1、第三章第三章 人为因素控制和国际安全管理规则人为因素控制和国际安全管理规则Human Element Control & ISM CodeHuman Element Control & ISM CodelShip Safety Management and Human ElementlSafety Behavior Science and Human ElementlISO9000 and Its General PrincipleslISM Code and Its General Principles lSMS(Safety Management System)lMaritime Secu
2、rity & ISPS CodeHuman Element Control & ISM Codel船上安全管理和人为因素l安全行为科学与人为因素lISO9000及其基本原理lISM规则及其安全机制l安全管理体系l国际船舶和港口设施保安规则Section 1: Ship Safety Management and Human ElementlThe Essential of Ship Safety Management:Human ElementlStatistic study showed:80 percent marine accidents were caused by human fac
3、tor Grounding：90：Fire & explosion：70：Collision ：96：Contact:70%。第一节第一节 船上安全管理和人为因素船上安全管理和人为因素l船上安全管理要点：Human Element 人为因素人为因素l人为因素与船舶事故据国际海事界1991年的权威统计，人为因素原因导致的船舶事故比例为：搁浅90%，火灾爆炸70%，碰撞96%，触碰70%。第一节第一节 船上安全管理和人为因素船上安全管理和人为因素l人为因素的控制和人员安全素质要求控制人为因素，是保证安全的关键l人员安全教育安全教育是提高人员安全素质和控制人为因素的有效途径之一。安全教育的内容安全教
4、育的手段现场四阶段安全教育法和四阶段安全作业法Section 2: Safety Behavior Science and Human ElementlBehaviorist K.Lewins SOR ModellThe Core of Safety Behavior Science : Motivation lGroup:Formal Group & Informal GrouplCommunicationEffect on SafetylThe Influence of Leadership on Safety第二节安全行为科学与人为因素第二节安全行为科学与人为因素一、人的行为原理与人为失
5、误二、安全行为的激励激励是安全行为科学的核心。1. 需要层次理论2. X 理论Y 理论3.双因素理论4. 强化理论5. 期望理论6. 公平理论第二节安全行为科学与人为因素第二节安全行为科学与人为因素三、群体行为对安全的影响正式群体和非正式群体非正式群体的积极作用，应予适当鼓励非正式群体的消极作用不容忽视，应该因势利导四、人际关系及沟通对安全的重要性五、领导行为对安全的影响领导的主要功能是组织和激励。Section 3:ISO9000 and Its General PrincipleslISO(International Organization for Standardization )lQ
6、uality Management SystemlISO9000s General Principles第三节第三节 ISO9000 及其基本原理及其基本原理lISO9000简介ISO(国际标准化组织 )ISO9000 质量管理体系ISO9000安全保障原理Who ISO islISO(International Organization for Standardization ) ISO is a network of the national standards institutes of 148 countries.lISO is a non-governmental organizat
7、ion ISO- quality managementlThe ISO 9000 family is primarily concerned with quality management.lISO 9000 has become an international reference for quality management requirements in business-to-business dealings ISO- environmental managementlThe ISO 14000 family is primarily concerned with environme
8、ntal management. This means what the organization does to:- minimize harmful effects on the environment caused by its activities, and to- achieve continual improvement of its environmental performance. ISO- General PrincipleslThe vast majority of ISO standards are highly specific to a particular pro
9、duct, material, or process. However, the standards that have earned the ISO 9000 and ISO 14000 families a worldwide reputation are known as generic management system standards. ISO- General PrincipleslGeneric means that the same standards can be applied: - to any organization, large or small, whatev
10、er its product- including whether its product is actually a service,- in any sector of activity, and - whether it is a business enterprise, a public administration, or a government department ISO- General PrincipleslPrinciple 1 Customer focus lPrinciple 2 Leadership lPrinciple 3 Involvement of peopl
11、e lPrinciple 4 Process approachlPrinciple 5 System approach to management lPrinciple 6 Continual improvementlPrinciple 7 Factual approach to decision making lPrinciple 8 Mutually beneficial supplier relationships ISO- 9000一般原理一般原理l系统工程l全面质量管理l全员参与 l过程控制l闭环控制 l双赢关系 l外部审核l体系文件化Section 4:ISM Code and I
12、ts General Principles lWhat is ISM International Safety Management (ISM) Code means the International Management Code for the Safe Operation of Ships and for Pollution Prevention 第四节第四节 ISM ISM 规则及其安全机制规则及其安全机制lWhat is ISM 国际安全管理规则全称:国际船舶安全营运和防止污染管理规则ISM Code BackgroundlStatistic study showed:80 per
13、cent marine accidents were caused by human factor and the Essential of Ship Safety Management is Human Element ControllThe IMO Assembly adopted resolution A647(16), A.680(17) and A.741(18) successively.lSOLAS, Chapter IX - Management for the Safe Operation of Ships which was adopted in May 1994 and
14、entered into force on 1 July 1998 made the ISM Code mandatory.ISM规则的产生背景规则的产生背景l统计分析结果表明，船舶安全和污染事故的80%是人为因素造成，且重点在于公司和船员对船舶的管理和操作。lIMO致力于寻找有效地控制公司和船员的人为因素的途径。l海上安全委员会（MSC ）于1992年4月草拟,并顾及了修改中的ISO9000，于1993 年11月4日由IMO第18届大会通过A741（ 18）号决议，即ISM规则。l1994年3 月的SOLAS公约外交大会上通过SOLAS74第11章“船舶安全营运管理”，使ISM规则获得了法律
15、强制力。ISM Code Objectivesl The purpose of the Code is to provide an international standard for the safe management and operation of ships and for pollution prevention.lThe objectives of the Code are to ensure safety at sea, prevention of human injury or loss of life, and avoidance of damage to the env
16、ironment, in particular to the marine environment and to property. ISM Code ObjectiveslISM规则目的是为船舶营运安全和防污染管理提供一个国际标准。lISM规则的目标是保证海上安全，防止人员伤亡，避免对环境，特别是海洋环境造成危害以及对财产造成损失。ISM Code RequirementslSafety management objectives of the Company should, inter alia:.1 provide for safe practices in ship operation
17、 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.ISM Code Requirementsl公司的安全管理目标尤其应该是
18、：1.提供船舶营运的安全做法和安全工作环境；2.针对已认定的所有风险，制定防范措施；3.不断提高岸上及船上人员的安全管理技能，包括安全及环境保护方面的应急准备。ISM Code RequirementslEvery Company should develop, implement and maintain a safety management system(SMS) which should ensure:.1 compliance with mandatory rules and regulations; and.2 that applicable codes, guidelines a
19、nd standards recommended by the Organization, Administrations, classification societies and maritime industry organizations are taken into account. ISM Code Requirementsl每个公司应当建立并维护一个安全管理体系并保证：符合强制性规定及规则；并对国际海事组织、主管机关、船级社和海运行业组织所建议的适用的规则、指南和标准予以考虑。Functional requirements for SMS .1 a safety and envi
20、ronmental-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 pers
21、onnel;.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.安全管理体系要求：安全管理体系要求：（1）安全和环境保护方针；（2）确保船舶的安全营运和环境保护符合有关的国际和船旗国立法的指令和程序；（3）船、岸人员
22、的权限和相互间的联系渠道；（4）事故和不符合规则规定情况的报告程序；（5）对紧急情况的准备和反应程序；（6）内部评审和管理性复查程序。SAFETY AND ENVIRONMENTAL-PROTECTION POLICY lThe Company should establish a safety and environmental-protection policy which describes how the objectives given by this code will be achieved.lThe Company should ensure that the policy i
23、s implemented and maintained at all levels of the organization, both ship-based and shore-based.安全和环境保护万针安全和环境保护万针l公司应当制定安全和环境保护方针，说明如何实现公司的安全管理目标。l公司应当保证船岸各级机构均能执行和保持此方针。COMPANY RESPONSIBILITIES AND AUTHORITY lIf the entity who is responsible for the operation of the ship is other than the owner, t
24、he owner must report the full name and details of such entity to the Administration.lThe 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.lThe Company is r
25、esponsible for ensuring that adequate resources and shore-based support are provided to enable the designated person or persons to carry out their functions.公司的责任和权力公司的责任和权力l如果负责船舶营运的实体不是船舶所有人，船舶所有人应向主管机关报告其名称以及详细信息。l对管理、从事和审核涉及安全和防止污染工作的所有人员，公司应当明确并用文件形式规定其责任、权力及相互关系。l公司应当负责保证向指定的人员提供足够的资源和岸上的支持，以便
26、使其能够履行各自的职责。DESIGNATED PERSON(S) lTo 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. lThe responsibility and author
27、ity 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. 指定人员指定人员l为保证各船的安全营运和提供公司与船上之间的联系渠道，公司应当根据情况指定一名或数名能直接同最高管理层联系的岸上人员。l被指定人员
28、的责任和权力应包括对各船的安全营运和防止污染方面进行监控，并确保按需要提供足够的资源和岸上的支持。MASTERS RESPONSIBILITY AND AUTHORITY lThe Company should clearly define and document the masters responsibility with regard to:.1 implementing the safety and environmental-protection policy of the Company;.2 motivating the crew in the observation of t
29、hat policy;.3 issuing appropriate orders and instructions in a clear and simple manner;.4 verifying that specified requirements are observed; and.5 reviewing the safety management system and reporting its deficiencies to the shore-based management. MASTERS RESPONSIBILITY AND AUTHORITY lThe Company s
30、hould ensure that the safety management system operating on board the ship contains a clear statement emphasizing the masters 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
31、safety and pollution prevention and to request the Companys assistance as may be necessary.船长的责任和权力船长的责任和权力l公司应当以文件形式明确规定船长的下列责任：（1）执行公司的安全和环境保护方针；（2）激励船员遵守该方针；（3）以简明方式发布相应的命令和指令；（4）审核具体要求的遵守情况；（5）复查安全管理体系并向岸上管理部门报告其不足之处。l公司应当保证在船上实施的安全管理体系中包含一个强调船长权力的明确声明。公司应当在安全管理体系中确立船长的绝对权力和责任，以便做出关于安全和防止污染事务的决定
32、并在必要时要求公司给予协助。RESOURCES AND PERSONNEL lThe Company should ensure that the master is:.1 properly qualified for command;.2 fully conversant with the Companys safety management system; and.3 given the necessary support so that the masters duties can be safely performed. RESOURCES AND PERSONNEL- The Com
33、pany should ensure that :lmanning in accordance with national and international requirements lfamiliarization with their duties ladequate understanding of relevant rules, regulations, codes and guidelines. ltraining lworking languagelcommunicate effectively 资源和人员资源和人员l公司应当保证船长:（1）具有适当的指挥资格；（2）完全熟悉公司
34、的安全管理体系；（3)得到必要支持，以便可靠地履行其职责。资源和人员资源和人员- -公司应当保证公司应当保证l配备合格、持证并健康的船员。l新聘人员和新调至该岗位人员适当熟悉其职责。l与安全管理体系有关的所有人员对有关规定、规则和指南有充分的理解。l支持安全管理体系可能需要的任何培训，并保证向所有相关人员提供这种培训。l使船上人员藉此能够获得以一种工作语言或他们懂得的其他语言书写的有关安全管理体系的信息：l船上人员在履行其涉及安全管理体系的职责时能够有效地交流。DEVELOPMENT OF PLANS FOR SHIPBOARD OPERATIONS l The Company should
35、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. 船上操作方案的制定船上操作方案的制
36、定l对涉及船舶安全和防止污染的关键性的船上操作，公司应当建立制定有关方案和须知的程序。l与之有关的各项工作，应当明确规定并分配给适任人员。EMERGENCY PREPAREDNESS lThe Company should establish procedures to identify, describe and respond to potential emergency shipboard situations.lThe Company should establish programmes for drills and exercises to prepare for emergenc
37、y actions.lThe safety management system should provide for measures ensuring that the Companys organization can respond at any time to hazards, accidents and emergency situations involving its ships.应急准备应急准备l对船上可能出现的紧急情况，公司应当建立标明、阐述和反应的程序。l公司应当制定应急行动的训练和演习计划。l安全管理体系应提供措施，确保公司有关机构能在任何时候对涉及其船舶的危险、事故和紧
38、急情况做出反应。 Reports & Analysis of Non-conformities, Accidents & Hazardous Occurrences lThe 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
39、and pollution prevention.lThe Company should establish procedures for the implementation of corrective action. 不符合规定的情况、事故和险情的报告不符合规定的情况、事故和险情的报告和分析和分析l安全管理体系应当包括确保不符合规定的情况、事故和险情得到报告（至公司）、调查和分析的程序，以便改进安全和防止污染工作。l公司应当建立实施纠正措施的程序。MAINTENANCE OF THE SHIP AND EQUIPMENT lensure that the ship is maintaine
40、d in conformity with the provisions and with any additional requirements.l1 inspections are held at appropriate intervals;l.2 any non-conformity is reported, with its possible cause, if known;l.3 appropriate corrective action is taken; andl.4 records of these activities are maintained.船舶和设备的维护船舶和设备的
41、维护l公司应当建立有关程序，以便保证船舶按照有关规定、规则以及公司可能制定的任何附加要求进行维护。l为满足这些要求，公司应当保证：（1）按照适当的间隔期进行检查；（2）报告已知的不符合规定的情况并附可能的原因；（3）采取适当的纠正措施；（4）保存这些活动的记录。DOCUMENTATION l Safety Management System l Safety Management Manual lEach ship should carry on board all documentation relevant to that ship. 文件文件l公司应当建立并保持控制与安全管理体系有关的所
42、有文件和资料的程序。l用于阐述和实施安全管理体系的文件可称为“安全管理手册”。文件应当以公司认为最有效的方式予以保存。每艘船应当备有与之有关的全部文件。COMPANY VERIFICATION, REVIEW AND EVALUATION l Internal Safety Audits l to verify whether safety and pollution-prevention activities comply with the safety management system l At least Once a year公司审核、复查和评价公司审核、复查和评价l内部安全评审，以
43、审核安全及防止污染活动是否符合安全管理体系的要求。l公司应当定期评价安全管理体系的有效性，必要时还应当根据公司建立的有关程序对安全管理体系进行复查。评审及可能采取的纠正措施应当按文件规定的程序进行。除非由于公司的规模和性质不可能做到，实施评审的人员应当不从属于被评审的部门。评审及复查结果应当告知有关部门的所有负有责任的人员，以便提请他们注意。负有责任的管理人员应当对所发现的缺陷及时采取纠正措施。CERTIFICATION AND PERIODICAL VERIFICATION l Document of Compliance (issued by administration for comp
44、any capable of complying with the requirements of this Code )l A Copy of DOC should be placed on boardl Valid period should not exceed 5 yearslvalidity of a DOC should be subject to annual verification 发证、审核和监控发证、审核和监控l符合证明（由主管及向符合规则要求的公司颁发)l船上应当保存DOC副本lDOC有效期不得超过5年l为保持有效， DOC须经年审。CERTIFICATION AND
45、PERIODICAL VERIFICATION l Safety Management Certificate (issued by administration for a ship complying with the requirements of this Code )lValid period should not exceed 5 yearslAt least one intermediate verification required for validity of SMC.lSMC should also be withdrawn if the DOC is withdrawn
46、.发证、审核和监控发证、审核和监控l安全管理证书（由主管及向符合规则要求的船舶颁发)lSMC有效期不得超过5年l为保持有效， DOC须经一次中间审核l如果DOC失效， SMC随之失效PERIODICAL VERIFICATION-Audit Examples of the type of documentation the auditor will wish to see to verify compliance with the ISM are as follows:lLog books lSafety and management meeting minutes and follow up
47、 actions lMedical log lCompany circular letters lPlanned maintenance records lRecords of verification PERIODICAL VERIFICATION-AuditlRecords of masters review of the system lRecords of internal audits and follow up lRecords of chart corrections lClass quarterly listings lRecords of passage planning l
48、Oil record books lGarbage logs lCompany manual and forms ISM Code- Safety Principles l1.ISM code is an application of ISO9000 principles to maritime safety management.l2. ISM code controls human element by impacting on the way shipping companies are managed, thus enhances the maritime safety and pro
49、tects the marine environment.l3.benefits derived from safety management improve the performance of company in competition. ISM Code- Safety Principles l4.Verification and audit by administration and PSC play important roles.l5.The commitment, competence, attitudes and motivation of individuals at al
50、l levels determines the safety management result. ISMISM规则的安全保障原理规则的安全保障原理lISM规则是ISO9000的原理，结合海上安全实际的产物，富含现代管理科学和安全科学的成就lISM规则的重点是公司安全管理，直接目标是控制人为因素，最终目标是实现海上安全和防止污染，即通过控制公司来控制人为因素。lISM规则的驱动机制:利益驱动lISM规则的驱动机制:外部审核lISM规则的驱动机制:全员参与Safety Management System lEvery Company should develop, implement and m
