C«ng ty cã tr¸ch nhiÖm ®¶m b¶o r»ng 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 c¸c chøc n¨ng cña m×nh.

4Ng­êi phô tr¸ch

§Ó ®¶m b¶o khai th¸c tµu an toµn vµ duy tr× mèi liªn l¹c gi÷a C«ng ty vµ tµu, 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. 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.

5Tr¸ch nhiÖm vµ quyÒn h¹n cña ThuyÒn tr­ëng

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

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

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

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

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.4verifying that specified requirements are observed; and

.5periodically reviewing the safety management system and reporting its deficiencies to the shore based management.

5.2The 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.

6RESOURCES AND PERSONNEL

6.1The Company should ensure that the master is:

.1properly qualified for command;

.2fully conversant with the Company's safety management system; and

.3given the necessary support so that the Master's duties can be safely performed.

6.2The Company should ensure that each ship is manned with qualified, certificated and medically fit seafarers in accordance with national and international requirements.

6.3The 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.