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Contcns

Forcword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
lntcrnationaI Convcntion for tbc Safcty of tifc at Sca,1974, as
amcndcd
Chuptor lX - Managcmcnt for tbc safc opcration of sbips . . . . . . . l
kosooton A.74ltl8) us umondod by MSC.l04t73)
MSC.l79t79), MSC.l95t80), MSC.273t85)
lntcrnationaI Safcty Managcmcnt Codc. . . . . . . . . . . . . . . . . . . . . . . 7
kosooton A.l022t26)
GoidcIincs on lmpIcmcntation of tbc lntcrnationaI Safcty
Managcmcnt Codc by Administrations . . . . . . . . . . . . . . . . . . . . . . 27
MSC-MLlC.7/Crc.5
GoidcIincs on lmpIcmcntation of tbc lntcrnationaI Safcty
Managcmcnt Codc by Companics . . . . . . . . . . . . . . . . . . . . . . . . . . 45
MSC-MLlC.7/Crc.6
Goidancc on tbc qoaIifications, training and cxpcricncc ncccssary
for ondcrtaking tbc roIc of tbc dcsignatcd pcrson ondcr
tbc provisions of tbc lntcrnationaI Safcty Managcmcnt Codc . . . . . . 52
MSC-MLlC.7/Crc.7
Goidancc on ncar-miss rcporting . . . . . . . . . . . . . . . . . . . . . . . . . . 56
Noi dong
toi noi dao . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Cong ooc qooc tc vc an toan sinb mang con ngooi trcn bicn 1974
da dooc soa doi
Choong lX - Qoan Iy dc kbai tbac tao an toan . . . . . . . . . . . . . . . l
Ngh qoyot A.74ltl8) dooc sou do bo MSC.l04t73)
MSC.l79t79), MSC.l95t80), MSC.273t85)
o Ioat qoan Iy an toan qooc tc . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Ngh qoyot A.l022t26)
Hoong dan tboc bicn o Ioat qoan Iy an toan
qooc tc cbo Cbnb qoycn bang bai . . . . . . . . . . . . . . . . . . . . . . . 27
MSC-MLlC.7/Crc.5
Hoong dan tboc bicn o Ioat qoan Iy
an toan qooc tc cbo Cong ty . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
MSC-MLlC.7/Crc.6
Hoong dan vc tico cboan cboycn mon, dao tao va kinb ngbicm
can tbict doi voi ngooi tboc bicn vai tro coa Ngooi pbo tracb
tbco cac dico kboan coa o Ioat qoan Iy an toan qooc tc . . . . . . 52
MSC-MLlC.7/Crc.6
Hoong dan bao cao tnb boong can ngoy . . . . . . . . . . . . . . . . . . 56

Forcword
\th tho ontry nto orco, on l oy l998, o tho l994 umondmonts to
tho lntornutonu Convonton or tho Suoty o Lo ut Sou tSOLAS),l974,
vhch ntrodocod u nov chuptor lX nto tho Convonton, tho
lntornutonu Suoty Munugomont tlSM) Codo hus boon mudo munduto-
ry. Chuptor lX vus umondod by rosooton MSC.99t73), vhch ontorod
nto orco on l oy 2002, und by rosooton MSC.l94t80), vhch
ontorod nto orco on l unoury 2009.
1ho Codo's orgns go buck to tho uto l980s, vhon thoro vus moontng
concorn uboot poor munugomont stundurds n shppng. lnvostgutons
nto uccdonts rovouod muor orrors on tho purt o munugomont und n
l987 tho lMO Assomby udoptod rosooton A.596tl5), vhch cuod
opon tho Murtmo Suoty Commttoo to dovoop godonos concornng
shpbourd und shoro busod munugomont to onsoro tho suo oporuton o
ro ro pussongor orros.
1ho lSM Codo ovovod throogh tho dovoopmont o tho Codonos on
munugomont or tho suo oporuton o shps und or pooton provonton,
udoptod n l989 by tho lMO Assomby us rosooton A.647tl6), und tho
rovsod Codonos, udoptod tvo yours utor us rosooton A.680tl7), to
ts corront orm, tho lntornutonu Munugomont Codo or tho Suo
Oporuton o Shps und or looton lrovonton tlntornutonu Suoty
Munugomont tlSM) Codo), vhch vus udoptod n l993 us
rosooton A.74ltl8). 1hs Codo vus umondod n Docombor 2000 by
rosooton MSC.l04t73), und thoso umondmonts ontorod nto orco on
l oy 2002. lt vus orthor umondod n Docombor 2004 by rosooton
MSC.l79t79), und thoso umondmonts ontorod nto orco on l oy
2006. lt vus orthor umondod n Muy 2005 by rosooton MSC.l95t80),
und thoso umondmonts ontorod nto orco on l unoury 2009. 1ho lSM
Codo vus uso umondod n Docombor 2008 by rosooton
MSC.273t85). 1hs rosooton vus udoptod on l unoury 20l0, und tho
umondmonts v ontor nto orco on l oy 20l0.
toi noi dao
Cuc bo song sou do num l994 do vo Cong ooc qooc to vo un toun
snh mung con ngoo tron bon tSOLAS), l974 co hoo oc vuo nguy
0l/7/l998. Kh bo song sou do num l994 nuy dou thom choong lX vuo
Cong ooc SOLAS, l974, o out qoun y un toun qooc to to out lSM)
cong tro thunh up dong but booc. o song sou do do vo choong lX
bo ngh qoyot MSC.99t73) co hoo oc to nguy 0l/7/2002 vu bo ngh
qoyot MSC.l94t80) co hoo oc to nguy 0l/0l/2009.
o out nuy kho ngoon to coo thup ky l980, kh mu so o ngu nguy
cung gu tung vo voc thoo cuc too choun qoun y tuo. Cuc doo tru tu
nun du cho thuy cuc su sot trum trong trong cong tuc qoun y vu vuo num
l997, Du ho dong cou 1o choc hung hu qooc to t1o choc) du thong
qou ngh qoyot A.596tl5) trong do yoo cuo |y bun An toun hung hu
phu xuy dong cuc hoong dun on qoun to cong tuc qoun y doo tuo vu
tron bo do dum buo hout dong un toun cho tuo cho khuch kO-kO.
o out lSM dooc kon toun thong qou voc tron khu Hoong dun do
qoun y khu thuc tuo un toun vu do ngun ngou o nhom du dooc Du
ho dong cou 1o choc thong qou num l989 bung ngh qoyot
A.647tl6), vu Hoong dun du dooc bo song sou do nuy dooc thong
qou hu num suo do bung ngh qoyot A.680tl7) vu doo hnh thoc nho
hon nuy, o out qoun y qooc to do khu thuc tuo un toun vu ngun
ngou o nhom to out lSM) dooc thong qou vuo num l993 bung ngh
qoyot A.74ltl8). o out lSM du dooc bo song sou do vuo l2/2000
bung ngh qoyot MSC.l04t73), vu cuc bo song sou do nuy co hoo oc
to 0l/7/2002. Vuo thung l2/2004, o out lSM dooc bo song sou do
bo ngh qoyot MSC.l79t79) vu bo song sou do nuy co hoo oc vuo
0l/7/2006. Vuo thung 5/2005, o out lSM dooc bo song sou do bo
ngh qoyot MSC.l95t80) vu bo song sou do nuy co hoo oc vuo
0l/0l/2009. Vuo thung l2/2008, o out lSM dooc bo song sou do
bo ngh qoyot MSC.273t85) vu bo song sou do nuy co hoo oc vuo
0l/7/20l0.
v v
ln l995, tho lMO Assomby, rocognzng tho nood or onorm mpo-
montuton o tho lSM Codo und thut thoro mght bo u nood or
Admnstrutons to ontor nto ugroomonts n rospoct o tho ssounco o
cortcutos by othor Admnstrutons n uccordunco vth SOLAS
chuptor lX und tho lSM Codo, udoptod tho Codonos on
lmpomontuton o tho lntornutonu Suoty Munugomont tlSM) Codo by
Admnstrutons by rosooton A.788tl9). 1hoso Codonos voro
ropucod vth kovsod Codonos, vhch voro udoptod by rosooton
A.9l3t22) n Novombor 200l, vhch rovokod rosooton A.788tl9).
Codonos on lmpomontuton o tho lntornutonu Suoty Munugomont
tlSM) Codo by Admnstrutons voro udoptod by rosooton A.l022t26)
n Docombor 2009. 1hs rosooton rovockos rosooton A.9l3t22) vth
ooct romt l oy 20l0.
1hs pobcuton ncodos tho toxts o SOLAS chuptor lX, tho lSM Codo und
tho Codonos roorrod to n tho provoos purugruphs. Addtonuy,
Codonos or tho oporutonu mpomontuton o tho lntornutonu Suoty
Munugomont tlSM) Codo by Compunos, Codunco on tho qoucutons,
trunng und oxporonco nocossury or ondortukng tho roo o tho dosgnutod
porson ondor tho provsons o tho lntornutonu Suoty Munugomont tlSM)
Codo und Codunco on nour-mss roportng uro ncodod.
Nhun thoc dooc so cun thot cou voc tron khu thoc hon o out lSM
mot cuch thong nhut vu ho tro Chnh qoyon hung hu vo vun do thou
thoun vo cuc Chnh qoyon hung hu khuc vo voc cup cuc guy chong
nhun toun tho vo choong lX cou SOLAS vu o out lSM, num l995,
Du ho dong cou 1o choc du thong qou Hoong dun tron khu thoc
hon o out qoun y un toun qooc to to out lSM) cho cuc Chnh
qoyon hung hu bung ngh qoyot A.788tl9). Hoong dun nuy du dooc
thuy tho bung Hoong dun du dooc bo song sou do vuo thung ll num
200l dooc thong qou bung ngh qoyot A.9l3t22). Ngh qoyot nuy hoy
bo ngh qoyot A.788tl9). Vuo thung l2/2009, Hoong dun tron khu
thoc hon o out qoun y un toun qooc to to out lSM) cho cuc Chnh
qoyon hung hu du dooc thong qou bo ngh qoyot A.l022t26). Ngh
qoyot nuy hoy bo ngh qoyot A.9l3t22) ko to nguy 0l/7/20l0.
An phum nuy buo gom choong lX cou SOLAS, o out lSM vu Hoong
dun du dooc sou do noo tron. Ngou ru, un phum nuy con buo gom
Hoong dun tron khu thoc hon o out qoun y un toun qooc to to
out lSM) cho cuc Cong ty, Hoong dun vo too choun nung oc, duo tuo
vu knh nghom cun thot kh dum nhun vu tro cou Ngoo pho truch
thoo cuc doo khoun cou o out qoun y un toun qooc to to out lSM)
vu Hoong dun buo cuo tnh hoong cun ngoy.
lntcrnationaI Convcntion for tbc Safcty
of tifc at Sca,1974,
asmcndcd
Chuptor lX - Munugomont or tho suo oporuton o shps
Cong ooc qooc tc vc an toan sinb mang
con ngooi trcn bicn, 1974,
da dooc soa doi
Choong lX - oun y do khu thuc tuo un toun
2 2
SOLS 1974 - Chuong X SOLS 1974 - Chap|cr X
Munugomont or tho suo
oporuton o shps
Chap|cr X* of |hc anncx |o |hc 1974 SOLS Convcn|on
kcgoIation 1
Dcfn|on
lor tho porposo o ths chuptor, onoss oxprossy provdod othorvso:
1 n|crna|ona Safc|, \anagcmcn| tlSM) Codo mouns tho
lntornutonu Munugomont Codo or tho Suo Oporuton o Shps und or
looton lrovonton udoptod by tho Orgunzuton by rosooton
A.74ltl8), us muy bo umondod by tho Orgunzuton, provdod thut
soch umondmonts uro udoptod, brooght nto orco und tuko ooct n
uccordunco vth tho provsons o urtco Vlll o tho prosont Convonton
concornng tho umondmont procodoros uppcubo to tho Annox othor
thun chuptor l.
2 Compan, mouns tho ovnor o tho shp or uny othor orgunzuton
or porson soch us tho munugor, or tho burobout churtoror, vho hus
ussomod tho rosponsbty or oporuton o tho shp rom tho ovnor o
tho shp und vho on ussomng soch rosponsbty hus ugrood to tuko
ovor u tho dotos und rosponsbtos mposod by tho lntornutonu
Suoty Munugomont Codo.
3 O |an|cr mouns un o tunkor us donod n rogouton
ll-l/2.22.

oun y do khu thuc


tuo un toun
Chuong X* |rong phu uc cua Cong uoc SOLS, 1974
Qoy d|nb 1
Cac dnh ngha
Do dong cho choong nuy tro kh co cuc qoy dnh khuc:
1 o ua| quan , an |oan quoc |c tlSM) u o out qoun y qooc
to do khu thuc tuo un toun vu ngun ngou o nhom dooc 1o choc thong
qou bung ngh qoyot A.74ltl8), co tho dooc 1o choc bo song sou do,
kh mu nhong bo song sou do nuy dooc thong qou, co hoo oc vu
dooc th hunh thoo cuc qoy dnh o doo Vlll cou Cong ooc nuy on
qoun to cuc tho toc bo song sou do up dong cho pho oc khong phu
u choong l.
2 Cong |, u cho tuo houc mot to choc huy cu nhun nuo do nho
ngoo qoun y, houc ngoo thoo tuo trun, ngoo du vu dung dum doong
truch nhom do vo voc khu thuc tuo thuy cho cho tuo vu dong y thoc
hon toun bo cuc nghu vo vu truch nhom thoo qoy dnh cou o out
qoun y un toun qooc to.
3 Tau cho dau u tuo cho duo nho dooc dnh nghu o qoy dnh ll-
l/2.22.

* Chuptor lX o tho unnox to tho l974 SOLAS Convonton vus udoptod by tho l994
SOLAS Conoronco. lt vus uccoptod on l unoury l998 und und ontor norco on l oy
l998. 1ho toxt vus umondod by rosooton MSC.99t73) n Docombor 2000, und thoso
umondmonts ontor norco on l oy 2002. lt vus uso umondod by rosooton
MSC.l94t80) n Muy 2005, und thoso umondmonts ontor norco on l unoury 2009.
.o., "tho o tunkor donod n rogouton l o Annox l o tho lrotoco o l978 routng
to tho lntornutonu Convonton or tho lrovonton o looton rom Shps, l973".
* Chng IX trong phu luc cua Cong c SOLAS 1974, c chap thuan tai Hoi
thao ve SOLAS nam 1994. Chng nay c chap thuan vao ngay 1 thang 1 nam
1998, va co hieu lc vao ngay 1 thang 7 nam 1998. Noi dung cua chng nay a
c bo sung sa oi bi ngh quyet MSC.99(73) vao thang 12 nam 2000, va cac
bo sung sa oi nay co hieu lc vao ngay 1 thang 7 nam 2002. Thang 5 nam 2005,
chng nay lai c bo sung sa oi bi ngh quyet MSC.194(80) va co hieu lc
vao ngay 1 thang 1 nam 2009.
ngha la: tau dau c nh ngha quy nh 1 cua Phu luc I thuoc Ngh nh
1978 lien quan en Cong c MARPOL 73.
3 3
SOLS 1974 - Chuong X SOLS 1974 - Chap|cr X
4 Chcmca |an|cr mouns u chomcu tunkor us donod n rogouton
Vll/8.2.*
S Ca carrcr mouns u gus curror us donod n rogouton Vll/ll.2.

6 u| carrcr mouns u shp vhch s constroctod gonoruy vth


sngo dock, top-sdo tunks und hoppor sdo tunks n curgo spucos, und
s ntondod prmury to curry dry curgo n bok, und ncodos soch
typos us oro currors und combnuton currors.
7 \obc offhorc drng un| \ODU) mouns u vosso cupubo o
ongugng n drng oporutons or tho oxporuton or or oxpotuton o
rosoorcos bonouth tho sou-bod soch us qod or gusooos hydrocurbons,
sophor or sut.
8 Hgh pccd craf| mouns u crut us donod n rogouton X/l.

kcgoIation 2
ppca|on
1 1hs chuptor uppos to shps, rogurdoss o tho duto o constrocton,
us oovs:
.1 pussongor shps ncodng pussongor hgh-spood crut, not
utor thun l oy l998,
.2 o tunkors, chomcu tunkors, gus currors, bok currors und
curgo hgh spood crut o 500 gross tonnugo und opvurds,
not utor thun l oy l998, und
.3 othor curgo shps und mobo oshoro drng onts o 500
gross tonnugo und opvurds, not utor thun l oy 2002.
4 Tau cho hoa cha| u tuo cho hou chut nho dooc dnh nghu o qoy
dnh Vll/8.2.*
S Tau cho |h u tuo cho kh nho dooc dnh nghu o qoy dnh Vll/ll.2.

6 Tau cho xo hang |ho u tuo thoong dooc dong boong don, vo
cuc kot dnh mun vu cuc kot hong trong khoung hung, co moc dch cho
yoo do cho xo hung kho, vu buo gom cu cuc ou tuo nho tuo cho qoung
vu tuo cho hung hon hop.
7 Ca n |hoan bc n d do ng t\ODU) u tu o co khu nu ng thum gu
cu c hou t do ng khoun nhu m thu m do hou c khu thu c khou ng su n
doo du y bo n nho cucbou hydro, oo hoy nh hou c moo o tho kh
hou c o ng.
8 Tau cao |oc u tuo nho dooc dnh nghu o qoy dnh X/l.

Qoy d|nb 2
|ham v ap dung
1 Choong nu y u p do ng cho cu c tu o, kho ng xo t to ngu y do ng,
nho suo:
.1 cuc tuo khuch buo gom cu tuo khuch cuo toc, khong moon
hon nguy l thung 7 num l998,
.2 cuc tuo cho duo, tuo cho hou chut, tuo cho kh, tuo cho xo
hung kho vu tuo hung cuo toc co tong dong tch to 500 tro
on, khong moon hon nguy l thung 7 num l998, vu
.3 cuc tuo hung khuc vu cuc gun khoun bon d dong co tong dong
tch to 500 tro on, khong moon hon nguy l thung 7 num 2002.
* 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.

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 (m
3
) excluding craft the hull of which is supported completely clear
about the water surface in non-displacement mode by aerodynamic forces gener-
ated by ground effect".
* ngha la: tau hang c ong hoac hoan cai va c s dung e ch xo bat ky
loai hang long nao c liet ke trong chng 17 cua Bo luat quoc te ve ch xo hang
hoa chat.

ngha la: tau hang c ong hoac hoan cai va c s dung e ch xo bat ky
loai kh hoa long hoac cac san pham khac c liet ke trong chng 19 cua Bo luat
quoc te ve chuyen ch Gas".

ngha la: mot tau co kha nang at toc o toi a theo n v met tren giay (m/s)
bang hoac vt: 3.7
0.1667
vi = the tch lng chiem nc tng ng vi ng
nc thiet ke (m
3
) tr tau co than nam hoan toan ben tren mat nc trong tnh trang
khong co lng chiem nc do hieu ng kh ong lc gay ra.
4 4
SOLS 1974 - Chuong X SOLS 1974 - Chap|cr X
2 1hs chuptor doos not uppy to govornmont-oporutod shps osod
or non-commorcu porposos.
kcgoIation 3
Safc|, managcmcn| rcqurcmcn|
1 1ho compuny und tho shp shu compy vth tho roqoromonts o
tho lntornutonu Suoty Munugomont Codo. lor tho porposo o ths
rogouton, tho roqoromonts o tho Codo shu bo troutod us mundutory.
2 1ho shp shu bo oporutod by u compuny hodng u Docomont o
Compunco roorrod to n rogouton 4.
kcgoIation 4
Ccr|fca|on
1 A Docomont o Compunco shu bo ssood to ovory compuny
vhch compos vth tho roqoromonts o tho lntornutonu Suoty
Munugomont Codo. 1hs docomont shu bo ssood by tho Admnstruton,
by un orgunzuton rocognzod by tho Admnstruton, or ut tho roqoost o
tho Admnstruton by unothor Contructng Covornmont.
2 A copy o tho Docomont o Compunco shu bo kopt on bourd tho
shp n ordor thut tho mustor cun prodoco t on roqoost or vorcuton.
3 A Cortcuto, cuod u Suoty Munugomont Cortcuto, shu bo
ssood to ovory shp by tho Admnstruton or un orgunzuton
rocognzod by tho Admnstruton. 1ho Admnstruton or orgunzuton
rocognzod by t shu, booro ssong tho Suoty Munugomont
Cortcuto, vory thut tho compuny und ts shpbourd munugomontp
uccordunco vth tho upprovod suoty munugomont systom.
kcgoIation S
\an|cnancc of cond|on
1ho suoty munugomont systom shu bo muntunod n uccordunco
vth tho provsons o tho lntornutonu Suoty Munugomont Codo.
2 Choong nuy khong up dong cho nhong tuo dooc chnh pho khu
thuc dong cho nhong moc dch ph thoong mu.
Qoy d|nb 3
Cac ,cu cau vc quan , an |oan
1 Cong ty vu tuo phu toun thoo cuc yoo cuo cou o out qoun y un
toun qooc to. oy dnh nuy nhum moc dch but booc up dong cuc yoo
cuo cou o out lSM.
2 1uo phu dooc khu thuc bo mot Cong ty co Cuy chong nhun
pho hop nho dooc noo o qoy dnh 4.
Qoy d|nb 4
Chung nhan
1 Cuy chong nhun pho hop so dooc cup cho mo Cong ty thou
mun cuc yoo cuo cou o out qoun y un toun qooc to. Chnh qoyon
hung hu, mot to choc dooc Chnh qoyon hung hu cong nhun, houc
mot Chnh pho ky kot khuc noo Chnh qoyon hung hu yoo cuo so cup
guy chong nhun nuy.
2 un suo cou Cuy chong nhun pho hop so phu dooc oo go tron
tuo do thoyon troong co tho dou ru kh dooc yoo cuo kom tru xuc nhun.
3 Cuy chong nhun, dooc go u Cuy chong nhun qoun y un toun,
phu dooc cup cho mo tuo bo Chnh qoyon hung hu houc bo mot to
choc dooc Chnh qoyon hung hu cong nhun. 1rooc kh cup Cuy
chong nhun qoun y un toun, Chnh qoyon hung hu houc mot to choc
dooc Chnh qoyon hung hu cong nhun phu kom tru xom Cong ty vu
cuc hout dong qoun y tron tuo cou Cong ty co pho hop vo ho thong
qoun y un toun nho du dooc pho choun huy khong.
Qoy d|nb S
Du, |r cac dcu |cn
Ho thong qoun y un toun phu dooc doy tr pho hop cuc doo khoun
cou o out qoun y un toun qooc to.
5 5
SOLS 1974 - Chuong X SOLS 1974 - Chap|cr X
kcgoIation 6
Vcrfca|on and con|ro
1 1ho Admnstruton, unothor Contructng Covornmont ut tho
roqoost o tho Admnstruton or un orgunzuton rocognzod by tho
Admnstruton shu porodcuy vory tho propor onctonng o tho
shp's suoty munugomont systom.
2 A shp roqorod to hod u cortcuto ssood porsount to tho
provsons o rogouton 4.3 shu bo soboct to contro n uccordunco
vth tho provsons o rogouton Xl/4. lor ths porposo soch cortcuto
shu bo troutod us u cortcuto ssood ondor rogouton l/l2 or l/l3.
Qoy d|nb 6
Kcm |ra xac nhan va |cm oa|
1 Chnh qoyon hung hu, Chnh pho ky kot khuc thoo yoo cuo cou
Chnh qoyon hung hu houc mot to choc dooc Chnh qoyon hung hu
cong nhun phu kom tru xuc nhun thoo dnh ky voc thoc hon choc
nung thch hop cou ho thong qoun y un toun cou tuo.
2 1uo dooc yoo cuo phu co guy chong nhun dooc cup thoo cuc
doo khoun cou qoy dnh 4.3 phu cho so kom sout thoo cuc doo
khoun cou qoy dnh Xl/4. oy dnh nuy nhum moc dch khung dnh:
guy chong nhun do phu dooc xom nho guy chong nhun dooc cup
thoo qoy dnh l/l2 houc l/l3.
lntcrnationaI Safcty
Managcmcnt Codc
o Ioat
Qoan Iy an toan qooc tc
7 7
lntornutonu Suoty
Munugomont Codo
Rcou|on .74118) a amcndcd b,
\SC.1047J) \SC.17979), \SC.1980)
and \SC.27J8)
FkFAMtF
1 1ho porposo o ths Codo s to provdo un ntornutonu stundurd or
tho suo munugomont und oporuton o shps und or pooton provonton.
2 1ho Assomby udoptod rosooton A.443tXl) by vhch t nvtod u
Covornmonts to tuko tho nocossury stops to suogourd tho shpmustor n
tho propor dschurgo o hs rosponsbtos vth rogurd to murtmo
suoty und tho protocton o tho murno onvronmont.
3 1ho Assomby uso udoptod rosooton A.680tl7) by vhch t orthor
rocognzod tho nood or uppropruto orgunzuton o munugomont to
onubo t to rospond to tho nood o thoso on bourd shps to uchovo und
muntun hgh stundurds o suoty und onvronmontu protocton.
4 kocognzng thut no tvo shppng compunos or shpovnors uro
tho sumo, und thut shps oporuto ondor u vdo rungo o doront
condtons, tho Codo s busod on gonoru prncpos und oboctvos.
S 1ho Codo s oxprossod n broud torms so thut t cun huvo u vdo-
sproud uppcuton. Coury, doront ovos o munugomont, vhothor
shoro-busod or ut sou, v roqoro vuryng ovos o knovodgo und
uvuronoss o tho toms ootnod.
6 1ho cornorstono o good suoty munugomont s commtmont rom
tho top. ln muttors o suoty und pooton provonton t s tho commtmont,
compotonco, utttodos und motvuton o ndvdous ut u ovos thut
dotormnos tho ond rosot.
o out
oun y un toun qooc to
^gh qu,c| .74118) da duoc ua do bo
\SC.1047J), \SC.17979), \SC.1980)
va \SC.27J8)
GlOl THlF
1 Moc dch cou o out nuy u dou ru mot too choun qooc to do
qoun y vu khu thuc tuo un toun vu do ngun ngou o nhom.
2 Du ho dong du thong qou ngh qoyot A.443tXl) khoyon ngh cuc
Chnh pho up dong nhong bon phup cun thot do buo vo thoyon
troong thoc th mot cuch dong dun truch nhom cou mnh on qoun
don un toun hung hu vu buo vo mo troong bon.
3 Du ho dong cong du thong qou ngh qoyot A.680tl7) cong nhun
cun phu to choc qoun y mot cuch thch hop do co khu nung dup ong
nho cuo cou thoyon bo tron tuo nhum dut dooc vu doy tr cuc too
choun cuo vo un toun vu buo vo mo troong.
4 Nhun thuy rung khong co hu Cong ty tuo bon houc hu cho tuo
gong nhuo vu cuc tuo hout dong trong mot phum v rong vo cuc doo
kon khuc nhuo, do do o out nuy dooc xuy dong tron cuc ngoyon tuc
vu cuc moc too chong.
S o out nuy so dong nhong thout ngo khu qout do co tho up dong
rong ru. Do moc do qoun y tron bo huy tron bon khuc nhuo, non cuc
yoo cuo vo hoo bot vu nhun thoc vo cuc doo khoun du dooc noo ru
so khuc nhuo.
6 Non tung cou qoun y un toun tot chnh u so cum kot to cup unh
duo cuo nhut. 1rong nh voc un toun vu ngun ngou o nhom, so cum
kot, nung oc, thu do vu dong co cou mo thunh von o tut cu cuc cup
so qoyot dnh kot qou coo cong.
8 8
o ua| S\ S\ Codc
FAkT A - lMFtFMFNTATlON
1 GFNFkAt
1.1 Dcfinitions
1ho oovng dontons uppy to purts A und o ths Codo
1.1.1 n|crna|ona Safc|, \anagcmcn| S\) Codc mouns tho
lntornutonu Munugomont Codo or tho Suo Oporuton o Shps und or
looton lrovonton us udoptod by tho Assomby, us muy bo umondod
by tho Orgunzuton.
1.1.2 Compan, mouns tho Ovnor o tho shp or uny othor orgunzuton
or porson soch us tho Munugor, or tho urobout Churtoror, vho hus
ussomod tho rosponsbty or oporuton o tho shp rom tho Shpovnor
und vho, on ussomng soch rosponsbty, hus ugrood to tuko ovor u
tho dotos und rosponsbty mposod by tho Codo.
1.1.3 dmn|ra|on mouns tho Covornmont o tho Stuto vhoso ug
tho shp s onttod to y.
1.1.4 Safc|, \anagcmcn| S,|cm mouns u stroctorod und docomontod
systom onubng Compuny porsonno to mpomont ooctvoy tho
Compuny suoty und onvronmontu protocton pocy.
1.1.S Documcn| of Compancc mouns u docomont ssood to u
Compuny vhch compos vth tho roqoromonts o ths Codo.
1.1.6 Safc|, \anagcmcn| Ccr|fca|c mouns u docomont ssood to u
shp vhch sgnos thut tho Compuny und ts shpbourd munugomont
oporuto n uccordunco vth tho upprovod suoty munugomont systom.
1.1.7 Obcc|vc cvdcncc mouns qounttutvo or qoututvo normuton,
rocords or stutomonts o uct portunng to suoty or to tho oxstonco und
mpomontuton o u suoty munugomont systom oomont, vhch s
busod on obsorvuton, mousoromont or tost und vhch cun bo vorod.
FHAN A - THC HlFN
1 QY ]NH CHNG
1.1 Cac d|nb ngbia
Nhong dnh nghu suo dooc up dong cho phun A vu cou o out nuy
1.1.1 o ua| quan , an |oan quoc |c S\) nghu u o out qoun y
qooc to do khu thuc tuo un toun vu ngun ngou o nhom. o out du
dooc Du ho dong thong qou vu co tho dooc 1o choc hung hu qooc
to t1o choc) sou do.
1.1.2 Cong |, nghu u cho tuo houc mot to choc huy cu nhun nuo do
nho ngoo qoun y, houc ngoo thoo tuo trun, ngoo du vu dung dum
doong truch nhom do vo voc khu thuc tuo thuy cho cho tuo vu dong
y thoc hon toun bo cuc nghu vo vu truch nhom thoo qoy dnh cou
o out qoun y un toun qooc to
1.1.3 Chnh qu,cn hang ha nghu u Chnh pho cou qooc gu co co
mu tuo mung.
1.1.4 Hc |hong quan , an |oan nghu u ho thong co cuo troc vu dooc
up thunh vun bun cho phop nhong ngoo trong Cong ty thoc hon mot
cuch co hoo oc chnh such un toun vu buo vo mo troong cou Cong ty.
1.1.S Ca, chung nhan phu hop nghu u guy chong nhun cup cho
Cong ty toun tho vo cuc yoo cuo cou o out nuy.
1.1.6 Ca, chung nhan quan , an |oan nghu u guy chong nhun cup
cho tuo khung dnh hout dong qoun y cou Cong ty vu cou tuo toun tho
vo ho thong qoun y un toun du dooc pho doyot.
1.1.7 ang chung |hach quan nghu u cuc thong tn, ho so houc
nhong so voc thoc to mung tnh chut dnh tnh houc dnh oong on
qoun don un toun houc so ton tu vu voc thoc hon mot yoo to cou ho
thong qoun y un toun. ung chong khuch qoun co dooc dou tron voc
qoun sut, do duc houc tho nghom vu co tho kom tru xuc nhun dooc.
9 9
o ua| S\ S\ Codc
1.1.8 Obcrva|on mouns u stutomont o uct mudo dorng u suoty
munugomont uodt und sobstuntutod by oboctvo ovdonco.
1.1.9 ^on-conform|, mouns un obsorvod stouton vhoro oboctvo
ovdonco ndcutos tho non-omont o u spocod roqoromont.
1.1.10 \aor non-conform|, mouns un dontubo dovuton thut posos
u soroos throut to tho suoty o porsonno or tho shp or u soroos rsk to tho
onvronmont thut roqoros mmoduto corroctvo ucton or tho uck o ooctvo
und systomutc mpomontuton o u roqoromont o ths Codo.
1.1.11 nnvcrar, da|c mouns tho duy und month o ouch your thut
corrosponds to tho duto o oxpry o tho roovunt docomont or cortcuto.
1.1.12 Convcn|on mouns tho lntornutonu Convonton or tho Suoty
o Lo ut Sou, l974 us umondod.
1.2 Objcctivcs
1.2.1 1ho oboctvos o tho Codo uro to onsoro suoty ut sou, provonton o
homun nory or oss o o, und uvodunco o dumugo to tho onvronmont,
n purtcour, to tho murno onvronmont und to proporty.
1.2.2 Suoty munugomont oboctvos o tho Compuny shood, ntor uu:
.1 provdo or suo pructcos n shp oporuton und u suo vorkng
onvronmont,
.2 ussoss u dontod rsks to ts shps, porsonno und tho
onvronmont und ostubsh uppropruto suogourds, und
.3 contnooosy mprovo suoty munugomont sks o porsonno
ushoro und ubourd shps, ncodng propurng or omorgoncos
routod both to suoty und onvronmontu protocton.
1.2.3 1ho suoty und munugomont systom shood onsoro:
.1 compunco vth mundutory roos und rogoutons, und
.2 thut uppcubo codos, godonos und stundurds rocommondod
Orgunzuton, Admnstrutons, cusscuton socotos und
murtmo ndostry orgunzutons uro tukon nto uccoont.
1.1.8 Su gh nhan nghu u mot so voc thoc to dooc phut hon kh
dunh gu cong tuc qoun y un toun vu dooc chong mnh bung nhong
bung chong khuch qoun.
1.1.9 Su |hong phu hop nghu u mot tnh hoong qoun sut dooc vu co cuc
bung chong khuch qoun ch ru so khong toun tho vo mot yoo cuo co tho.
1.1.10 Su |hong phu hop nghcm |rong nghu u mot su och co tho xuc
dnh, do dou nghom trong to un toun cou con ngoo houc tuo houc mo
troong vu yoo cuo phu co hunh dong khuc phoc nguy up toc houc thoc hon
mot yoo cuo cou o out nuy mot cuch thoo ho thong vu thoo hoo oc.
1.1.11 ^ga, an dnh hang nam nghu u nguy vu thung cou num
trong vo nguy hot hun hoo oc cou guy chong nhun on qoun.
1.1.12 Cong uoc nghu u Cong ooc qooc to vo An toun snh mung
con ngoo tron bon l974 du dooc sou do.
1.2 Moc tico
1.2.1 Moc too cou o out nuy u dum buo un toun tron bon, ngun
ngou thoong vong vo ngoo, vu trunh cuc thot hu do vo mo troong,
duc bot u mo troong bon vu do vo tu sun.
1.2.2 Moc too qoun y un toun cou Cong ty to thoo phu buo gom:
.1 up ru cuc tuc nghop un toun trong khu thuc tuo vu mo
troong um voc un toun,
.2 dunh gu mo ro ro du dooc xuc dnh do vo tuo, con ngoo vu
mo troong vu thot up cuc bon phup buo vo thch hop, vu
.3 on toc houn thon ky nung qoun y un toun cou nhong ngoo
tron bo vu doo tuo, buo gom cu voc choun b do pho vo cuc
tnh hoong khun cup on qoun to un toun vu buo vo mo troong.
1.2.3 Ho thong qoun y un toun phu dum buo:
.1 toun tho cuc qoy phum vu cuc qoy dnh but booc, vu
.2 oo tu m to cu c bo ou t, hoo ng du n vu to o chou n co tho u p do ng
do 1o cho c hu ng hu qoo c to , cu c Chnh qoyo n hu ng hu , cu c to
cho c phu n cu p vu cu c to cho c co ng ngho p hu ng hu khoyo n ngh.
l0 l0
o ua| S\ S\ Codc
1.3 AppIication
1ho roqoromonts o ths Codo muy bo uppod to u shps.
1.4 FonctionaI rcqoircmcnts for a safcty managcmcnt systcm
Lvory Compuny shood dovoop, mpomont und muntun u suoty
munugomont systom vhch ncodos tho oovng onctonu roqoro-
monts:
.1 u suoty und onvronmontu protocton pocy,
.2 nstroctons und procodoros to onsoro suo oporuton o
shps und protocton o tho onvronmont n compunco
vth roovunt ntornutonu und ug Stuto ogsuton,
.3 donod ovos o uothorty und nos o commoncuton
botvoon, und umongst, shoro und shpbourd porsonno,
.4 procodoros or roportng uccdonts und non-conormtos
vth tho provsons o ths Codo,
.S procodoros to propuro or und rospond to omorgoncy stou-
tons, und
.6 procodoros or ntornu uodts und munugomont rovovs.
2 SAFFTY AND FNVlkONMFNTAt FkOTFCTlON FOtlCY
2.1 1ho Compuny shood ostubsh u suoty und onvronmontu- protoc-
ton pocy vhch doscrbos hov tho oboctvos, gvon n purugruph l.2
v bo uchovod.
2.2 1ho Compuny shood onsoro thut tho pocy s mpomontod und
muntunod ut u ovos o tho orgunzuton, both shp busod us vo us
shoro busod.
1.3 Ap dong
Cuc yoo cuo cou o out nuy co tho up dong cho tut cu cuc tuo.
1.4 Cac yco cao cboc nang doi voi bc tbong qoan Iy an toan
Mo Cong ty phu xuy dong, thoc hon vu doy tr mot ho thong qoun
y un toun buo gom cuc yoo cuo choc nung suo:
.1 mot chnh such un toun vu buo vo mo troong,
.2 cuc hoong dun vu qoy trnh do dum buo khu thuc tuo un
toun vu buo vo mo troong pho hop vo out phup co on
qoun cou qooc to vu qooc gu mu tuo mung co,
.3 xuc dnh cuc moc phun cup qoyon hun vu toyon thong tn
on uc gou nhong ngoo tron bo, gou nhong ngoo tron
tuo vu gou tuo vo bo,
.4 cuc qoy trnh buo cuo cuc tu nun vu so khong pho hop vo
cuc doo khoun cou o out nuy,
.S cuc qoy trnh do choun b sun sung vu do pho vo cuc tnh
hoong khun cup, vu
.6 cuc qoy trnh dunh gu no bo vu sout xot cong tuc qoun y.
2 CHlNH SACH AN TOAN VA AO VF MOl TkONG
2.1 Cong ty phu thot up mot chnh such un toun vu buo vo mo
troong trong do mo tu cuch thoc do dut dooc nhong moc too du do ru
trong moc l.2.
2.2 Cong ty phu dum buo rung chnh such nuy dooc thoc hon vu
doy tr o tut cu cuc cup cou cong ty, cu o tron bo vu doo tuo.
ll ll
o ua| S\ S\ Codc
3 COMFANY kFSFONSlltlTlFS AND ATHOklTY
3.1 l tho ontty vho s rosponsbo or tho oporuton o tho shp s
othor thun tho ovnor, tho ovnor most roport tho o numo und dotus
o soch ontty to tho Admnstruton.
3.2 1ho Compuny shood dono und docomont tho rosponsbty,
uothorty und ntorrouton o u porsonno vho munugo, pororm und
vory vork routng to und uoctng suoty und pooton provonton.
3.3 1ho Compuny s rosponsbo or onsorng thut udoqouto rosoorcos
und shoro busod sopport uro provdod to onubo tho dosgnutod porson
or porsons to curry oot thor onctons.
4 DFSlGNATFD FFkSON(S)
1o onsoro tho suo oporuton o ouch shp und to provdo u nk botvoon
tho Compuny und thoso on bourd, ovory Compuny, us uppropruto, shood
dosgnuto u porson or porsons ushoro huvng droct uccoss to tho hghost
ovo o munugomont. 1ho rosponsbty und uothorty o tho dosgnutod
porson or porsons shood ncodo montorng tho suoty und pooton
provonton uspocts o tho oporuton o ouch shp und onsorng thut
udoqouto rosoorcos und shoro busod sopport uro uppod, us roqorod.
S MASTFk'S kFSFONSlltlTY AND ATHOklTY
S.1 1ho Compuny shood coury dono und docomont tho mustor's
rosponsbty vth rogurd to:
.1 mpomontng tho suoty und onvronmontu protocton
pocy o tho Compuny,
.2 motvutng tho crov n tho obsorvuton o thut pocy,
.3 ssong uppropruto ordors und nstroctons n u cour und
smpo munnor,
.4 voryng thut spocod roqoromonts uro obsorvod, und
.S porodcuy rovovng tho suoty munugomont systom und
roportng ts doconcos to tho shoro busod munugomont.
3 TkACH NHlFM VA QYFN HAN CA CONG TY
3.1 Noo thoc tho cho truch nhom qoun y tuo mu khong phu u
cho tuo, th cho tuo phu thong buo duy do ton vu cuc ch tot vo thoc
tho do cho Chnh qoyon hung hu.
3.2 Cong ty phu xuc dnh vu up thunh vun bun truch nhom, qoyon
hun vu mo qoun ho cou tut cu nhong ngoo um cong tuc qoun y, thoc
hon vu kom tru cong voc co on qoun vu unh hoong to un toun vu
ngun ngou o nhom.
3.3 Cong ty co truch nhom dum buo rung cong cup do ngoon oc
vu so ho tro tron bo gop ngoo pho truch houc nhong ngoo pho truch
thoc th cuc choc nung cou mnh.
4 NGOl FH TkACH
Do dum buo khu thuc tuo un toun vu doy tr mo on uc gou Cong ty
vu tuo, Cong ty phu co ru mot houc nhoo ngoo pho truch o tron bo,
ngoo co qoyon gup troc top unh duo cuo nhut. 1ruch nhom vu
qoyon hun cou tnhong) ngoo pho truch phu buo gom cu voc gum sut
vo un toun vu ngun ngou o nhom trong khu thuc tuo vu dum buo
ngoon oc vu so ho tro tron bo dooc dup ong duy do thoo yoo cuo.
S TkACH NHlFM VA QYFN HAN CA THYFN TkONG
S.1 Cong ty phu cun xuc dnh vu up thunh vun bun mot cuch ro
rung truch nhom cou thoyon troong vo:
.1 thoc hon chnh such un toun vu buo vo mo troong cou
Cong ty,
.2 thoc duy thoyon von toun tho chnh such nuy,
.3 dou ru cuc monh onh vu cuc ch dun thch hop mot cuch
ro rung vu don gun,
.4 kom tru xuc nhun rung cuc yoo cuo do ru du dooc toun tho, vu
.S dnh ky sout xot ho thong qoun y un toun vu buo cuo
nhong khom khoyot cou ho thong qoun y un toun cho bun
qoun y tron bo.
l2 l2
o ua| S\ S\ Codc
S.2 1ho Compuny shood onsoro thut tho suoty munugomont systom
oporutng on bourd tho shp contuns u cour stutomont omphuszng tho
mustor's uothorty. 1ho Compuny shood ostubsh n tho suoty munugomont
systom thut tho mustor hus tho ovorrdng uothorty und tho rosponsbty
to muko docsons vth rospoct to suoty und pooton provonton und to
roqoost tho Compuny's ussstunco us muy bo nocossury.
6 kFSOkCFS AND FFkSONNFt
6.1 1ho Compuny shood onsoro thut tho mustor s:
.1 propory qouod or commund,
.2 oy convorsunt vth tho Compuny's suoty munugomont
systom, und
.3 gvon tho nocossury sopport so thut tho Mustor's dotos cun
bo suoy porormod.
6.2 1ho Compuny shood onsoro thut ouch shp s munnod vth
qouod, cortcutod und modcuy t souurors n uccordunco vth
nutonu und ntornutonu roqoromonts.
6.3 1ho Compuny shood ostubsh procodoros to onsoro thut nov
porsonno und porsonno trunsorrod to nov ussgnmonts routod to
suoty und protocton o tho onvronmont uro gvon propor umurzu-
ton vth thor dotos. lnstroctons vhch uro ossontu to bo provdod
pror to sung shood bo dontod, docomontod und gvon.
6.4 1ho Compuny shood onsoro thut u porsonno nvovod n tho
Compuny's suoty munugomont systom huvo un udoqouto ondorstundng
o roovunt roos, rogoutons, codos und godonos.
6.S 1ho Compuny shood ostubsh und muntun procodoros or
dontyng uny trunng vhch muy bo roqorod n sopport o tho suoty
munugomont systom und onsoro thut soch trunng s provdod or u
porsonno concornod.
6.6 1ho Compuny shood ostubsh procodoros by vhch tho shp's
porsonno rocovo roovunt normuton on tho suoty munugomont systom
n u vorkng ungougo or ungougos ondorstood by thom.
S.2 Cong ty phu dum buo ho thong qoun y un toun up dong tron
tuo phu co doo khoun ro rung noo but dooc thum qoyon cou thoyon
troong. Ho thong qoun y un toun cou Cong ty phu xuc dnh rung
thoyon troong co qoyon voot qoyon hun vu cho truch nhom do dou ru
cuc qoyot dnh on qoun don un toun vu ngun ngou o nhom vu do yoo
cuo so tro gop cou Cong ty kh xot thuy cun thot.
6 NGON tC VA NHAN tC
6.1 Cong ty phu dum buo thoyon troong u ngoo:
.1 do nung oc choyon mon do doo hunh,
.2 hoo thuo duo ho thong qoun y un toun cou Cong ty,
vu
.3 dooc ho tro cun thot do thoc th cuc nhom vo cou mnh
mot cuch un toun.
6.2 Cong ty phu dum buo rung mo tuo dooc doo hunh bo thoyon
bo co do nung oc, dooc chong nhun vu co soc khoo pho hop vo cuc
yoo cuo cou qooc gu vu qooc to.
6.3 Cong ty phu thot up cuc qoy trnh do dum buo nhong ngoo
mo toyon dong vu nhong ngoo choyon sung v tr cong tuc mo on
qoun to un toun vu ngun ngou o nhom phu dooc um qoon vo nhom
vo cou mnh. Nhong hoong dun thot yoo phu dou ru trooc kh tuo kho
hunh phu dooc xuc dnh, up thunh vun bun vu cong cup.
6.4 Cong ty phu dum buo rung tut cu cuc nhong ngoo thum gu
trong ho thong qoun y un toun cou Cong ty phu co so hoo bot duy
do vo cuc qoy phum, qoy dnh, bo out vu hoong dun on qoun.
6.S Cong ty phu thot up vu doy tr cuc qoy trnh vo xuc dnh cong
tuc duo tuo co tho cun thot do ho tro ho thong qoun y un toun vu dum
buo voc duo tuo do dooc up dong cho tut cu nhong ngoo co on qoun.
6.6 Cong ty phu thot up cuc qoy trnh do dum buo mo ngoo doo
tuo nhun dooc cuc thong tn on qoun don ho thong qoun y un toun
bung ngon ngo um voc houc cuc ngon ngo mu ho hoo dooc.
l3 l3
o ua| S\ S\ Codc
6.7 1ho Compuny shood onsoro thut tho shp's porsonno uro ubo to
commoncuto ooctvoy n tho oxocoton o thor dotos routod to tho
suoty munugomont systom.
7 SHlFOAkD OFFkATlONS
1ho Compuny shood ostubsh procodoros, puns und nstroctons,
ncodng chocksts us uppropruto, or koy shpbourd oporutons
concornng tho suoty o tho porsonno, shp und protocton o tho onv-
ronmont. 1ho vuroos tusks shood bo donod und ussgnod to qouod
porsonno.
8 FMFkGFNCY FkFFAkFDNFSS
8.1 1ho Compuny shood donty potontu omorgoncy shpbourd
stoutons, und ostubsh procodoros to rospond to thom.
8.2 1ho Compuny shood ostubsh progrummos or drs und oxorcsos
to propuro or omorgoncy uctons.
8.3 1ho suoty munugomont systom shood provdo or mousoros
onsorng thut tho Compuny's orgunzuton cun rospond ut uny tmo to
huzurds, uccdonts und omorgoncy stoutons nvovng ts shps.
9 kFFOkTS AND ANAtYSlS OF NON-CONFOkMlTlFS,
ACClDFNTS AND HAZAkDOS OCCkkFNCFS
9.1 1ho suoty munugomont systom shood ncodo procodoros onsorng
thut non-conormtos, uccdonts und huzurdoos stoutons uro roportod
to tho Compuny, nvostgutod und unuyzod vth tho oboctvo o
mprovng suoty und pooton provonton.
9.2 1ho Compuny shood ostubsh procodoros or tho mpomontuton
o corroctvo ucton, ncodng mousoros ntondod to provont rocorronco.
6.7 Cong ty phu dum buo mo ngoo doo tuo co khu nung guo top
mot cuch co hoo qou kh thoc th cuc nhom vo cou mnh on qoun
to ho thong qoun y un toun.
7 CAC HOAT ONG CA TA
Cong ty phu thot up cuc qoy trnh, cuc ko houch vu cuc hoong dun,
buo gom cuc dunh moc kom tru thch hop, cho cuc hout dong thon
chot tron tuo on qoun to un toun cou con ngoo, tuo vu buo vo mo
troong. Nhong nhom vo khuc nhuo phu dooc xuc dnh vu phun cong
cho ngoo co do nung oc.
8 SAN SANG Ol FHO TlNH HONG kHAN CAF
8.1 Co ng ty phu xu c dnh cu c tnh hoo ng khu n cu p to m u n tro n tu o vu phu
tho t u p cu c qoy trnh do do pho vo cu c tnh hoo ng khu n cu p to m u n do .
8.2 Cong ty phu thot up cuc choong trnh thoc tup vu don tup do
sun sung do pho tnh hoong khun cup.
8.3 Ho thong qoun y un toun phu dou ru cuc bon phup dum buo
rung to choc cou Cong ty vuo but ky tho dom nuo cong co tho do
pho vo cuc mo ngoy hom, tu nun vu cuc tnh hoong khun cup on
qoun to cuc tuo cou Cong ty.
9 AO CAO VA FHAN TlCH VF S kHONG FH HOF,
TAl NAN VA TlNH HONG NGY HlFM
9.1 Ho thong qoun y un toun phu co cuc qoy trnh dum buo rung
mo so khong pho hop, tu nun vu tnh hoong ngoy hom dooc buo cuo
vo Cong ty, dooc doo tru vu phun tch nhum moc dch nung cuo un
toun vu ngun ngou o nhom.
9.2 Cong ty phu thot up cuc qoy trnh vo thoc hon hunh dong
khuc phoc, buo gom cuc bon phup do ngun ngou tu don.
l4 l4
o ua| S\ S\ Codc
10 MAlNTFNANCF OF THF SHlF AND FQlFMFNT
10.1 1ho Compuny shood ostubsh procodoros to onsoro thut tho shp
s muntunod n conormty vth tho provsons o tho roovunt roos
und rogoutons und vth uny uddtonu roqoromonts vhch muy bo
ostubshod by tho Compuny.
10.2 ln mootng thoso roqoromonts tho Compuny shood onsoro thut:
.1 nspoctons uro hod ut uppropruto ntorvus,
.2 uny non-conormty s roportod vth ts possbo cuoso,
knovn,
.3 uppropruto corroctvo ucton s tukon, und
.4 rocords o thoso uctvtos uro muntunod.
10.3 1ho Compuny shood donty oqopmont und tochncu systoms tho
soddon oporutonu uoro o vhch muy rosot n huzurdoos stoutons.
1ho suoty munugomont systom shood provdo or spocc mousoros
umod ut promotng tho roubty o soch oqopmont or systoms. 1hoso
mousoros shood ncodo tho rogour tostng o stund-by urrungomonts und
oqopmont or tochncu systoms thut uro not n contnooos oso.
10.4 1ho nspoctons montonod n l0.2 us vo us tho mousoros
roorrod to l0.3 shood bo ntogrutod n tho shp's oporutonu munto-
nunco rootno.
11 DOCMFNTATlON
11.1 1ho Compuny shood ostubsh und muntun procodoros to contro
u docomonts und dutu vhch uro roovunt to tho suoty munugomont
systom.
11.2 1ho Compuny shood onsoro thut:
.1 vud docomonts uro uvuubo ut u roovunt ocutons,
.2 chungos to docomonts uro rovovod und upprovod by
uothorzod porsonno, und
.3 obsooto docomonts uro prompty romovod.
10 AO DONG TA VA TkANG THlFT ]
10.1 Cong ty phu thot up cuc qoy trnh do dum buo rung tuo cou
Cong ty dooc buo doong toun tho cuc doo khoun cou cuc qoy phum,
qoy dnh on qoun vu but ky yoo cuo bo song nuo cou Cong ty.
10.2 Do dup ong cuc yoo cuo nuy Cong ty phu dum buo:
.1 voc kom tru dooc thoc hon thoo khoung tho gun thch hop,
.2 mo so khong pho hop dooc buo cuo cong vo ngoyon nhun
cou no, noo nhun bot,
.3 hunh dong khuc phoc thch hop dooc thoc hon, vu
.4 ho so vo nhong hout dong nuy dooc oo go.
10.3 Cong ty phu xuc dnh cuc thot b vu ho thong ky thout mu so
ho hong dot ngot cou chong trong qou trnh hout dong co tho dun don
cuc tnh hoong ngoy hom. Ho thong qoun y un toun phu co cuc bon
phup co tho nhum nung cuo do tn cun cou cuc thot b houc ho thong
do. Cuc bon phup nuy phu buo gom cu voc tho dnh ky cuc trung
thot b do phong, vu cuc trung thot b houc ho thong ky thout khong
dooc so dong thoong xoyon.
10.4 Voc kom tru noo trong moc l0.2 vu cuc bon phup noo trong
moc l0.3 phu gun vo ch trnh buo doong thoong xoyon cou tuo.
11 TAl tlF
11.1 Cong ty phu thot up vu doy tr cuc qoy trnh do kom sout tut
cu cuc tu oo vu do oo on qoun to ho thong qoun y un toun.
11.2 Cong ty phu dum buo:
.1 cuc tu oo co hoo oc phu co sun o cuc v tr cun thot,
.2 so thuy do do vo tu oo phu dooc ngoo co thum qoyon
sout xot vu pho doyot, vu
.3 cuc tu oo o tho phu dooc nhunh chong ou ru.
l5 l5
o ua| S\ S\ Codc
11.3 1ho docomonts osod to doscrbo und mpomont tho suoty
munugomont systom muy bo roorrod to us tho Suoty Munugomont
Munou. Docomontuton shood bo kopt n u orm thut tho Compuny
consdors most ooctvo. Luch shp shood curry on bourd u
docomontuton roovunt to thut shp.
12 COMFANY VFklFlCATlON, kFVlFW AND FVAtATlON
12.1 1ho Compuny shood curry oot ntornu suoty uodts on bourd
und ushoro ut ntorvus not oxcoodng tvovo months to vory vhothor
suoty und pooton-provontonuctvtos compy vth tho suoty
munugomont systom. ln oxcoptonu crcomstuncos, ths ntorvu muy
bo oxcoodod by not moro thun throo months.
12.2 1ho Compuny shood porodcuy ovuouto tho ooctvonoss o
tho suoty munugomont systom n uccordunco vth procodoros ostub-
shod by tho Compuny.
12.3 1ho uodts und possbo corroctvo uctons shood bo currod oot
n uccordunco vth docomontod procodoros.
12.4 lorsonno curryng oot uodts shood bo ndopondont o tho urous
bong uodtod onoss ths s mpructcubo doo to tho szo und tho nutoro
o tho Compuny.
12.S 1ho rosots o tho uodts und rovovs shood bo brooght to tho
uttonton o u porsonno huvng rosponsbty n tho urou nvovod.
12.6 1ho munugomont porsonno rosponsbo or tho urou nvovod
shood tuko tmoy corroctvo ucton on doconcos oond.
11.3 1u oo so dong do mo tu vu thoc hon ho thong qoun y un
toun co tho dooc go u So tuy qoun y un toun. 1u oo phu dooc up
thoo hnh thoc mu Cong ty cho u thch hop nhut. Mo tuo phu co tut
cu cuc tu oo co on qoun to tuo mnh.
12 klFM TkA XAC NHAN, SOAT XFT VA ANH GlA
CA CONG TY
12.1 Cong ty phu ton hunh dunh gu un toun no bo doo tuo vu tron
bo thoo khoung tho gun dnh ky khong qou moo hu thung do kom
tru xuc nhun rung cuc hout dong un toun vu ngun ngou o nhom toun
tho vo ho thong qoun y un toun. 1rong houn cunh duc bot, khoung
tho gun nuy co tho dooc koo du thom nhong khong qou bu thung.
12.2 Cong ty phu dnh ky dunh gu tnh hoo oc cou ho thong qoun
y un toun, toun tho cuc qoy trnh du dooc Cong ty thot up.
12.3 Cuc cooc dunh gu noo tron vu hunh dong khuc phoc cun thot
phu dooc ton hunh toun tho cuc qoy trnh du up thunh vun bun.
12.4 Ngoo ton hunh dunh gu phu doc up vo phum v dooc dunh
gu tro ph doo do khong tho thoc hon dooc bo tum co vu bun chut
cou Cong ty.
12.S Kot qou cou cuc cooc dunh gu vu sout xot phu dooc thong buo
cho tut cu nhong ngoo cho truch nhom trong nh voc on qoun.
12.6 Ngoo cho truch nhom trong nh voc on qoun phu ton hunh
kp tho nhong hunh dong khuc phoc cuc khom khoyot dooc phut
hon.
l6 l6
o ua| S\ S\ Codc
FAkT - CFkTlFlCATlON AND VFklFlCATlON
13 CFkTlFlCATlON AND FFklODlCAt VFklFlCATlON
13.1 1ho shp shood bo oporutod by u Compuny vhch hus boon
ssood vth u Docomont o Compunco or vth un lntorm Docomont o
Compunco n uccordunco vth purugruph l4.l, roovunt to thut shp.
13.2 1ho Docomont o Compunco shood bo ssood by tho
Admnstruton, by un orgunzuton rocognzod by tho Admnstruton or,
ut tho roqoost o tho Admnstruton, by unothor Contructng Covornmont
to tho Convonton to uny Compuny compyng vth tho roqoromonts o
ths Codo or u porod spocod by tho Admnstruton vhch shood not
oxcood vo yours. Soch u docomont shood bo uccoptod us ovdonco thut
tho Compuny s cupubo o compyng vth tho roqoromonts o ths Codo.
13.3 1ho Docomont o Compunco s ony vud or tho shp typos oxpc-
ty ndcutod n tho docomont. Soch ndcuton shood bo busod on tho typos
o shps on vhch tho ntu vorcuton vus busod. Othor shp typos shood
ony bo uddod utor vorcuton o tho Compuny's cupubty to compy vth
tho roqoromonts o ths Codo uppcubo to soch shp typos. ln ths contoxt,
shp typos uro thoso roorrod to n rogouton lX/l o tho Convonton.
13.4 1ho vudty o u Docomont o Compunco shood bo soboct to
unnou vorcuton by tho Admnstruton or by un orgunzuton
rocognzod by tho Admnstruton or, ut tho roqoost o tho
Admnstruton by unothor Contructng Covornmont vthn throo
months booro or utor tho unnvorsury duto.
13.S 1ho Docomont o Compunco shood bo vthdruvn by tho
Admnstruton or, ut ts roqoost, by tho Contructng Covornmont vhch
ssood tho docomont, vhon tho unnou vorcuton roqorod n
purugruph l3.4 s not roqoostod or thoro s ovdonco o muor
non-conormtos vth ths Codo.
13.S.1 A ussocutod Suoty Munugomont Cortcutos und/or lntorm
Suoty Munugomont Cortcutos shood uso bo vthdruvn tho
Docomont o Compunco s vthdruvn.
FHAN - CHNG NHAN VA klFM TkA XAC NHAN
13 CHNG NHAN VA klFM TkA XAC NHAN ]NH kY
13.1 1uo phu dooc khu thuc bo mot Cong ty du dooc cup Cuy
chong nhun pho hop houc mot Cuy chong nhun pho hop tum tho
toun tho vo moc l4.l, thch hop vo con tuo do.
13.2 Mot Cuy chong nhun pho hop so dooc cup bo Chnh qoyon
hung hu, bo to choc dooc Chnh qoyon hung hu cong nhun, houc bo
Chnh pho ky kot tthoo yoo cuo cou Chnh qoyon hung hu) cho mot
Cong ty thou mun cuc yoo cuo cou o out nuy vo tho hun do Chnh
qoyon hung hu qoy dnh nhong khong voot qou num num. Cuy chong
nhun nuy phu dooc xom u bung chong chong to Cong ty co khu nung
toun tho vo cuc yoo cuo cou o out nuy.
13.3 Cuy chong nhun pho hop ch co hoo oc do vo nhong ou tuo
dooc ch ro tron do. Lou tuo dooc xuc dnh dou tron co so kom tru xuc
nhun un duo Cong ty. Cuc ou tuo khuc ch dooc bo song suo kh du
kom tru xuc nhun rung Cong ty co khu nung dup ong cuc yoo cuo cou
o out do vo nhong ou tuo do. 1rong doo nuy, cuc ou tuo du dooc
dnh nghu trong qoy dnh lX/l cou Cong ooc.
13.4 Hoo oc cou Cuy chong nhun pho hop nuy pho thooc vuo voc
kom tru xuc nhun hung num dooc thoc hon bo Chnh qoyon hung
hu, bo mot to choc dooc Chnh qoyon hung hu cong nhun, houc bo
Chnh pho ky kot tthoo yoo cuo cou Chnh qoyon hung hu) trong tho
hun bu thung trooc houc suo nguy un dnh hung num.
13.S Cuy chong nhun pho hop so b tho ho bo Chnh qoyon hung
hu houc bo Chnh pho ky kot du cup guy chong nhun do thoo yoo
cuo cou Chnh qoyon hung hu noo voc kom tru xuc nhun hung num
thoo qoy dnh trong moc l3.4 khong dooc Cong ty yoo cuo houc noo
co bung chong vo so khong pho hop nghom trong vo o out nuy.
13.S.1 1ut cu cuc Cuy chong nhun qoun y un toun vu/ houc Cuy
chong nhun qoun y un toun tum tho on qoun phu dooc tho ho noo
Cuy chong nhun pho hop b tho ho.
l7 l7
o ua| S\ S\ Codc
13.6 A copy o tho Docomont o Compunco shood bo pucod on
bourd n ordor thut tho mustor o tho shp, so roqoostod, muy prodoco
t or vorcuton by tho Admnstruton or by un orgunzuton rocog-
nzod by tho Admnstruton or or tho porposos o tho contro roorrod
to n rogouton lX/6.2 o tho Convonton. 1ho copy o tho docomont s
not roqorod to bo uothontcutod or cortod.
13.7 1ho Suoty Munugomont Cortcuto shood bo ssood to u shp or u
porod vhch shood not oxcood vo yours by tho Admnstruton or un
orgunzuton rocognzod by tho Admnstruton or, ut tho roqoost o tho
Admnstruton, by unothor Contructng Covornmont. 1ho Suoty
Munugomont Cortcuto shood bo ssood utor voryng thut tho Compuny
und ts shpbourd munugomont oporuto n uccordunco vth tho upprovod
suoty munugomont systom. Soch u cortcuto shood bo uccoptod us
ovdonco thut tho shp s compyng vth tho roqoromonts o ths Codo.
13.8 1ho vudty o tho Suoty Munugomont Cortcuto shood bo sob-
oct to ut oust ono ntormoduto vorcuton by tho Admnstruton or un
orgunzuton rocognzod by tho Admnstruton or, ut tho roqoost o tho
Admnstruton, by unothor Contructng Covornmont. l ony ono ntormo-
duto vorcuton s to bo currod oot und tho porod o vudty o tho
Suoty Munugomont Cortcuto s vo yours, t shood tuko puco botvoon
tho socond und thrd unnvorsury dutos o tho Suoty Mungomont
Cortcuto.
13.9 ln uddton to tho roqoromonts o purugruph l3.5.l, tho Suoty
Munugomont Cortcuto shood bo vthdruvn by tho Admnstruton or, ut
tho roqoost o tho Admnstruton, by tho Contructng Covornmont vhch hus
ssood t vhon tho ntormoduto vorcuton roqorod n purugruph l3.8 s not
roqoostod or thoro s ovdonco o muor non-conormty vth ths Codo.
13.10 Notvthstundng tho roqoromonts o purugruphs l3.2 und l3.7, vhon
tho ronovu vorcuton s compotod vthn throo months booro tho oxpry
duto o tho oxstng Docomont o Compunco or Suoty Munugomont
Cortcuto, tho nov Docomont o Compunco or tho nov Suoty Munugomont
Cortcuto shood bo vud rom tho duto o compoton o tho ronovu
vorcuton or u porod not oxcoodng vo yours rom tho duto o oxpry o tho
oxstng Docomont o Compunco or Suoty Munugomont Cortcuto.
13.11 \hon tho ronovu vorcuton s compotod moro thun throo
months booro tho oxpry duto o tho oxstng Docomont o Compunco
or Suoty Munugomont Cortcuto, tho nov Docomont o Compunco
or tho nov Suoty Munugomont Cortcuto shood bo vud rom tho duto
o compoton o tho ronovu vorcuton or u porod not oxcoodng vo
yours rom tho duto o compoton o tho ronovu vorcuton.
13.6 Mot bun suo Cuy chong nhun pho hop phu dooc go tron tuo
do kh dooc yoo cuo, thoyon troong co tho trnh cho Chnh qoyon hung
hu houc mot 1o choc dooc Chnh qoyon hung hu cong nhun, do kom
tru xuc nhun houc nhum moc dch kom sout thoo qoy dnh lX/6.2 cou
Cong ooc. un suo Cuy chong nhun pho hop khong cun phu cong
chong huy chong nhun.
13.7 Mot Cuy chong nhun qoun y un toun co tho hun khong qou
num num so dooc cup cho mot tuo bo Chnh qoyon hung hu, bo mot
to choc dooc Chnh qoyon hung hu cong nhun, houc bo mot Chnh
pho ky kot khuc thoo yoo cuo cou Chnh qoyon hung hu. Cuy chong
nhun qoun y un toun dooc cup suo kh du kom tru xuc nhun rung hout
dong qoun y cou Cong ty vu tron tuo pho hop vo ho thong qoun y un
toun du dooc pho doyot. Cuy chong nhun nuy phu dooc xom u bung
chong chong to tuo do toun tho vo cuc yoo cuo cou o out nuy.
13.8 Do doy tr hoo oc cou Cuy chong nhun qoun y un toun, ho thong
qoun y un toun tron tuo phu dooc kom tru xuc nhun trong gun t nhut mot
un bo Chnh qoyon hung hu, bo mot to choc dooc Chnh qoyon hung hu
cong nhun, houc bo mot Chnh pho ky kot khuc thoo yoo cuo cou Chnh
qoyon hung hu. Noo ch co mot cooc kom tru xuc nhun trong gun dooc ton
hunh vu tho hun cou Cuy chong nhun qoun y un toun u num num th cooc
kom tru xuc nhun trong gun phu dooc ton hunh trong khoung gou cuc nguy
un dnh hung num un tho hu vu tho bu cou Cuy chong nhun qoun y un toun.
13.9 Ngou nho ng yo o cu o trong mo c l3.5.l, Cu y cho ng nhu n qou n y un
tou n so b tho ho bo Chnh qoyo n hu ng hu hou c bo Chnh pho ky ko t thoo yo o
cu o co u Chnh qoyo n hu ng hu du cu p gu y cho ng nhu n do , no o vo c ko m tru
xu c nhu n trong gun thoo qoy dnh trong mo c l3.8 kho ng doo c Co ng ty yo o cu o
hou c no o co bu ng cho ng vo so kho ng pho ho p ngho m tro ng vo o ou t nu y.
13.10 Ngou nhong yoo cuo trong moc l3.2 vu l3.7, kh houn tut voc
kom tru xuc nhun cup mo trong tho hun bu thung trooc nguy hot hun
cou Cuy chong nhun pho hop houc Cuy chong nhun qoun y un toun
hon hunh, Cuy chong nhun pho hop mo houc Cuy chong nhun qoun
y un toun mo so co hoo oc to nguy houn tut cooc kom tru xuc nhun cup
mo do vo tho hun khong qou num num ko to nguy hot hun cou Cuy
chong nhun pho hop houc Cuy chong nhun qoun y un toun hon hunh.
13.11 Noo voc kom tru xuc nhun cup mo dooc houn tut ngou bu thung
trooc nguy hot hun cou Cuy chong nhun pho hop houc Cuy chong
nhun qoun y un toun hon hunh, Cuy chong nhun pho hop mo houc
Cuy chong nhun qoun y un toun mo so co hoo oc to nguy houn tut
cooc kom tru xuc nhun cup mo vo tho hun khong qou num num ko to
nguy houn tut cooc kom tru xuc nhun cup mo do.
l8 l8
o ua| S\ S\ Codc
13.12 \hon tho ronovu vorcuton s compotod utor tho oxpry
duto o tho oxstng Suoty Munugomont Cortcuto, tho nov Suoty
Munugomont Cortcuto shood bo vud rom tho duto o compoton o
tho ronovu vorcuton to u duto not oxcoodng vo yours rom tho duto
o oxpry o tho oxstng Suoty Munugomont Cortcuto.
13.13 l u ronovu vorcuton hus boon compotod und u nov Suoty
Munugomont Cortcuto cunnot bo ssood or pucod on bourd tho shp
booro tho oxpry duto o tho oxstng cortcuto, tho Admnstruton or
orgunzuton rocognzod by tho Admnstruton muy ondorso tho
oxstng cortcuto und soch u cortcuto shood bo uccoptod us vud
or u orthor porod vhch shood not oxcood vo months rom tho
oxpry duto.
13.14 l u shp ut tho tmo vhon u Suoty Munugomont Cortcuto
oxpros s not n u port n vhch t s to bo vorod, tho Admnstruton
muy oxtond tho porod o vudty o tho Suoty Munugomont Cortcuto
bot ths oxtonson shood bo gruntod ony or tho porposo o uovng
tho shp to compoto ts voyugo to tho port n vhch t s to bo vorod,
und thon ony n cusos vhoro t uppours propor und rousonubo to do
so. No Suoty Munugomont Cortcuto shood bo oxtondod or u porod
o ongor thun throo months, und tho shp to vhch un oxtonson s
gruntod shood not, on ts urrvu n tho port n vhch t s to bo
vorod, bo onttod by vrtoo o soch oxtonson to ouvo thut port
vthoot huvng u nov Suoty Munugomont Cortcuto. \hon tho
ronovu vorcuton s compotod, tho nov Suoty Munugomont
Cortcuto shood bo vud to u duto not oxcoodng vo yours rom tho
oxpry duto o tho oxstng Suoty Munugomont Cortcuto booro tho
oxtonson vus gruntod.
14 lNTFklM CFkTlFlCATlON
14.1 An lntorm Docomont o Compunco muy bo ssood to uctuto
ntu mpomontuton o ths Codo vhon:
.1 u Compuny s novy ostubshod, or
.2 nov shp typos uro to bo uddod to un oxstng Docomont o
Compunco,
13.12 Noo voc kom tru xuc nhun cup mo dooc houn tut suo nguy
hot hun cou Cuy chong nhun qoun y un toun hon hunh, Cuy chong
nhun qoun y un toun mo so co hoo oc to nguy houn tut cooc kom
tru xuc nhun cup mo vo tho hun khong qou num num ko to nguy hot
hun cou Cuy chong nhun qoun y un toun hon hunh.
13.13 Noo voc kom tru xuc nhun cup mo dooc houn tut vu khong
tho cup houc choyon cho tuo Cuy chong nhun oun y un toun mo
trooc nguy hot hun cou Cuy chong nhun qoun y un toun hon hunh,
Chnh qoyon hung hu houc to choc dooc Chnh qoyon hung hu cong
nhun co tho xuc nhun vuo guy chong nhun hon hunh vu mot guy
chong nhun nho vuy phu dooc chup nhun u co thom tho hun hoo
oc, tho hun nuy khong dooc voot qou num thung tnh to nguy hot
hun cou guy chong nhun do.
13.14 Kh Cuy chong nhun qoun y un toun hot hun vuo tho dom
tuo khong o trong cung do co tho thoc hon kom tru xuc nhun, Chnh
qoyon hung hu co tho gu hun hoo oc cou Cuy chong nhun qoun
y un toun. 1oy nhon voc gu hun nuy ch dooc up dong v moc dch
cho phop tuo houn tut choyon d to cung do thoc hon voc kom tru
xuc nhun vu ch trong troong hop tuo dou ru dooc y do thch hop vu
xuc dung do um nho vuy. Khong dooc gu hun Cuy chong nhun
qoun y un toun qou bu thung vu tuo dooc gu hun guy chong nhun
nho vuy do to cung thoc hon voc kom tru xuc nhun khong dooc
phop ro cung do noo chou dooc cup Cuy chong nhun qoun y un
toun mo. Kh voc kom tru cup mo dooc houn tut, mot Cuy chong
nhun qoun y un toun mo co hoo oc khong qou num num ko to nguy
hot hun cou Cuy chong nhun qoun y un toun hon hunh trooc kh
dooc gu hun.
14 CHNG NHAN TAM THOl
14.1 Mot Cuy chong nhun pho hop tum tho co tho dooc cup do tuo
doo kon thoun o cho voc thoc hon o out trong tho gun duo, kh:
.1 mot Cong ty mo dooc thunh up, houc
.2 ou tuo mo dooc bo song vuo mot Cuy chong nhun pho
hop hon hunh,
l9 l9
o ua| S\ S\ Codc
oovng vorcuton thut tho Compuny hus u suoty munugomont systom
thut moots tho oboctvos o purugruph l.2.3 o ths Codo, provdod tho
Compuny domonstrutos puns to mpomont u suoty munugomont systom
mootng tho o roqoromonts o ths Codo vthn tho porod o vudty o
tho lntorm Docomont o Compunco. Soch un lntorm Docomont o
Compunco shood bo ssood or u porod not oxcoodng l2 months by tho
Admnstruton or by un orgunzuton rocognzod by tho Admnstruton or,
ut tho roqoost o tho Admnstruton, by unothor Contructng Covornmont.
A copy o tho lntorm Docomont o Compunco shood bo pucod on
bourd n ordor thut tho mustor o tho shp, so roqoostod, muy prodoco t
or vorcuton by tho Admnstruton or by un orgunzuton rocognzod by
tho Admnstruton or or tho porposos o tho contro roorrod to n
rogouton lX/6.2 o tho Convonton. 1ho copy o tho docomont s not
roqorod to bo uothontcutod or cortod.
14.2 An lntorm Suoty Munugomont Cortcuto muy bo ssood:
.1 to nov shps on dovory,
.2 vhon u Compuny tukos on rosponsbty or tho oporuton
o u shp vhch s nov to tho Compuny, or
.3 vhon u shp chungos ug.
Soch un lntorm Suoty Munugomont Cortcuto shood bo ssood or u
porod not oxcoodng 6 months by tho Admnstruton or un
orgunzuton rocognzod by tho Admnstruton or, ut tho roqoost o tho
Admnstruton, by unothor Contructng Covornmont.
14.3 An Admnstruton or, ut tho roqoost o tho Admnstruton, unothor
Contructng Covornmont muy, n spocu cusos, oxtond tho vudty o un
lntorm Suoty Munugomont Cortcuto or u orthor porod vhch shood
not oxcood 6 months rom tho duto o oxpry.
14.4 An lntorm Suoty Munugomont Cortcuto muy bo ssood
oovng vorcuton thut:
.1 tho Docomont o Compunco, or tho lntorm Docomont o
Compunco, s roovunt to tho shp concornod,
.2 tho suoty munugomont systom provdod by tho Compuny or tho
shp concornod ncodos koy oomonts o ths Codo und hus boon
ussossod dorng tho uodt or ssounco o tho Docomont o
Compunco or domonstrutod or ssounco o tho lntorm
Docomont o Compunco,
suo kh du kom tru xuc nhun rung Cong ty co ho thong qoun y un toun
dup ong cuc moc too trong moc l.2.3 cou o out nuy, vo doo kon
Cong ty chong mnh dooc nhong ko houch do thoc hon ho thong qoun
y un toun dup ong duy do cuc doo kon cou o out nuy trong khoung
tho hun hoo oc cou Cuy chong nhun pho hop tum tho. Cuy chong
nhun pho hop tum tho nuy co hoo oc khong qou l2 thung dooc cup
bo Chnh qoyon hung hu, mot to choc dooc Chnh qoyon hung hu
cong nhun, houc mot Chnh pho ky kot khuc thoo yoo cuo cou Chnh
qoyon hung hu. Mot bun suo Cuy chong nhun pho hop tum tho phu
dooc go tron tuo do kh dooc yoo cuo, thoyon troong co tho trnh cho
Chnh qoyon hung hu houc Chnh pho ky kot, thoo yoo cuo cou Chnh
qoyon hung hu, do kom tru xuc nhun houc nhum moc dch kom sout
thoo qoy dnh lX/6.2 cou Cong ooc. un suo Cuy chong nhun pho hop
khong cun phu cong chong huy chong nhun.
14.2 Cuy chong nhun qoun y un toun tum tho co tho dooc cup:
.1 cho mot tuo mo dooc dou vuo so dong,
.2 kh Cong ty cho truch nhom khu thuc mot con tuo mo
do vo Cong ty, houc
.3 kh tuo do co.
Cuy chong nhun qoun y un toun nuy co hoo oc khong qou 6 thung
dooc cup bo Chnh qoyon hung hu, mot to choc dooc Chnh qoyon
hung hu cong nhun, houc mot Chnh pho ky kot khuc thoo yoo cuo
cou Chnh qoyon hung hu.
14.3 Chnh qoyon hung hu houc Chnh pho ky kot khuc thoo yoo cuo
cou Chnh qoyon hung hu, trong troong hop duc bot, co tho gu hun
hoo oc Cuy chong nhun qoun y un toun tum tho, nhong khong voot
qou 6 thung ko to nguy hot hoo oc cou guy chong nhun.
14.4 Cuy chong nhun qoun y un toun tum tho co tho dooc cup suo
kh du kom tru xuc nhun:
.1 Cuy chong nhun pho hop, houc Cuy chong nhun pho
hop tum tho pho hop vo con tuo do,
.2 Ho thong qoun y un toun dooc Cong ty up dong tron con tuo
do buo gom nhong yoo to thot yoo cou o out nuy vu du dooc
dunh gu kh ton hunh dunh gu cup Cuy chong nhun pho hop
houc du dooc chong mnh do cup Cuy chong nhun pho hop
tum tho,
20 20
o ua| S\ S\ Codc
.3 tho Compuny hus punnod tho ntornu uodt o tho shp
vthn throo months,
.4 tho mustor und ocors uro umur vth tho suoty munugo-
mont systom und tho punnod urrungomonts or ts mpo-
montuton,
.S nstroctons, vhch huvo boon dontod us bong ossontu,
uro provdod pror to sung, und
.6 roovunt normuton on tho suoty munugomont systom hus
boon gvon n u vorkng ungougo or ungougos ondorstood
by tho shp's porsonno.
1S VFklFlCATlON
1S.1 A vorcutons roqorod by tho provsons o ths Codo shood
bo currod oot n uccordunco vth procodoros uccoptubo to tho
Admnstruton, tukng nto uccoont tho godonos dovoopod by tho
Orgunzuton
*
.
16 FOkMS OF CFkTlFlCATFS
16.1 1ho Docomont o Compunco, tho Suoty Munugomont
Cortcuto, tho lntorm Docomont o Compunco und tho lntorm
Suoty Munugomont Cortc uto shood bo druvn op n u orm
corrospondng to tho modos gvon n tho uppondx to ths Codo. l tho
ungougo osod s nothor Lngsh nor lronch, tho toxt shood ncodo u
trunsuton nto ono o thoso ungougos.
16.2 ln uddton to tho roqoromonts o purugruph l3.3 tho shp typos
ndcutod on tho Docomont o Compunco und tho lntorm Docomont
o Compunco muy bo ondorsod to rooct uny mtutons n tho
oporutons o tho shps doscrbod n tho suoty munugomont systom.
.3 Cong ty du up ko houch dunh gu no bo tuo trong tho hun
bu thung,
.4 thoyon troong vu cuc sy qoun tron tuo phu qoon thooc vo
ho thong qoun y un toun vu vo ko houch tron khu thoc
hon ho thong qoun y un toun,
.S nhong hoong dun thot yoo phu dooc pho bon trooc kh
tuo kho hunh, vu
.6 nhong thong tn on qoun don ho thong qoun y un toun
phu dooc dou ru bung ngon ngo um voc houc cuc ngon
ngo mu mo ngoo tron tuo doo hoo dooc.
1S klFM TkA XAC NHAN
1S.1 1ut cu cuc cooc kom tru xuc nhun thoo cuc doo khoun cou o
out nuy phu dooc ton hunh toun tho vo cuc qoy trnh dooc Chnh
qoyon hung hu chup thoun, co oo y to nhong hoong dun dooc 1o
choc hung hu qooc to do ru.
*
16 MA GlAY CHNG NHAN
16.1 Cuy chong nhun pho hop, Cuy chong nhun qoun y un toun,
Cuy chong nhun pho hop tum tho vu Cuy chong nhun qoun y un
toun tum tho phu thoo muo toong ong vo nhong muo trong pho
choong cou o out nuy. Noo ngon ngo so dong khong phu u tong
Anh houc tong lhup, no dong trong guy chong nhun phu buo gom
bun dch sung mot trong hu ngon ngo nuy.
16.2 Ngou nhong yoo cuo trong moc l3.3, ou tuo dooc ch ru tron
Cuy chong nhun pho hop vu Cuy chong nhun pho hop tum tho co
tho dooc xuc nhun do phun unh but ky hun cho nuo trong voc khu
thuc cuc tuo dooc mo tu trong ho thong qoun y un toun.
* Refer to the revised Guidelines on implementation of the International Safety
Management (ISM) Code by Administrations, adopted by the Organization by
resolution A.1022(26) (see page 27 of this publication)
* Tham khao Hng dan trien khai thc hien Bo luat ISM cho Chnh quyen hang
hai, a bo sung sa oi, do IMO thong qua bang ngh quyet A.1022(26) (xem trang
27 cua an pham nay).
2l 2l
o ua| S\ S\ Codc
Appondx
Forms of tbc Docomcnt of CompIiancc, tbc Safcty
Managcmcnt Ccrtificatc, tbc lntcrim Docomcnt
of CompIiancc and tbc lntcrim Safcty
Managcmcnt Ccrtificatc
DOCUMENT OF COMPLIANCE
(Official seal) (State)
Certificate No.
Issued under the provisions of the
INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE AT SEA, 1974,
as amended
Under the authority of the Government of ..............................................................
(Name of the State)
by.............................................................................................................................
(person or organization authorized)
Name and address of the Company ....................................................................
....................................................................
(see paragraph1.1.2 of the ISM Code)
Company identification number ..............................................................................
THIS IS TO CERTIFY THAT the safety management system of the Company has
been audited and that it complies with the requirements of the International
Management Code for the Safe Operation of Ships and for Pollution Prevention
(ISM Code) for the types of ships listed below (delete as appropriate):
Passenger ship
Passenger high-speed craft
Cargo high-speed craft
Bulk carrier
Oil tanker
Chemical tanker
Gas carrier
Mobile offshore drilling unit
Other cargo ship
This Document of Compliance is valid until ...........................................................
subject to periodical verification.
Completion date of the verification on which this certificate is based: ....................
(dd/mm/yyyy)
Issed at ...................................................................................................................
(Place of issue of the Document)
Date of issue ...........................................................................................................
(Signature of the duly authorized
Official issuing the Document)
(Seal or stamp of issuing authority, as appropriate)
22 22
o ua| S\ S\ Codc
Certificate No.
ENDORSEMENT FOR ANNUAL VERIFICATION
THIS IS TO CERTIFY THAT, at the periodical verification in accordance with
regulation IX/6.1 of the Convention and paragraph 13.4 of the ISM Code, the
safety management system was found to comply with the requirements of the ISM
Code.
1st ANNUAL VERIFICATION Signed: .......................................................
(Signature of authorized official)
Place: ..........................................................
Date: ...........................................................
2nd ANNUAL VERIFICATION Signed: .......................................................
(Signature of authorized official)
Place: ..........................................................
Date: ...........................................................
3rd ANNUAL VERIFICATION Signed: .......................................................
(Signature of authorized official)
Place: .........................................................
Date: ...........................................................
4th ANNUAL VERIFICATION Signed: .......................................................
(Signature of authorized official)
Place: .........................................................
Date: ...........................................................
SAFETY MANAGEMENT CERTIFICATE
(Official seal) (State)
Certificate No.
Issued under the provisions of the
INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE AT SEA, 1974,
as amended
Under the authority of the Government of ..............................................................
(Name of the State)
by ............................................................................................................................
(person or organization authorized)
Name of ship: ........................................................................................................
Distinctive number or letters: ................................................................................
Port of registry: ......................................................................................................
Type of ship: * ........................................................................................................
Gross tonnage: .......................................................................................................
IMO Number: ...........................................................................................................
Name and address of Company: .........................................................................
....................................................................
(see paragraph1.1.2 of the ISM Code)
Company identification number: ..............................................................................
THIS IS TO CERTIFY THAT the safety management system of the ship has been
audited and that it complies with the requirements of the International Management
Code for the Safe Operation of Ships and for Pollution Prevention (ISM Code), fol-
lowing the verification that the Document of Compliance of the Company is appli-
cable to this type of ship.
* Insert the type oh shipfrom among the following: passenger ship, passenger high-
speed craft, cargo high-speed craft, bulk carrier, oil tanker, chemical tanker; gas
carrier, mobile offshore drilling unit, other cargo ship.
23 23
o ua| S\ S\ Codc
This Safety Management Certificate is valid until .................................................,
subject to periodical verification and the Document of Compliance remaining valid.
Completion date of the verification on which this certificate is based: ...................
(dd/mm/yy)
Issued at .................................................................................................................
(Place of issue of the certificate)
Date of issue: ........................... ..................................................................
(Signature of the duly authorized
Official issuing the Document)
(Seal or stamp of issuing authority, as appropriate)
Certificate No.
ENDORSEMENT FOR INTERMEDIATE VERIFICATION AND
ADDITIONAL VERIFICATION (IF REQUIRED)
THIS IS TO CERTIFY THAT, at the periodical verification in accordance with
regulation IX/6.1 of the Convention and paragraph 13.8 of the ISM Code, the safety
management system was found to comply with the requirements of the ISM Code.
INTERMEDIATE VERIFICATION
(to be completed between
the second and third
anniversary date)
Signed: .........................................................
(Sinature of authorized official)
Place: ...........................................................
Date: .............................................................
ADDITIONAL VERIFICATION * Signed: .........................................................
(Sinature of authorized official)
Place: ...........................................................
Date: .............................................................
ADDITIONAL VERIFICATION * Signed: .........................................................
(Sinature of authorized official)
Place: ...........................................................
Date: .............................................................
ADDITIONAL VERIFICATION * Signed: .........................................................
(Sinature of authorized official)
Place: ...........................................................
Date: .............................................................
* If applicable. Reference is made to the relevant provisions of section 3.2 "initial
verification" of the Guidelines on Implementation of the International Safety
Management (ISM) Code by Administrations adopted by the Organization by
resolution A.1022(26) (see page 62 of this publication).
24 24
o ua| S\ S\ Codc
Certificate No.
ENDORSEMENT WHERE THE RENEWAL VERIFICATION HAS BEEN
COMPLETED AND PART B 13.13 OF THE ISM CODE APPLIES
The ship complies with the relevant provisions of part B of the ISM Code, and the
Certificate should, in accordance with part B 13.13 of the ISM Code, be accepted
as valid until ...........................
(Seal or stamp of issuing authority, as appropriate)
ENDORSEMENT TO EXTEND THE VALIDITY OF THE CERTIFICATE UNTIL
REACHING THE PORT OF VERIFICATION WHERE PART B 13.12
OF THE ISM CODE APPLIES OR FOR A PERIOD OF GRACE
WHERE PART B 13.14 OF THE ISM CODE APPLIES
Certificate should, in accordance with part B 13.12 or part B 13.14 of the ISM Code,
be accepted as valid until ..........................................
(Seal or stamp of issuing authority, as appropriate)
INTERIM DOCUMENT OF COMPLIANCE
(Official seal) (State)
Certificate No.
Issued under the provisions of the
INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE AT SEA, 1974,
as amended
Under the authority of the Government of .............................................................
(Name of the State)
by ............................................................................................................................
(person or organization authorized)
Name and address of the Company .....................................................................
....................................................................
(see paragraph1.1.2 of the ISM Code)
Company identification number .............................................................................
THIS IS TO CERTIFY THAT the safety management system of the Company has
been recognized as meeting the objectives of Paragraph 1.2.3 of the International
Management Code for the Safe Operation of Ships and for Pollution Prevention
(ISM Code) for the types of ships listed below (delete as appropriate):
Passenger ship
Passenger high-speed craft
Cargo high-speed craft
Bulk carrier
Oil tanker
Chemical tanker
Gas carrier
Mobile offshore drilling unit
Other cargo ship
This Interim Document of Compliance is valid until ...............................................
Issed at ..................................................................................................................
(Place of issue of the Document)
Date of issue.............................. .................................................................
(dd/mm/yyyy) (Signature of the duly authorized
Official issuing the Document)
(Seal or stamp of issuing authority, as appropriate)
Signed: .........................................................
(Sinature of authorized official)
Place: ...........................................................
Date: .............................................................
Signed: .........................................................
(Sinature of authorized official)
Place: ...........................................................
Date: .............................................................
25 25
o ua| S\ S\ Codc
INTERIM SAFETY MANAGEMENT CERTIFICATE
(Official seal) (State)
Certificate No.
Issued under the provisions of the
INTERNATIONAL CONVENTION FOR THE SAFETY OF LIFE AT SEA, 1974,
as amended
Under the authority of the Government of ..............................................................
(name of the State)
by ............................................................................................................................
(person or organization authorized)
Name of ship: ........................................................................................................
Distinctive number or letters: ................................................................................
Port of registry: ........................................................................................................
Type of ship: * ........................................................................................................
Gross tonnage: ........................................................................................................
IMO Number: ...........................................................................................................
Name and address of Company: ............................................................................
(see paragraph1.1.2 of the ISM Code)
Company identification number ..............................................................................
THIS IS TO CERTIFY THAT the requirements of paragraph 14.4 of the ISM Code
have been met and that the Document of Compliance / Interim Document of
Compliance of the Company is relevant to this ship.
This Interim Safety Management Certificate is valid until ......................................,
subject to the Document of Compliance/ Interim Document of Compliance

remain-
ing valid.
Issued at ...............................................................................................................
(Place of issue of the certificate)
Date of issue: .......................... .....................................................................
(Signature of the duly authorized
Official issuing the Document)
(Seal or stamp of issuing authority, as appropriate)
The validity of this Interim Safety Management Certificate
Is extended to .........................................................................................................
Date of extention ....................... ....................................................................
(Signature of the duly authorized
Official issuing the Document)
(Seal or stamp of issuing authority, as appropriate)
* Insert the type of ship from among the following: passenger ship, passenger high-
speed craft, cargo high-speed craft, bulk carrier, oil tanker, chemical tanker, gas
carrier, mobile offshore drilling unit, other cargo ship.

Delete appropriate.
GoidcIincs on impIcmcntation of tbc
lntcrnationaI Safcty Managcmcnt Codc
by Administrations
Hoong dan tboc bicn
o Ioat qoan Iy an toan qooc tc
cbo cac Cbnb qoycn bang bai
27 27
Codonos on mpomontuton o tho
lntornutonu Suoty Munugomont tlSM)
Codo by Admnstrutons
Rcouon .10222)
lNTkODCTlON
Tbc lSM Codc
1ho lntornutonu Munugomont Codo or tho Suo Oporuton o Shps
und or looton lrovonton tlntornutonu Suoty Munugomont tlSM)
Codo) vus udoptod by tho Orgunzuton by rosooton A.74ltl8) und
bocumo mundutory by vrtoo o tho ontry nto orco on l oy l998 o
SOLAS chuptor lX on Munugomont or tho Suo Oporuton o Shps. 1ho
lSM Codo provdos un ntornutonu stundurd or tho suo munugomont
und oporuton o shps und or pooton provonton.
1ho Murtmo Suoty Commttoo, ut ts oghty-th sosson, udoptod
umondmonts to soctons l, 5, 7, 8, 9, l0, l2, l3, l4 und tho Appondx
o tho lSM Codo by rosooton MSC.273t85). As u rosot t s nocossury
to rovso tho Codonos contunod n Assomby rosooton A.9l3t22),
vhch s bong soporsodod by tho prosont Codonos.
1ho lSM Codo roqoros thut Compunos ostubsh suoty oboctvos us
doscrbod n socton l.2 o tho lSM Codo, und n uddton thut tho
Compunos dovoop, mpomont und muntun u suoty munugomont
systom vhch ncodos onctonu roqoromonts us stod n socton l.4
o tho lSM Codo.
1ho uppcuton o tho lSM Codo shood uppor| and cncouragc tho
dovoopmont o u suoty cotoro n shppng. Soccoss uctors or tho
dovoopmont o u suoty cotoro uro, n|cr aa, commtmont, vuoos und
boos.
Hoong dun thoc hon
o out qoun y un toun qooc to tlSM Codo)
cho cuc Chnh qoyon hung hu
^gh qu,c| .10222)
GlOl THlF
o Ioat lSM
o out qoun y qooc to do khu thuc tuo un toun vu ngun ngou o
nhom to out qoun y un toun qooc to tlSM)) du dooc 1o choc hung
hu qooc to tlMO) thong qou bung Ngh qoyot A.74ltl8) vu tro thunh
but booc vuo nguy 0l/7/l998 thoo yoo cuo cou SOLAS Choong lX vo
oun y do khu thuc tuo un toun. o out lSM dou ru mot too choun
qooc to do qoun y vu khu thuc tuo un toun, vu do ngun ngou o
nhom.
1u phon hop tho 85, |y bun An toun hung hu du thong qou cuc bo
song sou do do vo cuc qoy dnh l, 5, 7, 8, 9, l0, l2, l3, l4, l5 vu
lho choong cou o out lSM bung Ngh qoyot MSC.273t85). Doo nuy
dun to voc phu bo song sou do Hoong dun trong Ngh qoyot
A.9l2t22) cou Du ho dong, dooc thuy tho bung Hoong dun hon hunh.
o out lSM yoo cuo cuc Cong ty thot up cuc moc too vo un toun nho
du noo trong doo l.2 cou o out lSM, ngou ru con yoo cuo Cong ty
xuy dong, thoc hon vu doy tr mot ho thong qoun y un toun buo gom
cuc yoo cuo choc nung du ot ko trong doo l.4 cou o out lSM.
Voc up dong o out lSM so ho |ro va |hu,cn |hch tuo up vun hou
un toun trong ngunh hung hu. Cuc yoo to do phut tron thunh cong
vun hou un toun to thoo phu buo gom so cum kot, chun gu tr vu ong
tn.
28 28
Huong dan |huc hcn o ua| S\ cho cac chnh qu,cn hang ha Cudcnc on |hc mpcmcn|a|on of |hc S\ Codc b, dmn|ra|on
Mandatory appIication of tbc lSM Codc
Appropruto orgunzuton o munugomont, ushoro und on bourd, s
noodod to onsoro udoqouto stundurds o suoty und pooton provon-
ton. A systomutc upprouch to munugomont by thoso rosponsbo or
munugomont o shps s thorooro roqorod. 1ho oboctvos o tho
mundutory uppcuton o tho lSM Codo uro to onsoro:
.1 compunco vth mundutory roos und rogoutons routod to tho
suo oporuton o shps und protocton o tho onvronmont, und
.2 tho ooctvo mpomontuton und onorcomont thoroo by
Admnstrutons.
Loctvo onorcomont by Admnstrutons most ncodo vorcuton thut
tho suoty munugomont systom compos vth tho roqoromonts us
stpoutod n tho lSM Codo, us vo us vorcuton o compunco vth
mundutory roos und rogoutons.
1ho mundutory uppcuton o tho lSM Codo shood onsoro, sopport und
oncoorugo tho tukng nto uccoont o uppcubo codos, godonos und
stundurds rocommondod by tho Orgunzuton, Admnstrutons, cuss-
cuton socotos und murtmo ndostry orgunzutons.
Vcrification and ccrtification rcsponsibiIitics
1ho Admnstruton s rosponsbo or voryng compunco vth tho
roqoromonts o tho lSM Codo und or ssong Docomonts o Compunco
to Compunos und Suoty Munugomont Cortcutos to shps.
kosootons A.739tl8) - Codonos or tho uothorzuton o orgunzutons
uctng on bohu o tho Admnstruton und A.789tl9) - Spoccutons on
tho sorvoy und cortcuton onctons o rocognzod orgunzutons uctng
on bohu o tho Admnstruton, vhch huvo boon mudo mundutory by
vrtoo o SOLAS rogouton Xl/l, und rosooton A.847t20) - Codonos to
ussst ug Stutos n tho mpomontuton o lMO nstromonts,* uro upp-
cubo vhon Admnstrutons uothorzo orgunzutons to ssoo Docomonts
o Compunco und Suoty Munugomont Cortcutos on thor bohu.
Vicc bat booc ap dong o Ioat lSM
So to choc qoun y thch hop, tron bo vu doo tuo u cun thot, do dum
buo co duy do cuc too choun vo un toun vu ngun ngou o nhom. Do
do, nhong ngoo cho truch nhom thoc hon cong tuc qoun y tuo cun
phu top cun mot cuch ho thong do vo cong tuc qoun y. Moc too
up dong but booc cou o out lSM nhum dum buo:
.1 so toun tho vo cuc qoy dnh, qoy phum but booc on qoun
to khu thuc tuo un toun vu buo vo mo troong, vu
.2 cuc Chnh qoyon hung hu thoc hon vu th hunh o out
nuy mot cuch hoo oc.
Voc th hunh mot cuch hoo oc cou Chnh qoyon hung hu phu buo
gom voc kom tru xuc nhun rung ho thong qoun y un toun toun tho
vo cuc yoo cuo cou o out lSM cong nho pho hop vo cuc qoy phum
vu qoy dnh but booc.
Voc up dong but booc o out lSM phu dum buo, ho tro vu khoyon
khch voc qoun tum to cuc bo out, hoong dun, too choun thch hop
mu lMO, Chnh qoyon hung hu, cuc to choc phun cup, cuc to choc
cong nghop hung hu du khoyon ngh.
Tracb nbicm kicm tra xac nban va cbong nban
Chnh qoyon hung hu cho truch nhom kom tru xuc nhun vo so toun tho vo
cuc yoo cuo cou o out lSM vu do vo voc cup Cuy chong nhun pho hop
cho Cong ty vu Cuy chong nhun qoun y un toun cho cuc tuo.
Ngh qoyo t A.739tl8) - Hoo ng du n vo vo c o y qoyo n co u Chnh qoyo n hu ng hu
cho cu c to cho c doo c thuy mu t hou t do ng, vu Ngh qoyo t A.789tl9) - oy dnh
co tho vo cho c nu ng ko m tru du ng ko m vu cho ng nhu n co u to cho c doo c co ng
nhu n hou t do ng thuy mu t Chnh qoyo n hu ng hu du tro thu nh bu t boo c thoo qoy
dnh Xl/l co u SOLAS vu Ngh qoyo t A.847t20) - Hoo ng du n ho tro cho cu c oo c
gu mu tu o troo co trong vo c tho c ho n cu c vu n ko n thch ho p co u lMO kh Chnh
qoyo n hu ng hu * o y qoyo n cho cu c to cho c do cu p cu c Cu y cho ng nhu n pho ho p
vu cu c Cu y cho ng nhu n qou n y un tou n thuy mu t cho Chnh qoyo n hu ng hu .
* Resolution A.847(20) has been superseded by resolution A.996(25), Code for the
Implementation of Mandatory IMO Instruments, 2007, as amended by resolution
A.1019(26).
* Ngh quyet A.847(20) a c thay the bi ngh quyet A.996(25) - Bo luat ve viec
Thc hien cac cac Van kien Bat buoc cua IMO, 2007, c sa oi bi ngh quyet
A.1019(26).
29 29
Huong dan |huc hcn o ua| S\ cho cac chnh qu,cn hang ha Cudcnc on |hc mpcmcn|a|on of |hc S\ Codc b, dmn|ra|on
1 SCOFF AND AFFtlCATlON
1.1 Dcfinitions
1ho torms osod n thoso Codonos huvo tho sumo mounng us thoso
gvon n tho lSM Codo.
1.2 Scopc and appIication
1.2.1 1hoso Codonos ostubsh busc prncpos:
.1 or voryng thut tho suoty munugomont systom o u
Compuny rosponsbo or tho oporuton o shps, or tho
suoty munugomont systom or tho shp or shps controod
by tho Compuny, compos vth tho lSM Codo, und
.2 or tho ssoo und unnou vorcuton o tho Docomont o
Compunco und or tho ssoo und ntormoduto vorcuton
o tho Suoty Munugomont Cortcuto.
2 VFklFYlNG COMFtlANCF WlTH THF lSM CODF
2.1 GcncraI
2.1.1 1o compy vth tho roqoromonts o tho lSM Codo, Compunos
shood dovoop, mpomont und muntun u suoty munugomont systom
to onsoro thut tho suoty und onvronmontu protocton pocy o tho
Compuny s mpomontod. 1ho Compuny pocy shood ncodo tho
oboctvos donod by tho lSM Codo.*
2.1.2 Admnstrutons shood vory compunco vth tho roqoromonts
o tho lSM Codo by dotormnng:
.1 tho conormty o tho Compuny's suoty munugomont
systom vth tho roqoromonts o tho lSM Codo, und
.2 thut tho suoty munugomont systom onsoros thut tho oboc-
tvos donod n purugruph l.2.3 o tho lSM Codo uro mot.
1 FHAM Vl VA AF DNG
1.1 Cac d|nb ngbia
Cuc thout ngo dooc so dong trong Hoong dun nuy co cong nghu nho
cuc thout ngo trong o out lSM.
1.2 Fbam vi va ap dong
1.2.1 Hoong dun nuy thot up cuc ngoyon tuc co bun:
.1 do kom tru xuc nhun rung ho thong qoun y un toun cou
Cong ty cho truch nhom khu thuc tuo houc ho thong
qoun y un toun cou mot houc nhoo tuo num doo so kom
sout cou Cong ty toun tho vo o out lSM, vu
.2 do cup vu kom tru xuc nhun hung num Cuy chong nhun
pho hop vu do cup vu kom tru xuc nhun trong gun Cuy
chong nhun qoun y un toun.
2 klFM TkA XAC NHAN S FH HOF VOl O tAT lSM
2.1 Qoy d|nb cbong
2.1.1 Do dup ong cuc yoo cuo cou o out lSM, Cong ty phu xuy
dong, thoc hon vu doy tr mot ho thong qoun y un toun do dum buo
rung chnh such un toun vu buo vo mo troong cou Cong ty dooc thoc
hon. Chnh such cou Cong ty phu buo gom cuc moc too dooc ch ru
trong o out lSM.*
2.1.2 Chnh qoyon hung hu phu kom tru so toun tho cuc yoo cuo cou
o out lSM bung voc xuc dnh rung:
.1 ho thong qoun y un toun cou Cong ty toun tho vo cuc yoo
cuo cou o out lSM, vu
.2 ho thong qoun y un toun do dum buo dut dooc cuc moc
too du do ru trong doo l.2.3 cou o out lSM.
* The ICS/ISF Guidelines on the application of the International Safety
Management Code provide useful guidance on important individual elements of a
safety management system and its development by Companies.
* Hng dan cua ICS/ISF ve viec ap dung Bo luat quan ly an toan quoc te cua IMO
a ra nhng ch dan hu ch oi vi nhng yeu cau quan trong cua he thong quan
ly an toan va viec xay dng he thong cua cac cong ty.
30 30
Huong dan |huc hcn o ua| S\ cho cac chnh qu,cn hang ha Cudcnc on |hc mpcmcn|a|on of |hc S\ Codc b, dmn|ra|on
2.1.3 Dotormnng tho conormty or non-conormty o suoty munugomont
systom oomonts vth tho roqoromonts spocod by tho lSM Codo muy
domund thut crtoru or ussossmont bo dovoopod. Admnstrutons uro rocom-
mondod to mt tho dovoopmont o crtoru n tho orm o proscrptvo munugo-
mont systom sootons. Crtoru or ussossmont n tho orm o proscrptvo
roqoromonts muy huvo tho ooct thut suoty munugomont n shppng rosots
n Compunos mpomontng sootons propurod by othors, und t muy thon bo
dcot or u Compuny to dovoop tho sootons vhch bost sot thut purtcour
Compuny, oporuton or shp.
2.1.4 1horooro, Admnstrutons uro rocommondod to onsoro thut
thoso ussossmonts uro busod on dotormnng tho ooctvonoss o tho
suoty munugomont systom n mootng spocod oboctvos, ruthor thun
conormty vth dotuod roqoromonts n uddton to thoso contunod n
tho lSM Codo, so us to rodoco tho nood or dovoopng crtoru to uc-
tuto ussossmont o tho Compunos' compunco vth tho Codo.
2.2 Tbc abiIity of tbc safcty managcmcnt systcm to mcct
gcncraI safcty managcmcnt objcctivcs
2.2.1 1ho lSM Codo dontos gonoru suoty munugomont oboctvos.
1hoso oboctvos uro:
.1 to provdo or suo pructcos n shp oporuton und u suo
vorkng onvronmont,
.2 to ussoss u dontod rsks to ts shps, porsonno und tho
onvronmont und ostubsh uppropruto suogourds, und
.3 to mprovo contnooosy tho suoty-munugomont sks o
porsonno ushoro und ubourd, ncodng propurng or
omorgoncos routod both to suoty und to onvronmontu
protocton.
1ho vorcuton shood sopport und oncoorugo Compunos n uchovng
thoso oboctvos.
2.2.2 1hoso oboctvos provdo cour godunco to Compunos or tho
dovoopmont o suoty munugomont systom oomonts n compunco
vth tho lSM Codo. Snco, hovovor, tho ubty o tho suoty munugo-
mont systom to uchovo thoso oboctvos cunnot bo dotormnod boyond
2.1.3 Voc xuc dnh so toun tho huy khong toun tho cou cuc yoo to trong ho
thong qoun y un toun vo cuc yoo cuo dooc ch ru trong o out lSM co tho
do ho phu xuy dong cuc too choun dunh gu. Cuc Chnh qoyon hung hu
dooc khoyon ngh hun cho voc xuy dong cuc too choun doo dung cuc gu
phup ho thong qoun y thoo khoon muo. Kh cuc too choun dunh gu doo
hnh thoc cuc yoo cuo thoo khoon muo th qoun y un toun trong hung hu
dun to voc cuc Cong ty thoc hon cuc gu phup do ngoo khuc soun thuo.
V tho, Cong ty co tho so gup kho khun kh moon xuy dong mot gu phup
thch hop nhut cho Cong ty, cho cuc hout dong houc cho tong con tuo co tho.
2.1.4 Do do, Chnh qoyon hung hu cun dum buo rung cuc cooc dunh
gu nuy dooc dou tron voc xuc dnh tnh hoo oc cou ho thong qoun
y un toun trong voc dut dooc cuc moc too du dut ru hon u voc toun
tho vo cuc yoo cuo ch tot khuc ngou cuc yoo cuo cou o out lSM.
Cuch um nuy so hun cho nho cuo phu xuy dong cuc too choun ho
tro voc dunh gu so toun tho cou Cong ty vo o out lSM.
2.2 kba nang coa bc tbong qoan Iy an toan dc dat dooc
cac moc tico cbong trong qoan Iy an toan
2.2.1 o out lSM ch ru cuc moc too chong trong qoun y un toun.
Cuc moc too do u:
.1 dou ru cuc tuc nghop un toun trong khu thuc tuo vu mot
mo troong um voc un toun,
.2 du nh gu tu t cu cu c ro ro du doo c xu c dnh do vo tu o, con ngoo vu
mo troo ng do ng tho tho t u p cu c bo n phu p bu o vo thch ho p, vu
.3 on toc houn thon cuc ky nung qoun y un toun cou nhong ngoo
um voc tron bo vu doo tuo, buo gom cu voc choun b do pho
vo cuc so co khun cup on qoun to un toun vu buo vo mo
troong.
Voc kom tru xuc nhun phu ho tro vu khoyon khch cuc Cong ty dut
dooc cuc moc too nuy.
2.2.2 Nhong moc too nuy dou ru hoong dun ro rung cho Cong ty tron
khu cuc yoo to cou ho thong qoun y un toun pho hop vo o out lSM.
1oy nhon khu nung cou ho thong qoun y un toun trong voc dut dooc
cuc moc too tron co tho khong xuc dnh dooc ngou tro voc xuc
3l 3l
Huong dan |huc hcn o ua| S\ cho cac chnh qu,cn hang ha Cudcnc on |hc mpcmcn|a|on of |hc S\ Codc b, dmn|ra|on
vhothor tho suoty munugomont systom compos vth tho roqoro-
monts o tho lSM Codo, thoy shood not orm tho buss or ostubshng
dotuod ntorprotutons to bo osod or dotormnng conormty or non-
conormty vth tho roqoromonts o tho lSM Codo.
2.3 Tbc abiIity of tbc safcty managcmcnt systcm to mcct
spccific rcqoircmcnts of safcty and poIIotion prcvcntion
2.3.1 1ho mun crtoron vhch shood govorn tho dovoopmont o
ntorprotutons noodod or ussossng compunco vth tho roqoromonts
o tho lSM Codo shood bo tho ubty o tho suoty munugomont systom
to moot tho spocc roqoromonts donod by tho lSM Codo n torms o
spocc stundurds o suoty und pooton provonton.
1ho spocc stundurds o suoty und protocton o tho onvronmont
spocod by tho lSM Codo uro:
.1 compunco vth mundutory roos und rogoutons, und
.2 thut uppcubo codos, godonos und stundurds rocom-
mondod by tho Orgunzuton, Admnstrutons, cusscu-
ton socotos und othor murtmo ndostry orgunzutons uro
tukon nto uccoont.
2.3.2 A rocords huvng tho potontu to uctuto vorcuton o
compunco vth tho lSM Codo shood bo opon to scrotny dorng un
oxumnuton. lor ths porposo tho Admnstruton shood onsoro thut tho
Compuny provdos uodtors vth stutotory und cusscuton rocords
roovunt to tho uctons tukon by tho Compuny to onsoro thut compunco
vth mundutory roos und rogoutons s muntunod. ln ths rogurd tho
rocords muy bo oxumnod to sobstuntuto thor uothontcty und
voructy.
2.3.3 Somo mundutory roqoromonts muy not bo soboct to stutotory or
cusscuton sorvoys, soch us:
.1 muntunng tho condton o shp und oqopmont botvoon
sorvoys, und
.2 cortun oporutonu roqoromonts.
dnh ho thong qoun y un toun pho hop vo cuc yoo cuo cou o out
lSM. Chnh v vuy, cuc moc too nuy khong tuo ru co so do thot up
cuc ch dun ch tot nhum xuc dnh so pho hop huy khong pho hop vo
cuc yoo cuo cou o out lSM.
2.3 kba nang coa bc tbong qoan Iy an toan trong vicc dap ong
cac yco cao da dat ra vc an toan va ngan ngoa o nbicm
2.3.1 Cuc too choun cho duo ch pho voc xuy dong cuc ch dun cun
thot cho voc dunh gu so pho hop vo cuc yoo cuo cou o out lSM
phu u khu nung cou ho thong qoun y un toun do dut dooc cuc yoo
cuo co tho du ch ru trong o out lSM tu cuc doo khoun cou cuc too
choun co tho vo un toun vu ngun ngou o nhom.
Cuc too choun co tho vo un toun vu buo vo mo troong du ch ru trong
o out lSM phu:
.1 pho hop vo cuc qoy dnh vu qoy phum but booc, vu
.2 oo tum to voc up dong cuc bo out, hoong dun, too
choun co tho dooc up dong du dooc 1o choc, Chnh qoyon
hung hu, cuc to choc phun cup vu cuc to choc cong
nghop hung hu khuc khoyon ngh.
2.3.2 1ut cu cuc ho so co tho tuo doo kon cho voc kom tru xuc nhun
so toun tho vo o out lSM phu sun sung do dooc xom xot trong soot
qou trnh kom tru. Nhum moc dch nuy, Chnh qoyon hung hu phu
dum buo rung cuc Cong ty cong cup cho cuc dunh gu von cuc ho so
phun cup vu thoo out dnh on qoun to cuc hout dong do Cong ty
thoc hon dooc doy tr pho hop vo cuc qoy phum, qoy dnh but booc.
Cuc ho so nuy phu dooc kom tru do xuc mnh tnh dong dun vu tnh
xuc thoc.
2.3.3 Mot so cuc yoo cuo but booc co tho khong cho so kom tru phun
cup houc kom tru thoo out dnh nho:
.1 voc doy tr tnh trung cou con tuo vu trung thot b gou cuc
un kom tru, vu
.2 mot so yoo cuo hout dong nhut dnh.
32 32
Huong dan |huc hcn o ua| S\ cho cac chnh qu,cn hang ha Cudcnc on |hc mpcmcn|a|on of |hc S\ Codc b, dmn|ra|on
Spocc urrungomonts muy bo roqorod to onsoro compunco und to provdo
or tho oboctvo ovdonco noodod or vorcuton n thoso cusos, soch us:
.1 docomontod procodoros und nstroctons, und
.2 docomontuton o tho vorcuton currod oot by sonor
ocors o duy-to-duy oporuton vhon roovunt to onsoro
compunco.
2.3.4 1ho vorcuton o compunco vth mundutory roos und
rogoutons, vhch s purt o tho lSM Codo cortcuton, nothor
dopcutos nor sobsttotos sorvoys or othor murtmo cortcutos. 1ho
vorcuton o compunco vth tho lSM Codo doos not roovo tho
Compuny, tho mustor or uny othor ontty or porson nvovod n tho
munugomont or oporuton o tho shp o thor rosponsbtos.
2.3.S Admnstrutons shood onsoro thut tho Compuny hus:
.1 tukon nto uccoont tho rocommondutons, us roorrod to n
l.2.3.2 o tho lSM Codo, vhon ostubshng tho suoty
munugomont systom, und
.2 dovoopod procodoros to onsoro thut thoso rocommondu-
tons uro mpomontod on shoro und on bourd.
2.3.6 \thn u suoty munugomont systom, mpomontuton o codos,
godonos und stundurds rocommondod by tho Orgunzuton,
Admnstrutons, cusscuton socotos und othor murtmo ndostry
orgunzutons doos not muko thoso rocommondutons mundutory ondor
tho lSM Codo. Novorthooss uodtors shood oncoorugo Compunos to
udopt thoso rocommondutons vhonovor uppcubo to tho Compuny.
3 THF CFkTlFlCATlON FkOCFSS
3.1 Ccrtification activitics
3.1.1 1ho cortcuton procoss roovunt to u Docomont o Compunco
or u Compuny und u Suoty Munugomont Cortcuto to u shp v
normuy nvovo tho oovng stops:
.1 ntu vorcuton,
.2 unnou or ntormoduto vorcuton,
Do dum buo so toun tho vu cong cup cuc bung chong khuch qoun cun
thot cho voc kom tru xuc nhun, cun phu co mot so yoo cuo co tho nho:
.1 cuc qoy trnh vu cuc hoong dun bung vun bun, vu
.2 cuc tu oo chong mnh voc cuc sy qoun thoc hon voc
kom tru xuc nhun trong cuc hout dong hung nguy do dum
buo so toun tho.
2.3.4 Kom tru xuc nhun so toun tho vo cuc qoy phum vu cuc qoy dnh but
booc toy u mot phun cou voc chong nhun thoo o out lSM nhong khong
trong up houc khong thuy tho cuc cooc kom tru cup guy chong nhun hung
hu khuc. Kom tru xuc nhun so toun tho vo o out lSM khong um gum
truch nhom cou Cong ty, thoyon troong houc but ky mot thoc tho huy mot
cu nhun nuo khuc thum gu vuo voc qoun y houc khu thuc tuo.
2.3.S Chnh qoyon hung hu phu dum buo rung Cong ty du:
.1 oo tum to cuc khoyon ngh, dooc noo trong moc l.2.3.2
cou o out lSM, kh xuy dong ho thong qoun y un toun,
vu
.2 xuy dong cuc qoy trnh do dum buo rung cuc khoyon ngh
nuy dooc thoc hon cu tron bo vu doo tuo.
2.3.6 1rong mot ho thong qoun y un toun, voc thoc hon cuc bo out,
hoong dun vu cuc too choun du dooc khoyon ngh bo 1o choc, Chnh
qoyon hung hu, cuc to choc phun cup vu cuc to choc cong nghop
hung hu khuc khong phu u qoy dnh but booc cou o out lSM. 1oy
nhon cuc dunh gu von phu khoyon khch cuc Cong ty up dong cuc
khoyon ngh do.
3 QA TklNH CHNG NHAN
3.1 Hoat dong cbong nban
3.1.1 ou trnh chong nhun do cup Cuy chong nhun pho hop cho
mot Cong ty vu cup Cuy chong nhun qoun y un toun cho mot tuo
thong thoong so co nhong booc suo:
.1 kom tru xuc nhun un duo,
.2 kom tru xuc nhun hung num houc trong gun,
33 33
Huong dan |huc hcn o ua| S\ cho cac chnh qu,cn hang ha Cudcnc on |hc mpcmcn|a|on of |hc S\ Codc b, dmn|ra|on
.3 ronovu vorcuton, und
.4 uddtonu vorcuton.
1hoso vorcutons uro currod oot ut tho roqoost o tho Compuny to tho
Admnstruton, or to tho orgunzuton rocognzod by tho Admnstruton to
pororm cortcuton onctons ondor tho lSM Codo, or ut tho roqoost o tho
Admnstruton by unothor Contructng Covornmont to tho Convonton.
1ho vorcutons v ncodo un uodt o tho suoty munugomont systom.
3.2 lnitiaI vcrification
3.2.1 1ho Compuny shood uppy or lSM Codo cortcuton to tho
Admnstruton.
3.2.2 An ussossmont o tho shorosdo munugomont systom ondortukon by
tho Admnstruton vood nocosstuto ussossmont o tho ocos vhoro soch
munugomont s currod oot und possby o othor ocutons, dopondng on
tho Compuny's orgunzuton und tho onctons o tho vuroos ocutons.
3.2.3 On sutsuctory compoton o tho ussossmont o tho shorosdo
suoty munugomont systom, urrungomonts/punnng muy commonco or
tho ussossmont o tho Compuny's shps.
3.2.4 On sutsuctory compoton o tho ussossmont, u Docomont o
Compunco v bo ssood to tho Compuny, copos o vhch shood bo
orvurdod to ouch shorosdo promsos und ouch shp n tho Compuny's
oot. As ouch shp s ussossod und ssood vth u Suoty Munugomont
Cortcuto, u copy o t shood uso bo orvurdod to tho Compuny's houd oco.
3.2.S ln cusos vhoro cortcutos uro ssood by u rocognzod
orgunzuton, copos o u cortcutos shood uso bo sont to tho
Admnstruton.
3.2.6 1ho suoty munugomont uodt or tho Compuny und or u shp v
nvovo tho sumo busc stops. 1ho porposo s to vory thut u Compuny or u
shp compos vth tho roqoromonts o tho lSM Codo. 1ho uodts ncodo:
.1 tho conormty o tho Compuny's suoty munugomont systom
vth tho roqoromonts o tho lSM Codo, ncodng oboctvo
.3 kom tru xuc nhun cup mo, vu
.4 kom tru xuc nhun bo song.
Voc kom tru xuc nhun nuy dooc ton hunh thoo do ngh cou Cong ty to
Chnh qoyon hung hu, houc to to choc dooc Chnh qoyon hung hu cong
nhun do thoc hon choc nung chong nhun thoo o out lSM, houc to mot
Chnh pho du ky kot cong ooc thoo do ngh cou Chnh qoyon hung hu.
Vo c ko m tru xu c nhu n phu buo go m mo t coo c du nh gu ho tho ng qou n y un tou n.
3.2 kicm tra xac nban Ian dao
3.2.1 Cong ty phu go yoo cuo chong nhun thoo o out lSM cho
Chnh qoyon hung hu.
3.2.2 Vo c ko m tru xu c nhu n ho tho ng qou n y tro n bo do Chnh qoyo n hu ng
hu tho c ho n phu co coo c du nh gu tu cu c tro so no ho tho ng qou n y do dung
doo c tho c ho n vu co tho tu cu c du do m khu c toy thoo c vu o to cho c co u Co ng
ty vu cho c nu ng co u cu c don v o cu c du do m khu c nhuo.
3.2.3 Kh houn tut dunh gu ho thong qoun y un toun tron bo, co tho
but duo cuc cong voc choun b/ up ko houch dunh gu cuc tuo cou
Cong ty.
3.2.4 Kh vo c du nh gu du hou n tu t, mo t Cu y cho ng nhu n pho ho p so doo c cu p
cho Co ng ty, cu c bu n suo co u Cu y cho ng nhu n pho ho p so doo c go to to ng vu n
pho ng tro n bo vu to ng tu o trong do tu o co u Co ng ty. Kh mo t tu o du doo c du nh
gu vu doo c cu p mo t Cu y cho ng nhu n qou n y un tou n, mo t bu n suo co u Cu y
cho ng nhu n qou n y un tou n co ng phu doo c go to tro so chnh co u Co ng ty.
3.2.S 1rong troong hop cuc guy chong nhun dooc cup bo mot to
choc dooc cong nhun, bun suo cou tut cu cuc guy chong nhun nuy
cong phu dooc go cho Chnh qoyon hung hu.
3.2.6 Dunh gu qoun y un toun do vo Cong ty vu tuo so thoo cuc booc
co bun gong nhuo. Moc dch u do kom tru xuc nhun rung Cong ty houc
tuo toun tho vo cuc yoo cuo cou o out lSM. Voc dunh gu buo gom:
.1 so toun tho cou ho thong qoun y un toun cou Cong ty vo
cuc yoo cuo cou o out lSM, buo gom cu cuc bung chong
34 34
Huong dan |huc hcn o ua| S\ cho cac chnh qu,cn hang ha Cudcnc on |hc mpcmcn|a|on of |hc S\ Codc b, dmn|ra|on
ovdonco domonstrutng thut tho Compuny's suoty mun-
ugomont systom hus boon n oporuton or ut oust throo
months und thut u suoty munugomont systom hus boon n
oporuton on bourd ut oust ono shp o ouch typo oporutod
by tho Compuny or ut oust throo months, und
.2 thut tho suoty munugomont systom onsoros thut tho oboctvos
donod n purugruph l.2.3 o tho lSM Codo uro mot. 1hs ncodos
vorcuton thut tho Docomont o Compunco or tho Compuny
rosponsbo or tho oporuton o tho shp s uppcubo to thut
purtcour typo o shp, und ussossmont o tho shpbourd suoty
munugomont systom to vory thut t compos vth tho roqoro-
monts o tho lSM Codo, und thut t s mpomontod. Oboctvo
ovdonco domonstrutng thut tho Compuny's suoty munugomont
systom hus boon onctonng ooctvoy or ut oust throo months
on bourd tho shp und ushoro shood bo uvuubo, ncodng,
ntor uu, rocords rom tho ntornu uodt porormod by tho
Compuny.
3.3 AnnoaI vcrification of Docomcnt of CompIiancc
3.3.1 Annou suoty munugomont uodts uro to bo currod oot to muntun
tho vudty o tho Docomont o Compunco, und shood ncodo
oxumnng und voryng tho corroctnoss o tho stutotory und cusscuton
rocords prosontod or ut oust ono shp o ouch typo to vhch tho
Docomont o Compunco uppos. 1ho porposo o thoso uodts s to
vory tho ooctvo onctonng o tho suoty munugomont systom, und
thut uny modcutons mudo to tho Suoty Munugomont Systom compy
vth tho roqoromonts o tho lSM Codo.
3.3.2 Annou vorcuton s to bo currod oot vthn throo months
booro und utor ouch unnvorsury duto o tho Docomont o Compunco.
A schodoo not oxcoodng throo months s to bo ugrood or compoton
o tho nocossury corroctvo uctons.
3.3.3 \horo tho Compuny hus moro thun ono shorosdo promsos,
ouch o vhch muy not huvo boon vstod ut tho ntu ussossmont, tho
unnou ussossmonts shood ondouvoor to onsoro thut u stos uro vstod
dorng tho porod o vudty o tho Docomont o Compunco.
khuch qoun chong mnh rung ho thong qoun y un toun
tron Cong ty du dooc thoc hon to thoo u bu thung vu ho
thong qoun y un toun du dooc thoc hon to thoo u bu
thung tron to thoo mot tuo thooc mo ou tuo khu thuc
bo Cong ty.
.2 ho thong qoun y un toun phu dum buo rung cuc moc too du
noo trong doo l.2.3 cou o out lSM dooc dup ong. Doo nuy
buo gom voc kom tru xuc nhun rung Cuy chong nhun pho
hop cou Cong ty cho truch nhom qoun y tuo u thch hop
do vo ou tuo co tho do, vu voc dunh gu ho thong qoun y
un toun cou tuo do kom tru xuc nhun vo so toun tho cou ho
thong qoun y un toun vo cuc yoo cuo cou o out lSM vu ho
thong qoun y un toun du dooc thoc hon. Cuc bung chong
khuch qoun phu co sun do chong mnh ho thong qoun y un
toun cou Cong ty du hout dong mot cuch co hoo oc tron
Cong ty vu tron tuo to thoo u bu thung, t nhut phu buo gom
cuc bon bun dunh gu no bo do Cong ty thoc hon.
3.3 kicm tra xac nban bang nam Giay cbong nban pbo bop
3.3.1 Dunh gu qoun y un toun hung num phu dooc thoc hon do doy
tr hoo oc cou Cuy chong nhun pho hop vu phu buo gom voc kom
tru vu xuc nhun tnh chnh xuc cou cuc bon bun kom tru thoo out
dnh vu phun cup dooc trnh ru, to thoo u cou mot tuo do vo mo
ou tuo dooc gh trong Cuy chong nhun pho hop. Moc dch cou cuc
cooc dunh gu nuy u do kom tru xuc dnh voc thoc hon co hoo oc
ho thong qoun y un toun, vu mo sou do do vo ho thong qoun y un
toun phu pho hop vo cuc yoo cuo cou o out lSM.
3.3.2 Dunh gu hung num phu dooc thoc hon trong vong 3 thung
trooc houc suo nguy un dnh dunh gu hung num cou Cuy chong nhun
pho hop. 1ho hun houn thunh cuc hunh dong khuc phoc cun thot
phu dooc thong nhut trooc nhong khong qou 3 thung.
3.3.3 Noo mot Cong ty co nhoo vun phong, un dunh gu un duo co
tho khong dunh gu tut cu cuc vun phong do, nhong phu dum buo
rung tut cu cuc vun phong doo phu dooc dunh gu trong cuc un dunh
gu hung num trong tho hun hoo oc cou Cuy chong nhun pho hop.
35 35
Huong dan |huc hcn o ua| S\ cho cac chnh qu,cn hang ha Cudcnc on |hc mpcmcn|a|on of |hc S\ Codc b, dmn|ra|on
3.4 lntcrmcdiatc vcrification of Safcty Managcmcnt
Ccrtificatcs
3.4.1 lntormoduto suoty munugomont uodts shood bo currod oot to
muntun tho vudty o tho Suoty Munugomont Cortcuto. 1ho porposo
o thoso uodts s to vory tho ooctvo onctonng o tho suoty
munugomont systom und thut uny modcutons mudo to tho suoty
munugomont systom compy vth tho roqoromonts o tho lSM Codo. ln
cortun cusos, purtcoury dorng tho ntu porod o oporuton ondor tho
suoty munugomont systom, tho Admnstruton muy nd t nocossury to
ncrouso tho roqooncy o tho ntormoduto vorcuton. Addtonuy, tho
nutoro o non-conormtos muy uso provdo u buss or ncrousng tho
roqooncy o ntormoduto vorcutons.
3.4.2 l ony ono ntormoduto vorcuton s to bo currod oot, t shood
tuko puco botvoon tho socond und thrd unnvorsury duto o tho ssoo
o tho Suoty Munugomont Cortcuto.
3.S kcncwaI vcrification
konovu vorcutons uro to bo porormod booro tho vudty o tho
Docomont o Compunco or tho Suoty Munugomont Cortcuto
oxpros. 1ho ronovu vorcuton v uddross u tho oomonts o tho
suoty munugomont systom und tho uctvtos to vhch tho roqoromonts
o tho lSM Codo uppy. konovu vorcuton muy bo currod oot rom
throo months booro tho duto o oxpry o tho Docomont o Compunco
or tho Suoty Munugomont Cortcuto, und shood bo compotod booro
thor duto o oxpry.
3.6 Safcty managcmcnt aodits
1ho procodoro or suoty munugomont uodts ootnod n tho oovng
purugruphs ncodos u stops roovunt or ntu vorcuton. Suoty mun-
ugomont uodts or unnou vorcuton und ronovu vorcuton shood bo
busod on tho sumo prncpos ovon thor scopo muy bo doront.
3.7 AppIication for aodit
3.7.1 1ho Compuny shood sobmt u roqoost or uodt to tho
Admnstruton or to tho orgunzuton rocognzod by tho Admnstruton or
3.4 kicm tra xac nban trong gian bc tbong
qoan Iy an toan
3.4.1 Dunh gu trong gun ho thong qoun y un toun phu dooc thoc
hon do doy tr hoo oc cou Cuy chong nhun qoun y un toun. Moc
dch cou cuc cooc dunh gu nuy u nhum xuc dnh voc thoc hon co
hoo oc ho thong qoun y un toun, vu mo sou do do vo ho thong
qoun y un toun phu toun tho vo cuc yoo cuo cou o out lSM. 1rong
mot so troong hop nhut dnh, duc bot u trong gu doun duo thoc hon
ho thong qoun y un toun, Chnh qoyon hung hu co tho tung coong so
un kom tru xuc nhun trong gun. Ngou ru, bun chut cou cuc so khong
pho hop cong co tho u co so cho voc tung coong so un kom tru xuc
nhun trong gun.
3.4.2 Noo ch co mot cooc kom tru xuc nhun trong gun th cooc dunh gu
do phu dooc thoc hon trong khoung tho gun gou cuc nguy un dnh dunh
gu hung num un tho hu vu un tho bu cou Cuy chong nhun qoun y un toun.
3.S kicm tra xac nban cap moi
Voc kom tru xuc nhun cup mo phu dooc thoc hon trooc kh Cuy
chong nhun pho hop houc Cuy chong nhun qoun y un toun hot hoo
oc. Voc kom tru xuc nhun cup mo so nhum to tut cu cuc yoo to cou
ho thong qoun y un toun vu cuc hout dong mu o out lSM yoo cuo.
Kom tru xuc nhun cup mo co tho dooc thoc hon trong vong bu thung
trooc nguy hot hoo oc cou Cuy chong nhun pho hop houc Cuy
chong nhun qoun y un toun vu phu dooc houn thunh trooc nguy hot
hoo oc cou cuc Cuy chong nhun do.
3.6 anb gia qoan Iy an toan
oy trnh dunh gu qoun y un toun dooc dou ru doo duy buo gom tut
cu cuc booc on qoun to dunh gu un duo. Dunh gu qoun y un toun
do kom tru xuc nhun hung num vu cup mo phu dou tron cong mot
ngoyon y ko cu kh phum v cou chong co tho khuc nhuo.
3.7 Yco cao danb gia
3.7.1 Cong ty phu go cuc yoo cuo dunh gu to Chnh qoyon hung
hu houc to choc dooc Chnh qoyon hung hu cong nhun do cup
36 36
Huong dan |huc hcn o ua| S\ cho cac chnh qu,cn hang ha Cudcnc on |hc mpcmcn|a|on of |hc S\ Codc b, dmn|ra|on
ssong u Docomont o Compunco or u Suoty Munugomont Cortcuto
on bohu o tho Admnstruton.
3.7.2 1ho Admnstruton or tho rocognzod orgunzuton shood thon
nomnuto tho oud uodtor und, roovunt, tho uodt toum.
3.8 FrcIiminary rcvicw (Docomcnt rcvicw)
As u buss or punnng tho uodt, tho uodtor shood rovov tho suoty
munugomont munou to dotormno tho udoqoucy o tho suoty munugo-
mont systom n mootng tho roqoromonts o tho lSM Codo. l ths
rovov rovous thut tho systom s not udoqouto, tho uodt v huvo to
bo douyod ont tho Compuny ondortukos corroctvo ucton.
3.9 Frcparing tbc aodit
3.9.1 1ho nomnutod oud uodtor shood uso vth tho Compuny und
prodoco un uodt pun.
3.9.2 1ho uodtor shood provdo tho vorkng docomonts vhch uro to
govorn tho oxocoton o tho uodt to uctuto tho ussossmonts, nvost-
gutons und oxumnutons n uccordunco vth tho stundurd procodoros,
nstroctons und orms vhch huvo boon ostubshod to onsoro consstont
uodtng pructcos.
3.9.3 1ho uodt toum shood bo ubo to commoncuto ooctvoy vth
uodtoos.
3.10 Fxccoting tbc aodit
3.10.1 1ho uodt shood sturt vth un oponng mootng n ordor to
ntrodoco tho uodt toum to tho Compuny's sonor munugomont, som-
murzo tho mothods or condoctng tho uodt, conrm thut u ugrood
uctos uro uvuubo, conrm tmo und duto or u cosng mootng und
cury possbo oncour dotus roovunt to tho uodt.
3.10.2 1ho uodt toum shood ussoss tho suoty munugomont systom on
tho buss o tho docomontuton prosontod by tho Compuny und oboctvo
ovdonco us to ts ooctvo mpomontuton.
Cuy chong nhun pho hop houc Cuy chong nhun qoun y un toun.
3.7.2 Suo do Chnh qoyon hung hu houc to choc dooc cong nhun
phu ch dnh do troong do dunh gu, noo cun thot th ch dnh cu
cuc thunh von do dunh gu.
3.8 Soat xct ban dao (soat xct tai Iico)
Do um co so cho voc up ko houch dunh gu, dunh gu von phu sout
xot so tuy qoun y un toun do xuc dnh tnh duy do cou ho thong qoun
y un toun co dup ong dooc cuc yoo cuo cou o out lSM. Noo voc sout
xot phut hon ru ho thong nuy khong duy do th cooc dunh gu phu
houn u cho don kh Cong ty thoc hon cuc hunh dong khuc phoc.
3.9 Cboan b| cbo cooc danb gia
3.9.1 Do troong do dunh gu du dooc ch dnh so on ho vo Cong
ty vu up ko houch dunh gu.
3.9.2 Dunh gu von choun b cuc tu oo um voc do qoun y voc
thoc hon cooc dunh gu nhum ho tro cho qou trnh dunh gu, doo
tru vu kom tru toun tho thoo cuc qoy trnh, hoong dun, boo muo
choun du dooc thot up do dum buo tnh nhut qoun cou cuc hout
dong dunh gu.
3.9.3 Do dunh gu phu co khu nung guo top hoo oc vo nhong
ngoo dooc dunh gu.
3.10 Tboc bicn vicc danb gia
3.10.1 Cooc dunh gu phu but duo bung cooc hop khu muc do go
thoo do dunh gu vo cuc unh duo cou Cong ty, tom tut cuc phoong
phup thoc hon cooc dunh gu, khung dnh rung cuc phoong ton thoo
thou thoun du co sun, khung dnh vo tho dom vu nguy hop kot thoc vu
um sung to nhong ch tot chou ro rung on qoun don cooc dunh gu.
3.10.2 Do dunh gu phu dunh gu ho thong qoun y un toun dou tron
co so u cuc tu oo dooc Cong ty dou ru vu dou vuo cuc bung chong
khuch qoun vo voc thoc hon co hoo oc ho thong qoun y un toun.
37 37
Huong dan |huc hcn o ua| S\ cho cac chnh qu,cn hang ha Cudcnc on |hc mpcmcn|a|on of |hc S\ Codc b, dmn|ra|on
3.10.3 Lvdonco shood bo cooctod throogh ntorvovs und oxumnu-
ton o docomonts. Obsorvuton o uctvtos und condtons muy uso bo
ncodod vhon nocossury to dotormno tho ooctvonoss o tho suoty
munugomont systom n mootng tho spocc stundurds o suoty und
protocton o tho onvronmont roqorod by tho lSM Codo.
3.10.4 Aodt obsorvutons shood bo docomontod. Ator uctvtos huvo
boon uodtod, tho uodt toum shood rovov thor obsorvutons to dotormno
vhch uro to bo roportod us non-conormtos. Non-conormtos shood bo
roportod n torms o tho gonoru und spocc provsons o tho lSM Codo.
3.10.S At tho ond o tho uodt, pror to propurng tho uodt roport, tho
uodt toum shood hod u mootng vth tho sonor munugomont o tho
Compuny und thoso rosponsbo or tho onctons concornod. 1ho porposo
s to prosont tho obsorvutons n soch u vuy us to onsoro thut tho rosots
o tho uodt uro coury ondorstood.
3.11 Aodit rcport
3.11.1 1ho uodt roport shood bo propurod ondor tho drocton o tho
oud uodtor, vho s rosponsbo or ts uccorucy und compotonoss.
3.11.2 1ho uodt roport shood ncodo tho uodt pun, dontcuton o
uodt toum mombors, dutos und dontcuton o tho Compuny, obsor-
vutons on uny non-conormtos und obsorvutons on tho ooctvonoss
o tho suoty munugomont systom n mootng tho spocod oboctvos.
3.11.3 1ho Compuny shood rocovo u copy o tho uodt roport. 1ho
Compuny shood bo udvsod to provdo u copy o tho shpbourd uodt
roports to tho shp.
3.12 Corrcctivc action foIIow-op
3.12.1 1ho Compuny s rosponsbo or dotormnng und ntutng tho
corroctvo ucton noodod to corroct u non-conormty or to corroct tho
cuoso o tho non-conormty. luoro to corroct non-conormtos vth
spocc roqoromonts o tho lSM Codo muy uoct tho vudty o tho
Docomont o Compunco und routod Suoty Munugomont Cortcutos.
3.10.3 ung chong dooc tho thup thong qou cuc cooc phong vun vu
kom tru tu oo. Kh cun xuc dnh hoo oc cou ho thong qoun y un
toun co dup ong dooc cuc too choun co tho vo un toun vu buo vo mo
troong dooc noo trong o out lSM, bung chong co tho buo gom voc
qoun sut cuc hout dong vu tnh trung thoc to.
3.10.4 Cuc so gh nhun dooc phut hon kh dunh gu phu dooc up
thunh vun bun. Suo kh cuc hout dong du dooc dunh gu, do dunh gu
phu sout xot u cuc so gh nhun do do qoyot dnh xom so gh nhun nuo
dooc buo cuo u so khong pho hop. So khong pho hop phu dooc buo
cuo thoo cuc doo khoun chong vu doo khoun co tho cou o out lSM.
3.10.S Kh kot thoc cooc dunh gu, trooc kh choun b buo cuo dunh
gu, do dunh gu phu to choc mot cooc hop vo cuc unh duo Cong ty
vu nhong ngoo cho truch nhom o cuc bo phun co on qoun. Moc dch
cou cooc hop u do trnh buy cuc so gh nhun dooc phut hon thoo cuch
thoc do dum buo mo ngoo doo hoo ro kot qou cou cooc dunh gu.
3.11 ao cao danb gia
3.11.1 u o cu o du nh gu doo c chou n b doo so ch du o co u do troo ng do du nh
gu - ngoo cho tru ch nho m vo so chnh xu c vu hou n chnh co u bu o cu o du nh gu .
3.11.2 uo cuo dunh gu phu buo gom ko houch dunh gu, xuc nhun
cuc thunh von cou do dunh gu, tho gun dunh gu, nhun bot vo
Cong ty, cuc bung chong vo so khong pho hop vu vo hoo oc cou ho
thong qoun y un toun trong voc dut dooc cuc moc too du ch ru.
3.11.3 un suo buo cuo dunh gu phu dooc go cho Cong ty. Cong ty
dooc yoo cuo phu go mot bun suo buo cuo dunh gu tuo cho tuo.
3.12 Cac banb dong kbac pboc sao danb gia
3.12.1 Cong ty cho truch nhom xuc dnh vu do xout cuc hunh dong khuc
phoc cun thot do khuc phoc so khong pho hop houc khuc phoc cuc ngoyon
nhun cou so khong pho hop. Voc khong khuc phoc nhong so khong pho hop
vo cuc yoo cuo co tho cou o out lSM so unh hoong to hoo oc cou Cuy
chong nhun pho hop vu cuc Cuy chong nhun qoun y un toun on qoun.
38 38
Huong dan |huc hcn o ua| S\ cho cac chnh qu,cn hang ha Cudcnc on |hc mpcmcn|a|on of |hc S\ Codc b, dmn|ra|on
3.12.2 Corroctvo uctons und possbo sobsoqoont oov-op uodts
shood bo compotod vthn tho tmo porod ugrood. 1ho Compuny
shood uppy or tho oov-op uodts.
3.13 Company rcsponsibiIitics pcrtaining to safcty
managcmcnt aodits
3.13.1 1ho vorcuton o compunco vth tho roqoromonts o tho lSM
Codo doos not roovo tho Compuny, munugomont, ocors or souurors o
thor obgutons us to compunco vth nutonu und ntornutonu ogsuton
routod to suoty und protocton o tho onvronmont.
3.13.2 1ho Compuny s rosponsbo or:
.1 normng roovunt ompoyoos uboot tho oboctvos und
scopo o tho lSM Codo cortcuton,
.2 uppontng rosponsbo mombors o stu to uccompuny
mombors o tho toum porormng tho cortcuton,
.3 provdng tho rosoorcos noodod by thoso porormng tho
cortcuton to onsoro un ooctvo und ocont vorcuton
procoss,
.4 provdng uccoss und ovdontu mutoru us roqoostod by
thoso porormng tho cortcuton, und
.S cooporutng vth tho vorcuton toum to pormt tho cort-
cuton oboctvos to bo uchovod.
3.13.3 \horo muor non-conormtos uro dontod, Admnstrutons
und rocognzod orgunzutons tkOs) shood compy vth tho procodoros
stutod n MSC/Crc.l059-MLlC/Crc.40l.
3.14 kcsponsibiIitics of tbc organization pcrforming tbc lSM
Codc ccrtification
1ho orgunzuton porormng tho lSM Codo cortcuton s rosponsbo
or onsorng thut tho cortcuton procoss s porormod uccordng to tho
lSM Codo und thoso Codonos. 1hs ncodos munugomont contro o
u uspocts o tho cortcuton uccordng to tho uppondx to thoso
Codonos.
3.12.2 Cuc hunh dong khuc phoc vu cuc cooc dunh gu top thoo do
xuc nhun voc xo y so khong pho hop phu dooc houn thunh trong tho
hun du thou thoun. Cong ty phu go yoo cuo thoc hon cuc cooc dunh
gu top thoo nuy.
3.13 Tracb nbicm coa Cong ty Iicn qoan toi cac cooc danb
gia qoan Iy an toan
3.13.1 Voc kom tru xuc nhun so toun tho vo cuc yoo cuo cou o
out lSM khong um gum bot nghu vo cou Cong ty, ngoo qoun y, cuc
sy qoun houc cuc thoyon von do vo voc toun tho out phup qooc gu
vu qooc to on qoun to un toun vu buo vo mo troong.
3.13.2 Cong ty phu cho truch nhom:
.1 thong buo cho cuc nhun von on qoun vo moc too vu
phum v cou voc chong nhun thoo o out lSM,
.2 phun cong nhong ngoo co truch nhom d cong cuc thunh
von cou do dunh gu,
.3 cong cup cuc ngoon oc cun thot cho do dunh gu do dum
buo qou trnh kom tru xuc nhun co hoo oc vu hoo qou,
.4 tuo doo kon cho dunh gu von top cun tu oo vu cong
cup bung chong thoo do ngh cou dunh gu von,
.S hop tuc vo do dunh gu do dut dooc moc too chong
nhun.
3.13.3 Kh phut hon so khong pho hop nghom trong, Chnh qoyon
hung hu vu to choc dooc cong nhun tkOs) phu toun tho vo qoy trnh
noo trong vun bun MSC/Crc.l059-MLlC/Crc.40l.
3.14 Tracb nbicm coa to cboc tboc bicn vicc cbong nban
tbco o Ioat lSM
1o choc thoc hon voc chong nhun thoo o out lSM cho truch nhom
dum buo rung qou trnh chong nhun dooc thoc hon toun tho o out lSM
vu Hoong dun nuy. Doo nuy buo gom voc kom sout tut cu cuc khu
cunh cou qou trnh chong nhun thoo pho choong cou Hoong dun nuy.
39 39
Huong dan |huc hcn o ua| S\ cho cac chnh qu,cn hang ha Cudcnc on |hc mpcmcn|a|on of |hc S\ Codc b, dmn|ra|on
3.1S kcsponsibiIitics of tbc vcrification tcam
3.1S.1 \hothor tho vorcutons nvovod vth cortcuton uro
porormod by u toum or not, ono porson shood bo n churgo o tho vor-
cuton. 1ho oudor shood bo gvon tho uothorty to muko nu docsons
rogurdng tho condoct o tho vorcuton und uny obsorvutons. Hs rospon-
sbtos shood ncodo:
.1 propuruton o u pun or tho vorcuton, und
.2 sobmsson o tho roport o tho vorcuton.
3.1S.2 lorsonno purtcputng n tho vorcuton uro rosponsbo or
compyng vth tho roqoromonts govornng tho vorcuton, onsorng
condontuty o docomonts portunng to tho cortcuton und troutng
prvogod normuton vth dscroton.
3.1S Tracb nbicm coa doi danb gia
3.1S.1 Cho do cuc voc kom tru xuc nhun on qoun don voc chong nhun
dooc thoc hon bo mot ngoo huy mot do dunh gu th vun phu co mot
ngoo cho truch nhom vo voc kom tru xuc nhun nuy. Do troong do
dunh gu phu co qoyon hun dou ru cuc qoyot dnh coo cong on qoun don
voc kom sout voc kom tru xuc nhun nuy vu vo but ky mot so gh nhun
nuo. 1ruch nhom cou do troong phu buo gom:
.1 up ko houch dunh gu, vu
.2 trnh buo cuo dunh gu.
3.1S.2 Cuc cu nhun thum gu voc kom tru xuc nhun cho truch
nhom toun tho vo cuc yoo cuo vo qoun y voc kom tru xuc nhun,
dum buo b mut cou cuc tu oo on qoun don voc chong nhun vu xo
y cuc thong tn mut mot cuch thun trong.
40 40
Huong dan |huc hcn o ua| S\ cho cac chnh qu,cn hang ha Cudcnc on |hc mpcmcn|a|on of |hc S\ Codc b, dmn|ra|on
Appondx
Standard on lSM Codc
ccrtification arrangcmcnt
1 lntrodoction
1ho uodt toum nvovod vth lSM Codo cortcuton, und tho
orgunzuton ondor vhch t muy bo munugod, shood compy vth tho
spocc roqoromonts stutod n ths unnox.
2 Standard of managcmcnt
2.1 Orgunzutons munugng vorcuton o compunco vth tho lSM
Codo shood huvo, n thor ovn orgunzuton, compotonco n routon to:
.1 onsorng compunco vth tho roos und rogoutons,
ncodng cortcuton o souurors, or tho shps oporutod
by tho Compuny,
.2 upprovu, sorvoy und cortcuton uctvtos,
.3 tho torms o rooronco thut most bo tukon nto uccoont ondor tho
suoty munugomont systom us roqorod by tho lSM Codo, und
.4 pructcu oxporonco o shp oporuton.
2.2 1ho Convonton roqoros thut orgunzutons rocognzod by
Admnstrutons or ssong u Docomont o Compunco und u Suoty
Munugomont Cortcuto ut thor roqoost shood compy vth rosootons
A.739tl8) - Codonos or tho uothorzuton o orgunzutons uctng on
bohu o tho Admnstruton
*
und A.789tl9) - Spoccutons on tho
sorvoy und cortcuton onctons o rocognzod orgunzutons uctng on
bohu o tho Admnstruton.
2.3 Any orgunzuton porormng vorcuton o compunco vth tho
provsons o tho lSM Codo shood onsoro thut thoro oxsts ndopondonco
botvoon tho porsonno provdng consotuncy sorvcos und thoso
nvovod n tho cortcuton procodoro.
lho choong
Cac tico cboan vc vicc
cbong nban tbco o Ioat lSM
1 Gioi tbico
Do dunh gu thum gu chong nhun thoo o out lSM vu to choc qoun
y do dunh gu phu toun tho vo cuc yoo cuo co tho dooc noo trong
trong pho choong nuy.
2 Tico cboan qoan Iy
2.1 Cuc to choc qoun y voc dunh gu vo so toun tho vo o out
lSM phu co nung oc vo:
.1 dum buo so toun tho vo cuc qoy phum vu qoy dnh do vo
cuc tuo do Cong ty qoun y, buo gom cu voc chong nhun
cho cuc thoyon von,
.2 cuc hout dong pho doyot, kom tru vu chong nhun,
.3 cuc doo khoun on qoun phu dooc do cup to trong ho
thong qoun y un toun thoo yoo cuo cou o out lSM, vu
.4 knh nghom thoc to vo khu thuc tuo.
2.2 Cong ooc yoo cuo rung cuc to choc dooc Chnh qoyon hung hu
cong nhun do cup Cuy chong nhun pho hop vu Cuy chong nhun
qoun y un toun thoo yoo cuo cou Chnh qoyon hung hu phu toun tho
vo ngh qoyot A.739tl8) - Hoong dun cho cuc to choc dooc cong
nhun hunh dong thuy mut cho Chnh qoyon hung hu
*
, vu ngh qoyot
A.789tl9) - Ch dun vo choc nung kom tru vu chong nhun cho to choc
dooc cong nhun hunh dong thuy mut cho Chnh qoyon hung hu.
2.3 Mo to choc thoc hon voc kom tru xuc nhun so toun tho vo
cuc doo khoun cou o out lSM phu dum buo so doc up gou nhong
ngoo cong cup cuc dch vo to vun vo nhong ngoo thum gu cuc qoy
trnh chong nhun.
*
As amended by resolution MSC.208(81).
*
c sa oi bi ngh quyet MSC.208(81).
4l 4l
Huong dan |huc hcn o ua| S\ cho cac chnh qu,cn hang ha Cudcnc on |hc mpcmcn|a|on of |hc S\ Codc b, dmn|ra|on
3 Standards of compctcncc
3.1 S\ Codc ccr|fca|on chcmc managcmcn|
Munugomont o lSM Codo cortcuton schomos shood bo currod oot
by thoso vho huvo pructcu knovodgo o lSM Codo cortcuton
procodoros und pructcos.
3.2 ac compc|cncc for pcrformng vcrfca|on
3.2.1 lorsonno vho uro to purtcputo n tho vorcuton o compunco
vth tho roqoromonts o tho lSM Codo shood huvo u mnmom o
ormu odocuton comprsng tho oovng:
.1 qoucutons rom u tortury nsttoton rocognzod by tho
Admnstruton or by tho rocognzod orgunzuton vthn u
roovunt od o ongnoorng or physcu sconco tmnmom
tvo-your progrummo), or
.2 qoucutons rom u murno or nuotcu nsttoton und
roovunt sougong oxporonco us u cortod shp ocor.
3.2.2 1hoy shood huvo ondorgono trunng to onsoro udoqouto compo-
tonco und sks or porormng vorcuton o compunco vth tho
roqoromonts o tho lSM Codo, purtcoury vth rogurd to:
.1 knovodgo und ondorstundng o tho lSM Codo,
.2 mundutory roos und rogoutons,
.3 tho torms o rooronco vhch tho lSM Codo roqoros thut
Compunos shood tuko nto uccoont,
.4 ussossmont tochnqoos o oxumnng, qoostonng, ovuoutng
und roportng,
.S tochncu or oporutonu uspocts o suoty munugomont,
.6 busc knovodgo o shppng und shpbourd oporutons, und
.7 purtcputon n ut oust ono murno-routod munugomont
systom uodt.
3. Cac tico cboan vc nang Ioc
3.1 uan , chuong |rnh chung nhan |hco o ua| S\
Voc qoun y choong trnh chong nhun o out lSM phu dooc thoc
hon bo nhong ngoo co kon thoc thoc to vo cuc qoy trnh chong
nhun thoo o out lSM vu du thum gu vuo voc chong nhun.
3.2 ^ang uc co ban dc |huc hcn vcc |cm |ra xac nhan
3.2.1 Cuc cu nhun thum gu vuo voc kom tru xuc nhun so toun tho
vo cuc yoo cuo cou o out lSM, to thoo, phu dooc duo tuo chnh
thoc nho suo:
.1 trnh do choyon mon dooc duo tuo tu hoc von dooc cong
nhun bo Chnh qoyon hung hu houc to choc dooc cong
nhun trong cuc nh voc co on qoun don ky thout houc
khou hoc to nhon tchoong trnh to thoo u 2 num), houc
.2 trnh do choyon mon dooc duo tuo to mot hoc von hung
hu vu u sy qoun tuo bon co knh nghom.
3.2.2 Dunh gu von phu dooc duo tuo do dum buo co duy do nung
oc vu ky nung do thoc hon voc kom tru xuc nhun so toun tho vo
cuc yoo cuo cou o out lSM, duc bot u duo tuo vo:
.1 kon thoc vu hoo bot vo o out lSM,
.2 cuc qoy dnh vu qoy phum but booc,
.3 cuc doo khoun thoo yoo cuo cou o out lSM mu Cong ty phu
oo tum to,
.4 ky thout dunh gu buo gom voc kom tru, dut cuo ho, dou ru
kot oun vu buo cuo,
.S cuc khu cunh vo ky thout houc hout dong cou qoun y un toun,
.6 kon thoc co bun vo khu thuc tuo vu cuc hout dong tron tuo, vu
.7 thum gu t nhut mot cooc dunh gu ho thong qoun y co on
qoun don hung hu.
42 42
Huong dan |huc hcn o ua| S\ cho cac chnh qu,cn hang ha Cudcnc on |hc mpcmcn|a|on of |hc S\ Codc b, dmn|ra|on
3.2.3 Soch compotonco shood bo domonstrutod throogh vrtton or
oru oxumnutons, or othor uccoptubo mouns.
3.3 Compc|cncc for n|a vcrfca|on and rcncva vcrfca|on
3.3.1 ln ordor to ussoss oy vhothor tho Compuny or tho shp compos
vth tho roqoromonts o tho lSM Codo, n uddton to tho busc compotonco
stutod ondor 3.2 ubovo, porsonno vho uro to pororm ntu vorcutons or
ronovu vorcutons or u Docomont o Compunco or u Suoty
Munugomont Cortcuto most possoss tho compotonco to:
.1 dotormno vhothor tho suoty munugomont systom oomonts con-
orm or do not conorm vth tho roqoromonts o tho lSM Codo,
.2 dotormno tho ooctvonoss o tho Compuny's suoty mun-
ugomont systom, or thut o tho shp, to onsoro compunco
vth roos und rogoutons us ovdoncod by tho stutotory
und cusscuton sorvoy rocords,
.3 ussoss tho ooctvonoss o tho suoty munugomont systom n
onsorng compunco vth othor roos und rogoutons
vhch uro not covorod by stutotory und cusscuton sorvoys
und onubng vorcuton o compunco vth thoso roos
und rogoutons, und
.4 ussoss vhothor tho suo pructcos rocommondod by tho
Orgunzuton, Admnstrutons, cusscuton socotos und
murtmo ndostry orgunzutons huvo boon tukon nto uccoont.
3.3.2 1hs compotonco cun bo uccompshod by toums vhch togothor
possoss tho totu compotonco roqorod.
3.3.3 lorsonno vho uro to bo n churgo o ntu vorcuton or ronovu
vorcuton o compunco vth tho roqoromonts o tho lSM Codo shood huvo
ut oust vo yours' oxporonco n urous roovunt to tho tochncu or oporutonu
uspocts o suoty munugomont, und shood huvo purtcputod n ut oust throo
ntu vorcutons or ronovu vorcutons. lurtcputon n vorcuton o
compunco vth othor munugomont stundurds muy bo consdorod us oqovu-
ont to purtcputon n vorcuton o compunco vth tho lSM Codo.
3.2.3 Nung oc nho tron phu dooc mnh chong thong qou cuc cooc
kom tru vot houc vun dup houc cuc hnh thoc dooc chup nhun khuc.
3.3 ^ang uc dc |huc hcn |cm |ra xac nhan an dau va
|cm |ra xac nhan cap mo
3.3.1 Do dum buo dunh gu mot cuch duy do xom Cong ty houc tuo co
pho hop vo cuc yoo cuo cou o out lSM huy khong, ngou nhong nung
oc co bun dooc noo trong phun 3.2 o tron, cuc cu nhun thoc hon cuc
cooc dunh gu un duo huy cup mo Cuy chong nhun pho hop houc
Cuy chong nhun qoun y un toun phu co do cuc nung oc do:
.1 xuc dnh cuc thunh phun cou ho thong qoun y un toun co
toun tho cuc yoo cuo cou o out lSM huy khong,
.2 xuc dnh tnh hoo oc cou ho thong qoun y un toun cou Cong
ty houc ho thong qoun y un toun cou tuo do dum buo so toun
tho vo cuc qoy phum vu cuc qoy dnh vo cuc bung chong u
cuc bon bun kom tru phun cup vu kom tru thoo out dnh,
.3 dunh gu tnh hoo oc cou ho thong qoun y un toun do
dum buo so toun tho vo cuc qoy phum vu qoy dnh khuc
khong num trong cuc cooc kom tru phun cup vu kom tru
thoo out dnh, vu do ho tro kom tru xuc nhun so toun tho
vo cuc qoy dnh vu qoy phum nuy, vu
.4 dunh gu xom cuc tuc nghop un toun du dooc khoyon ngh
bo 1o choc, cuc Chnh qoyon hung hu, cuc to choc phun
cup vu cuc to choc cong nghop hung hu co dooc oo tum
to huy khong.
3.3.2 Nhong yoo cuo vo nung oc nuy co tho dooc dup ong bung nung
oc tong hop cou toun do dunh gu.
3.3.3 Cuc cu nhun pho truch nhom voc kom tru xuc nhun un duo
houc cup mo so toun tho vo cuc yoo cuo cou o out lSM phu co t
nhut 5 num knh nghom trong cuc nh voc co on qoun don ky thout
houc hout dong qoun y un toun, vu thum gu t nhut bu cooc kom tru
xuc nhun un duo houc cup mo. Voc thum gu kom tru xuc nhun so
toun tho vo cuc too choun qoun y khuc co tho dooc co nho toong
doong vo voc kom tru xuc nhun so toun tho vo o out lSM.
43 43
Huong dan |huc hcn o ua| S\ cho cac chnh qu,cn hang ha Cudcnc on |hc mpcmcn|a|on of |hc S\ Codc b, dmn|ra|on
3.4 Compc|cncc for annua, n|crmcda|c and n|crm vcrfca|on
lorsonno vho uro to pororm unnou, ntormoduto und ntorm vorcutons
shood sutsy busc roqoromonts or porsonno purtcputng n vorcutons
und shood huvo purtcputod n u mnmom o tvo unnou, ronovu or
ntu vorcutons. 1hoy shood huvo rocovod spocu nstroctons noodod
to onsoro thut thoy possoss tho compotonco roqorod to dotormno tho
ooctvonoss o tho Compuny's suoty munugomont systom.
4 QoaIification arrangcmcnts
Orgunzutons porormng lSM Codo cortcuton shood huvo mpomontod
u docomontod systom or qoucuton und contnooos opdutng o tho
knovodgo und compotonco o porsonno vho uro to pororm vorcuton o
compunco vth tho lSM Codo. 1hs systom shood comprso thoorotcu
trunng coorsos covorng u tho compotonco roqoromonts und tho uppro-
pruto procodoros connoctod to tho cortcuton procoss, us vo us pructcu
totorod trunng, und t shood provdo docomontod ovdonco o sutsuctory
compoton o tho trunng.
S Ccrtification proccdorcs and instroctions
Orgunzutons porormng lSM Codo cortcuton shood huvo mpo-
montod u docomontod systom to onsoro thut tho cortcuton procoss s
porormod n uccordunco vth ths stundurd. 1hs systom shood, n|cr
aa, ncodo procodoros und nstroctons or tho oovng:
.1 contructou ugroomonts vth Compunos,
.2 punnng, schodong und porormng vorcuton,
.3 roportng rosots rom vorcuton,
.4 ssoo o Docomonts o Compunco, Suoty Munugomont
Cortcutos und lntorm Docomonts o Compunco und
Suoty Munugomont Cortcutos, und
.S corroctvo ucton und oov-op o vorcutons, ncodng
uctons to bo tukon n cusos o muor non-conormty.
3.4 ^ang uc dc |huc hcn |cm |ra xac nhan hang nam,
|rung gan va o bo.
Nhong ngoo thoc hon voc kom tru xuc nhun hung num, trong gun
vu so bo phu thou mun cuc yoo cuo co bun do vo ngoo thoc hon
voc dunh gu vu phu du thum gu to thoo u hu cooc kom tru xuc
nhun hung num, cup mo houc un duo. Ho phu dooc hoong dun duc
bot do dum buo rung ho co do cuc nung oc cun thot do xuc dnh tnh
hoo oc cou ho thong qoun y un toun cou Cong ty.
4 Trnb do cboycn mon
Cuc to choc thoc hon chong nhun thoo o out lSM phu thoc hon mot
ho thong vun bun vo trnh do choyon mon vu phu on toc cup nhut
kon thoc vu nung oc cou cuc cu nhun thoc hon voc kom tru xuc
nhun vo so toun tho vo o out lSM. Ho thong nuy buo gom cuc khou
duo tuo y thoyot buo trom tut cu cuc yoo cuo vo nung oc vu cuc qoy
trnh thch hop on qoun to qou trnh chong nhun cong nho cuc khou
duo tuo thoc hunh vo nhong ngoo co knh nghom. Ho thong phu dou
ru cuc bung chong bung vun bun vo voc houn thunh khou duo tuo.
S Cac qoy trnb va boong dan cbong nban
Cuc to choc thoc hon chong nhun thoo o out lSM phu thoc hon
mot ho thong bung vun bun do dum buo rung qou trnh chong nhun
dooc thoc hon thoo too choun nuy. Ho thong nuy to thoo phu bao
gom cuc qoy trnh vu cuc hoong dun nho suo:
.1 cuc hop dong vo Cong ty,
.2 up ko houch, up ch trnh vu thoc hon voc kom tru xuc nhun,
.3 buo cuo kot qou dunh gu,
.4 cup phut Cuy chong nhun pho hop, Cuy chong nhun
qoun y un toun vu cuc Cuy chong nhun pho hop tum
tho, Cuy chong nhun qoun y un toun tum tho, vu
.S cuc hunh dong khuc phoc vu dunh gu top thoo do kom tru voc
xo y cuc hunh dong khuc phoc, ko cu cuc hunh dong dooc thoc
hon trong cuc troong hop co so khong pho hop nghom trong.
GoidcIincs for tbc opcrationaI
lmpIcmcntation of tbc lntcrnationaI Safcty
Managcmcnt Codc by Companics
Hoong dan tboc bicn
o Ioat qoan Iy an toan qooc tc
cbo Cong ty
45 45
Codonos or tho oporutonu
lmpomontuton o tho lntornutonu Suoty
Munugomont tlSM) Codo by Compunos
nncx |o \SC-\L|C.7/Crc.
1 lNTkODCTlON
1.1 Tbc lSM Codc
1.1.1 1ho lntornutonu Munugomont Codo or tho Suo Oporuton o
Shps und or looton lrovonton tlntornutonu Suoty Munugomont
tlSM) Codo) vus udoptod by tho Orgunzuton by rosooton A.74ltl8)
und bocumo mundutory by vrtoo o tho ontry nto orco on l oy l998
o SOLAS chuptor lX on munugomont or tho Suo Oporuton o Shps.
1ho lSM Codo provdos un ntornutonu stundurd or tho suo munugomont
und oporuton o shps und or pooton provonton.
1.1.2 1ho Murtmo Suoty Commttoo, ut ts sovonty-thrd sosson,
udoptod umondmonts to chuptor lX o SOLAS by rosooton MSC.99t73),
und to soctons l, 7, l3, l4, l5 und l6 o tho lSM Codo by rosooton
MSC.l04t73).
1.1.3 1ho lSM Codo roqoros thut Compunos ostubsh suoty oboc-
tvos us doscrbod n socton l.2 o tho lSM Codo, und n uddton thut
tho Compunos dovoop, mpomont und muntun u suoty munugomont
systom vhch ncodos onctonu roqoromonts us stod n socton l.4
o tho lSM Codo.
1.1.4 1ho uppcuton o tho lSM Codo shood uppor| and cncouragc
tho dovoopmont o u suoty cotoro n shppng. Soccoss uctors or tho
dovoopmont o u suoty cotoro uro, n|cr aa, commtmont, vuoos und
boos.
Hoong dun thoc hon
o out qoun y un toun qooc to
cho Cong ty
|hu uc cua \SC-\L|C.7/Crc.
1 GlOl THlF
1.1 o Ioat lSM
1.1.1 o out qoun y un toun qooc to do khu thuc tuo un toun vu ngun
ngou o nhom to out lSM) du dooc thong qou bung ngh qoyot
A.74ltl8) cou lMO vu tro thunh but booc v choong lX SOLAS toun
y cuc hout dong cou tuo) du co hoo oc to 0/.07/l998. o out lSM
dou ru cuc too choun qooc to vo qoun y un toun, hout dong cou cuc
tuo vu ngun ngou o nhom.
1.1.2 1u ky hop 73, MSC du thong qou bo song sou do choong lX
SOLAS bung ngh qoyot MSC.99t73), vu bo song sou do cuc phun l,
7, l3, l4, l5 vu l6 cou o out lSM bung ngh qoyot MSC.l04t73).
1.1.3 o out lSM yoo cuo cuc Cong ty phu thot up cuc moc too un
toun nho dooc mo tu trong phun l.2 cou o out lSM vu yoo cuo cuc
Cong ty phu xuy dong, thoc hon vu doy tr mot ho thong qoun y un
toun buo gom cuc yoo cuo choc nung nho dooc ot ko trong phun l.4
cou o out lSM.
1.1.4 Voc up dong o out lSM phu ho |ro va |hu,cn |hch voc xuy
dong mot vun hou un toun trong vun tu bon. So cum kot, gu tr vu
ong tn u nhun to qoyot dnh cho voc xuy dong vun hou un toun.
46 46
Huong dan |huc hcn o ua| S\ cho Cong |, Cudcnc for mpcmcn|a|on of |hc S\ Codc b, Companc
2 SCOFF AND AFFtlCATlON
2.1 Dcfinitions
1ho torms osod n thoso Codonos huvo tho sumo mounng us thoso
gvon n tho lSM Codo.
2.2 Scopc and AppIication
2.2.1 1hoso Codonos ostubsh tho busc prncpos or:
.1 rovovng tho suoty munugomont systom by u Compuny,
.2 tho roo o tho Dosgnutod lorson ondor tho lSM Codo,
.3 roportng und unuysng o non-conormtos, uccdonts und
huzurdoos occorroncos tncodng nour-mssos), und
.4 porormng ntornu uodts und munugomont rovovs, und
do not rodoco or ropuco tho Compuny.s rosponsbtos
ootnod n tho lSM Codo.
3 DFVFtOFMFNT OF THF SAFFTY
MANAGFMFNT SYSTFM
3.1 1ho lSM Codo roqoros thut Compunos ostubsh suoty oboc-
tvos us doscrbod n socton l.2 o tho lSM Codo, und n uddton thut
Compunos dovoop, mpomont und muntun u suoty munugomont
systom tSMS) vhch ncodos onctonu roqoromonts us stod n
socton l.4 o tho lSM Codo.
3.2 Cvon tho so-rogoutory prncpos o tho lSM Codo, tho ntornu
vorcuton und rovov procossos uro koy oomonts n tho mpomontuton
o ouch SMS. 1ho Compuny shood consdor tho ootcomo o ntornu
uodts, ntornu SMS rovovs und unuyss o non-conormtos, uccdonts
und huzurdoos occorroncos to onhunco tho ooctvonoss o oporutons und
procodoros vthn thor SMS. 1o compy vth tho Codo, tho Compuny
shood:
.1 dosgnuto u porson or porsons vth droct uccoss to tho
hghost ovo o munugomont vho shood montor tho suo
oporuton o ouch shp tsocton 4),
2 FHAM Vl VA AF DNG
2.1 |nb ngbia
1hout ngo so dong trong Hoong dun nuy cong nghu vo thout ngo dong
trong o out lSM
2.2 Fbam vi va ap dong
2.2.1 Hoong dun nuy thot up cuc ngoyon tuc co bun vo:
.1 sout xot ho thong qoun y un toun cou Cong ty,
.2 vu tro cou ngoo pho truch tDl) thoo o out lSM,
.3 buo cuo vu phun tch vo so khong pho hop, so co vu tnh
hoong ngoy hom tbuo gom cu cun ngoy hom), vu
.4 thoc hon dunh gu no bo vu sout xot cong tuc qoun y, vu
khong um gum thoo houc thuy tho truch nhom cou Cong
ty thoo qoy dnh cou o out lSM.
3 XAY DNG HF THONG QAN tY
AN TOAN
3.1 o out lSM yoo cuo cuc Cong ty phu thot up cuc moc too un
toun nho dooc mo tu trong phun l.2 cou o out lSM vu yoo cuo cuc
Cong ty phu xuy dong, thoc hon vu doy tr mot ho thong qoun y un
toun buo gom cuc yoo cuo choc nung nho dooc ot ko trong phun l.4
cou o out lSM.
3.2 Cun co vuo cuc ngoyon tuc to doo chnh cou o out lSM, qou
trnh sout xot vu kom tru xuc nhun no bo u cuc yoo to cho chot trong
voc tron khu thoc hon ho thong qoun y un toun. Cong ty phu xot to
kot qou cou dunh gu no bo, sout xot no bo vo ho thong qoun y un
toun vu phun tch vo so khong pho hop, so co vu cuc tnh hoong ngoy
hom do tung coong tnh hoo oc cou cuc hout dong vu cuc qoy trnh
cou ho thong qoun y un toun. Do pho hop vo o out, Cong ty phu:
.1 ch dnh mot houc nhoo ngoo co qoyon gup troc top unh
duo cuo nhut, do gum sut vo cuc hout dong un toun cou
cuc tuo tphun 4),
47 47
Huong dan |huc hcn o ua| S\ cho Cong |, Cudcnc for mpcmcn|a|on of |hc S\ Codc b, Companc
.2 onsoro thut udoqouto rosoorcos und shoro-busod sopport uro
provdod to onubo tho dosgnutod porson or porsons to curry
oot thor onctons tsocton 3.3),
.3 dono und docomont tho mustor's rosponsbty vth rogurd
to rovovng tho suoty munugomont systom und roportng ts
doconcos to tho shoro-busod munugomont tsocton 5.l),
.4 ostubsh procodoros or roportng und unuyss o non-con-
ormtos, uccdonts und huzurdoos occorroncos tsocton 9.l),
.S porodcuy ovuouto tho ooctvonoss o, und vhon noodod,
rovov tho suoty munugomont systom tsocton l2.2), und
.6 pororm ntornu uodts to vory vhothor suoty munugomont
uctvtos compy vth tho roqoromonts o tho suoty mun-
ugomont systom tsocton l2.l).
4 DFSlGNATFD FFkSON
4.1 A koy roo, us dontod by tho lSM Codo, n tho ooctvo mpo-
montuton o u suoty munugomont systom s thut o tho Dosgnutod
lorson. 1hs s tho porson busod ushoro vhoso noonco und rospons-
btos shood sgncunty uoct tho dovoopmont und mpomontuton
o u suoty cotoro vthn tho Compuny.
4.2 1ho dosgnutod porson shood vory und montor u suoty und
pooton provonton uctvtos n tho oporuton o ouch shp. 1hs mon-
torng shood ncodo, ut oust, tho oovng ntornu procossos:
.1 commoncuton und mpomontuton o tho suoty und onv-
ronmontu protocton pocy,
.2 ovuouton und rovov o tho ooctvonoss o tho suoty
munugomont systom,
.3 roportng und unuyss o non-conormtos, uccdonts und
huzurdoos occorroncos,
.4 orgunzng und montorng o ntornu uodts,
.S uppropruto rovsons to tho SMS, und
.6 onsorng thut udoqouto rosoorcos und shoro-busod sopport
uro provdod.
.2 dum buo co duy do ngoon oc vu ho tro cou bo do nhong
Ngoo pho truch tDl) thoc hon choc nung cou mnh
tphun 3),
.3 dnh ro vu up vun bun truch nhom cou thoyon troong vo voc
sout xot ho thong qoun y un toun vu buo cuo cuc khom khoyot
cou ho thong qoun y un toun cho unh duo Cong ty tphun 5.l)
.4 thot up cuc qoy trnh vo buo cuo vu phun tch cuc so khong
pho hop, so co vu cuc tnh hoong ngoy hom tphun 9.l),
.S dnh ky dunh gu tnh hoo oc, vu kh cun thot, sout xot ho
thong qoun y un toun tphun l2.2), vu
.6 thoc hon cuc cooc dunh gu no bo do kom tru xuc nhun cuc
hout dong co toun tho cuc yoo cuo cou ho thong qoun y un
toun tphun l2.l)
4 NGOl FH TkACH (DF)
4.1 Nho dooc xuc dnh trong o out lSM, Ngoo pho truch go vu
tro duc bot trong voc thoc hon co hoo oc ho thong qoun y un toun.
Duy u mot v tr tron bo mu tum unh hoong vu truch nhom co tuc
dong rut on to vun hou un toun trong Cong ty.
4.2 Ngoo pho truch phu kom tru xuc nhun vu gum sut tut cu cuc
cong tuc un toun vu ngun ngou o nhom trong hout dong cou tong tuo.
Voc gum sut nuy to thoo phu buo gom cuc qou trnh no bo suo:
.1 thong tn on uc vu thoc hon chnh such un toun vu buo
vo mo troong,
.2 dunh gu vu sout xot tnh hoo oc cou ho thong qoun y
un toun,
.3 buo cuo vu phun tch vo so khong pho hop, so co vu cuc
tnh hoong ngoy hom,
.4 to choc vu gum sut cuc cooc dunh gu no bo,
.S ru sout u ho thong qoun y un toun mot cuch thch hop, vu
.6 dum buo co duy do ngoon oc vu ho tro tron bo.
48 48
Huong dan |huc hcn o ua| S\ cho Cong |, Cudcnc for mpcmcn|a|on of |hc S\ Codc b, Companc
4.3 1o onubo tho dosgnutod porson to curry oot ths roo ooctvo-
y, tho Compuny shood provdo udoqouto rosoorcos und shoro-busod
sopport. 1hoso ncodo:
.1 porsonno rosoorcos,
.2 mutoru rosoorcos,
.3 uny trunng roqorod,
.4 coury donod und docomontod rosponsbty und uothor-
ty, und
.S uothorty or roportng non-conormtos und obsorvutons to
tho hghost ovo o munugomont.
4.4 Dosgnutod lorsonts) shood huvo tho qoucutons, trunng und
oxporonco us sot oot n MSC-MLlC.7/Crc.6,
*
to ooctvoy vory und
montor tho mpomontuton o tho suoty munugomont systom n com-
punco vth tho lSM Codo.
S kFVlFW OF THF SAFFTY MANAGFMFNT SYSTFM
S.1 1ho Compuny shood, vhon noodod, rovov und ovuouto tho
ooctvonoss o tho SMS n uccordunco vth procodoros ostubshod by
tho compuny. lorthor, t s ono o tho mustor's rosponsbtos to rovov
tho suoty munugomont systom und to roport ts doconcos to tho
shoro-busod munugomont. Shoro busod und shpbourd ntornu uodts
shood bo porormod ut oust onco u your.
S.2 Munugomont rovovs sopport compunos' oorts n uchovng
tho gonoru suoty munugomont oboctvos us donod n socton l.2.2
o tho lSM Codo. usod opon tho rosots o soch rovovs, tho
Compuny shood mpomont mousoros to mprovo orthor tho
ooctvonoss o tho systom. 1ho rovov shood bo porormod on u
porodcu buss or vhon noodod, o.g., n cuso o soroos systom uoros.
Any doconcos oond dorng tho munugomont rovov sho od bo
provdod vth uppropruto corroctvo ucton tukng nto
uccoont tho Compuny's oboctvos. 1ho rosots o soch rovovs shood
bo brooght to tho uttonton o u porsonno nvovod n u
4.3 Do dum buo Ngoo pho truch co doo kon thoc hon co hoo oc
choc nung cou mnh, Cong ty phu cong cup duy do ngoon oc vu ho
tro tron bo, buo gom:
.1 nhun oc,
.2 vut oc,
.3 cuc cooc duo tuo cun thot,
.4 xuc dnh vu up thunh vun bun mot cuch ro rung vo truch
nhom vu qoyon hun, vu
.S qoyon buo cuo cuc so khong pho hop vu cuc phut hon to
unh duo cuo nhut cou Cong ty.
4.4 Ngoo pho truch phu co choyon mon, dooc duo tuo, vu phu co
knh nghom nho dooc noo trong MSC-MLlC.7/Crc.6* do co khu nung
kom tru xuc nhun vu gum sut co hoo oc voc thoc hon ho thong
qoun y un toun pho hop vo o out lSM.
S SOAT XFT HF THONG QAN tY AN TOAN
S.1 Kh cun thot, Cong ty phu sout xot vu dunh gu tnh hoo oc cou
ho thong qoun y un toun pho hop vo cuc qoy trnh du dooc Cong ty
thot up. Hon nou, mot trong nhong truch nhom cou thoyon troong u
phu sout xot ho thong qoun y un toun vu buo cuo nhong khom khoyot
cou ho thong qoun y un toun cho bun qoun y tron bo. Dunh gu no bo
tron bo vu doo tuo phu dooc thoc hon to thoo mot num mot un.
S.2 Vo c sout xo t co ng tu c qou n y ho tro ru t nho o cho Co ng ty
do du t doo c cu c mo c to o qou n y un tou n chong nho doo c no o
trong phu n l.2.2 co u o ou t lSM. Do u tro n ko t qou sout xo t do ,
Co ng ty phu tro n khu cu c bo n phu p do tu ng coo ng tnh ho o o c
co u ho tho ng. Vo c sout xo t phu doo c tho c ho n thoo dnh ky hou c
kh cu n tho t, v do trong troo ng ho p co o ngho m tro ng trong ho
tho ng. lhu dou ru cu c hu nh do ng khu c pho c thch ho p vo cu c
kho m khoyo t doo c phu t ho n trong qou trnh sout xo t co ng tu c
qou n y co oo y to mo c to o co u Co ng ty. Ko t qou co u vo c sout
xo t do phu doo c tho ng bu o cho tu t cu nho ng ngoo o n qoun
* See page 52 of this publication. * Xem trang 52 cua an pham nay.
49 49
Huong dan |huc hcn o ua| S\ cho Cong |, Cudcnc for mpcmcn|a|on of |hc S\ Codc b, Companc
ormu vuy. 1ho munugomont rovov shood ut oust tuko nto uccoont
tho rosots o tho ntornu uodts, uny non-conormtos roportod by tho
porsonno, tho mustor.s rovovs, unuyss o non-conormtos,
uccdonts und huzurdoos occorroncos und uny othor ovdonco o poss-
bo uoro o tho SMS, ko non-conormtos by oxtornu purtos, lSC
nspocton roports, otc.
6 kFFOkTlNG AND ANAtYSlNG OF
NON-CONFOkMlTlFS, OSFkVATlONS,
ACClDFNTS AND HAZAkDOS OCCkkFNCFS
6.1 1ho SMS shood contun procodoros to onsoro thut non-conorm-
tos, obsorvutons und huzurdoos occorroncos uro roportod to tho
rosponsbo porson o tho munugomont. 1ho Compuny shood huvo u
systom n puco or rocordng, nvostgutng, ovuoutng, rovovng und
unuysng soch roports, und to tuko ucton us uppropruto.
6.2 1ho systom shood onsoro soch roports uro rovovod und ovuoutod
by tho rosponsbo porsonts) n ordor to dotormno uppropruto corroctvo
ucton und to onsoro thut rocorroncos uro uvodod. 1ho ovuouton o
roports muy rosot n:
.1 uppropruto corroctvo uctons,
.2 umondmonts to oxstng procodoros und nstroctons, und
.3 dovoopmont o nov procodoros und nstroctons.
6.3 1ho rosponsbo porson shood propory montor tho oov-op
und cosng-oot o tho non-conormtos/doconcy roports. 1ho rocopt
o roports shood bo ucknovodgod to thoso porsons vho huvo rusod
tho roports. 1hs shood ncodo tho stutos o tho roport und uny doc-
sons mudo.
6.4 1ho Compuny shood oncoorugo tho roportng o nour-mssos to
muntun und mprovosuoty uvuronoss tsoo MSC/Crc.l0l5). A nour
mss cun bo donod us huzurdoos stouton vhoro un uccdont vus
uvodod. 1ho roportng und unuyss o soch ncdonts uro ossontu or
un ooctvo rsk ussossmont by tho Compuny, ospocuy vhoro
uccdont normuton s not uvuubo.
mot cuch chnh thoc. Voc sout xot cong tuc qoun y to thoo phu dou
tron kot qou cou dunh gu no bo, cuc buo cuo vo so khong pho hop,
sout xot cou thoyon troong, phun tch vo so khong pho hop, so co, tnh
hoong ngoy hom vu cuc bung chong khuc vo khu nung um ho thong
thut bu, nho u cuc so khong pho hop do cuc to choc bon ngou huy
lSC phut hon v.v...
6 AO CAO VA FHAN TlCH VF
S kHONG FH HOF, CAC FHAT HlFN,
TAl NAN VA TlNH HONG NGY HlFM
6.1 Ho thong qoun y un toun phu co cuc qoy trnh do dum buo cuc
so khong pho hop, cuc phut hon, vu tnh hoong ngoy hom phu dooc
buo cuo cho ngoo co truch nhom trong bun unh duo Cong ty. Cong
ty phu sun co ho thong up ho so, doo tru, dunh gu, sout xot vu phun
tch cuc buo cuo do, vu do thoc hon cuc bon phup xo y thch dung.
6.2 Ho thong qoun y un toun phu dum buo cuc buo cuo do dooc
ngoo co truch nhom sout xot vu dunh gu do dou ru cuc qoyot dnh
thoc hon cuc hunh dong khuc phoc thch dung vu do dum buo trunh
tu don. Voc dunh gu cuc buo cuo co tho dun don voc:
.1 dou ru cuc hunh dong khuc phoc thch hop,
.2 bo song sou do cuc qoy trnh vu hoong dun hon tu, vu
.3 xuy dong cuc qoy trnh vu hoong dun mo.
6.3 Ngoo cho truch nhom phu thoc hon thoo do vu xuc nhun
voc khuc phoc cuc buo cuo vo so khong pho hop/ khom khoyot.
Ngoo buo cuo phu nhun dooc xuc buo rung cuc buo cuo do du dooc
choyon to ngoo co truch nhom. Doo do phu buo gom hon trung
cou buo cuo vu cuc qoyot dnh du dooc thoc hon.
6.4 Cong ty phu khoyon khch voc buo cuo vo tnh hoong cun ngoy
do doy tr vu houn thon nhun thoc vo un toun txom MSC/Crc. l0l5).
Mot tnh hoong cun ngoy vun co tho dooc co nho u mot tnh hoong
ngoy hom do du trunh kho tu nun. uo cuo vu phun tch cuc tnh
hoong nho vuy coc ky qoun trong do vo dunh gu ro ro cou Cong ty,
duc bot u kh khong co sun cuc thong tn vo tu nun.
50 50
Huong dan |huc hcn o ua| S\ cho Cong |, Cudcnc for mpcmcn|a|on of |hc S\ Codc b, Companc
7 lNTFkNAt ADlTS
7.1 Compunos shood curry oot ntornu uodts ut oust onco por your
to vory vhothor shoro-busod und shpbourd uctvtos compy vth tho
SMS. 1hoso ntornu vorcutons shood bo propurod und condoctod n
uccordunco vth procodoros ostubshod by tho Compuny. 1ho proco-
doros shood ut oust consdor tho oovng oomonts:
.1 rosponsbtos,
.2 compotonco und soocton o uodtors,
.3 uodt schodong,
.4 propurng und punnng tho uodt,
.S oxocotng tho uodt,
.6 uodt roport, und
.7 corroctvo ucton oov-op.
8 QAtlFlCATlONS, TkAlNlNG AND FXFFklFNCF
8.1 1ho lSM Codo roqoros tho Compuny to onsoro thut u porsonno
nvovod n tho Compuny's SMS huvo un udoqouto ondorstundng o
roovunt roos, rogoutons, codos und godonos. 1ho Compuny shood
onsoro thut u porsonno huvo tho qoucutons, trunng und
oxporonco thut muy bo roqorod n sopport o tho SMS.
7 ANH GlA NOl O
7.1 1o thoo mot num mot un, Cong ty phu thoc hon dunh gu no
bo do kom tru xuc nhun rung cuc hout dong cou Cong ty, cu tron bo vu
doo tuo, pho hop vo ho thong qoun y un toun. Voc kom tru xuc nhun
nho vuy phu dooc choun b vu thoc hon pho hop vo cuc qoy trnh cou
Cong ty. Cuc qoy trnh do to thoo phu xot to cuc vun do suo:
.1 cuc truch nhom,
.2 nung oc vu so oong dunh gu von,
.3 ch trnh dunh gu,
.4 choun b vu up ko houch dunh gu,
.S thoc hon dunh gu,
.6 buo cuo dunh gu, vu
.7 cuc hunh dong khuc phoc top thoo.
8 CHYFN MON, AO TAO VA klNH NGHlFM
8.1 o out lSM yoo cuo cuc Cong ty phu dum buo rung tut cu
nhong ngoo thum gu trong ho thong qoun y un toun cou Cong ty phu
co so hoo bot cun thot vo cuc qoy phum, qoy dnh, bo out vu hoong
dun on qoun. Cong ty phu dum buo rung tut cu nhong ngoo on
qoun phu co nung oc, dooc duo tuo, vu co knh nghom cun thot do
ho tro cho ho thong qoun y un toun.
Goidancc on tbc qoaIifications, training
and cxpcricncc ncccssary for ondcrtaking
tbc roIc of tbc dcsignatcd pcrson ondcr
tbc provisions of tbc lntcrnationaI
Safcty Managcmcnt Codc
Hoong dan vc tico cboan cboycn mon,
dao tao va kinb ngbicm can tbict
doi voi ngooi tboc bicn vai tro coa
ngooi pbo tracb
tbco o Ioat lSM
52 52
Codunco on tho qoucutons, trunng
und oxporonco nocossury or ondortukng
tho roo o tho dosgnutod porson ondor
tho provsons o tho lntornutonu
Suoty Munugomont tlSM) Codo
nncx |o \SC-\L|C.7/Crc.
1 lNTkODCTlON
1ho prosont Codunco uppos to porsons ondortukng tho roo o
tho Dosgnutod porson ondor tho provsons o tho lntornutonu Suoty
Munugomont tlSM) Codo.
2 QAtlFlCATlONS
2.1 Dosgnutod porson shood huvo u mnmom o ormu odocuton
us oovs:
.1 qoucutons rom u tortury nsttoton rocognzod by tho
Admnstruton or by tho rocognzod orgunzuton, vthn u
roovunt od o munugomont, ongnoorng or physcu
sconco, or
.2 qoucutons und sougong oxporonco us u cortod shp
ocor porsount to tho lntornutonu Convonton on
Stundurds o 1runng, Cortcuton und \utchkoopng or
Souurors tS1C\), l978, us umondod, or
.3 othor ormu odocuton combnod vth not oss thun throo
yours pructcu sonor ovo oxporonco n shp munugomont
oporutons.
Hoong dun vo too choun choyon mon,
duo tuo, vu knh nghom cun thot
do vo ngoo thoc hon vu tro cou
ngoo pho truch
thoo o out lSM
|hu uc cua \SC-\L|C.7/Crc.
1 GlOl THlF
Hoong dun nuy up dong do vo ngoo thoc hon vu tro cou ngoo pho
truch thoo o out lSM.
2 NANG tC
2.1 Ngoo pho truch phu dup ong cuc yoo cuo to thoo nho suo:
.1 tot nghop du hoc houc cuo dung to troong dooc Chnh
qoyon hung hu cong nhun houc bo mot to choc dooc
cong nhun vo nh voc on qoun to qoun y, co kh houc
khou hoc to nhon, houc
.2 co nung oc vu knh nghom nho mot sy qoun tuo bon
dooc chong nhun thoo Cong ooc S1C\, l978, du dooc bo
song sou do, houc
.3 dooc duo tuo cuc nh voc khuc vo to thoo bu num knh
nghom thoc to um choyon von cuo cup vo qoun y tuo.
53 53
Huong dan vc ^guo phu |rach |hco o ua| S\ Cudcncc for |hc D| undcr |hc S\ Codc
3 TkAlNlNG
3.1 Dosgnutod porson shood huvo ondorgono trunng routng to
suoty munugomont oomonts n compunco vth tho roqoromonts o
tho lSM Codo, purtcoury vth rogurd to:
.1 knovodgo und ondorstundng o tho lSM Codo,
.2 mundutory roos und rogoutons,
.3 uppcubo codos, godonos und stundurds us uppropruto,
.4 ussossmont tochnqoos o oxumnng, qoostonng,
ovuoutng und roportng,
.S tochncu or oporutonu uspocts o suoty munugomont,
.6 uppropruto knovodgo o shppng und shpbourd oporu-
tons,
.7 purtcputon n ut oust ono murno-routod munugomont
systom uodt, und
.8 ooctvo commoncutons vth shpbourd stu und sonor
munugomont.
4 FXFFklFNCF
4.1 Dosgnutod porson shood huvo oxporonco to:
.1 prosont lSM muttors to tho hghost ovo o munugomont
und gun sostunod sopport or suoty munugomont systom
mprovomonts,
.2 dotormno vhothor tho suoty munugomont systom
oomonts moot tho roqoromonts o tho lSM Codo,
.3 dotormno tho ooctvonoss o tho suoty munugomont
systom vthn tho Compuny und tho shp by osng
ostubshod prncpos o ntornu uodt und munugomont
rovov to onsoro compunco vth roos und rogoutons,
3 AO TAO
3.1 Ngoo pho truch phu dooc duo tuo vo cuc vun do on qoun cou
qoun y un toun thoo cuc yoo cuo cou o out lSM, duc bot u vo:
.1 kon thoc vu nhun thoc vo o out lSM,
.2 cuc qoy dnh vu qoy phum but booc,
.3 cuc too choun, hoong dun vu cuc bo out but booc,
.4 cuc ky nung vo kom tru, dut cuo ho, dou ru kot oun vu
buo cuo,
.S cuc khu cunh vo ky thout vu tuc nghop cou qoun y un toun,
.6 kon thoc pho hop vo vun tu bon vu cuc hout dong tron
tuo,
.7 thum gu t nhut mot un dunh gu ho thong qoun y on
qoun to ngunh hung hu,
.8 truo do thong tn co hoo oc vo thoyon von vu unh duo
cup cuo cou Cong ty.
4 klNH NGHlFM
4.1 Ngoo pho truch phu co knh nghom do:
.1 trnh buy cuc vun do vo lSM cho cup qoun y cuo nhut cou
Cong ty vu dut dooc so ho tro on toc cho voc houn thon
ho thong qoun y un toun,
.2 xuc dnh so pho hop cou ho thong qoun y un toun vo cuc
yoo cuo cou o out lSM,
.3 xuc dnh tnh hoo oc cou ho thong qoun y un toun tron
Cong ty vu doo tuo bung cuch so dong cuc qoy trnh dunh
gu no bo vu sout xot cong tuc qoun y du dooc thot up
do dum buo pho hop vo cuc qoy dnh vu qoy phum,
54 54
Huong dan vc ^guo phu |rach |hco o ua| S\ Cudcncc for |hc D| undcr |hc S\ Codc
.4 ussoss tho ooctvonoss o tho suoty munugomont systom n
onsorng compuncovth othor roos und rogoutons vhch
uro not covorod by stutotory und cusscuton sorvoys und
onubng vorcuton o compunco vth thoso roos und
rogoutons,
.S ussoss vhothor tho suo pructcos rocommondod by tho
Orgunzuton, Admnstrutons, cusscuton socotos, othor
ntornutonu bodos und murtmo ndostry orgunzutons to
promoto u suoty cotoro hud boon tukon nto uccoont, und
.6 guthor und unuyso dutu rom huzurdoos occorroncos,
huzurdoos stoutons, nour mssos, ncdonts und uccdonts
und uppy tho ossons ournt to mprovo tho suoty munugo-
mont systom vthn tho Compuny und ts shps.
S COMFANY kFQlkFMFNTS AND kFCOkDS
S.1 1ho Compuny shood provdo trunng coorsos covorng qoucuton,
trunng und oxporonco und tho uppropruto procodoros connoctod to
compunco vth tho lSM Codo ncodng pructcu trunng und contnooos
opdutng. 1ho Compuny shood uso provdo docomontury ovdonco thut tho
Dosgnutod porson hus tho roovunt qoucuton, trunng und oxporonco to
ondortuko tho dotos ondor tho provsons o tho lSM Codo.
.4 dunh gu tnh hoo oc cou ho thong qoun y un toun do dum
buo pho hop vo cuc qoy dnh vu qoy phum khuc khong buo
trom bo out dnh vu kom tru phun cup vu co khu nung
kom tru xuc nhun so pho hop vo cuc qoy phum vu qoy
dnh do,
.S dunh gu vo so qoun tum to cuc tuc nghop un toun do 1o
choc hung hu qooc to, Chnh qoyon hung hu, cuc to choc
phun cup, cuc to choc qooc to vu cuc to choc cong nghop
hung hu do xout do duy munh mot vun hou un toun, vu
.6 tong hop vu phun tch cuc do oo vo cuc tnh hoong, so
kon ngoy hom, cun ngoy hom, so co, tu nun vu so dong
cuc bu hoc do do houn thon ho thong qoun y un toun cho
Cong ty vu cuc tuo cou Cong ty.
S CAC YF CA VA HO SO CA CONG TY
S.1 Cong ty phu cong cup cuc khou duo tuo vo choyon mon, y
thoyot vu thoc hunh vu phu co cuc qoy trnh thch hop do dup ong o
out lSM buo gom duo tuo thoc hunh vu cup nhut on toc. Cong ty phu
dou ru cuc bung chong bung vun bun vo trnh do choyon mon, duo tuo
vu knh nghom cou Ngoo pho truch do thoc hon cuc doo khoun cou
o out lSM.
Goidancc on ncar-miss rcporting Hoong dan bao cao tnb boong can ngoy
56 56
Huong dan bao cao |nh huong can ngu, Cudancc on ncar - m rcpor|ng
Codunco on nour-mss roportng
nncx |o \SC-\L|C.7/Crc.7
1 lNTkODCTlON
1.1 Compunos shood nvostguto nour-mssos us u rogoutory
roqoromont ondor tho "Huzurdoos Occorroncos" purt o tho lSM Codo.
Asdo rom tho uct thut nour-mss roportng s u roqoromont, t uso
mukos good bosnoss und oconomc sonso bocuoso t cun mprovo
vosso und crov porormunco und, n muny cusos, rodoco costs.
lnvostgutng nour-mssos s un ntogru componont o contnooos
mprovomont n suoty munugomont systoms. 1hs bonot cun ony bo
uchovod vhon souurors uro ussorod thut soch roportng v not rosot
n pontvo mousoros. Lournng tho ossons rom nour-mssos shood
hop to mprovo suoty porormunco snco nour-mssos cun shuro tho
sumo ondoryng cuosos us ossos.
1.2 lor u compuny to rouzo tho oost potontu bonots o nour-mss
roportng, souurors und onshoro ompoyoos nood to ondorstund tho do-
nton o u nour-mss to onsoro thut u nour-mssos uro roportod. 1ho
compuny uso noods to bo cour uboot hov tho porson vho roports tho
nour-mss und thoso porsons nvovod v bo troutod. 1ho godunco
thut oovs soggosts thut tho compuny shood oncoorugo nour-mss
roportng und nvostguton by udoptng u "ost cotoro" upprouch.
1.3 A "ost cotoro" outoros un utmosphoro o rosponsbo bohuvoor
und trost vhoroby poopo uro oncoorugod to provdo ossontu suoty-
routod normuton vthoot our o rotrboton. Hovovor, u dstncton
s druvn botvoon uccoptubo und onuccoptubo bohuvoor.
|nuccoptubo bohuvoor v not nocossury rocovo u gouruntoo thut u
porson v not uco consoqooncos.
1.4 lt s u crocu roqoromont thut tho compuny coury donos tho
crcomstuncos n vhch t v gouruntoo u non-pontvo ootcomo und
condontuty. 1ho compuny shood provdo trunng und normuton
uboot ts upprouch to "ost cotoro" nour-mss roportng und nvostguton
or u porsons nvovod.
Hoong dun buo cuo tnh hoong cun ngoy
|hu uc cua \SC-\L|C.7/Crc.7
1 GlOl THlF
1.1 Cong ty phu doo tru cuc tnh hoong cun ngoy thoo yoo cuo cho
dnh vo "1nh hoong Ngoy hom" noo trong o out lSM. 1hoc to cho thuy
voc buo cuo cuc tnh hoong cun ngoy khong nhong u mot yoo cuo mu
con co tuc dong nung cuo hoo qou knh dounh v no gop voc cu ton
hout dong cou tuo vu thoyon von, trong nhoo troong hop no con um
gum ch ph knh dounh. Doo tru cuc tnh hoong cun ngoy u mot phun
cou qou trnh cu ton on toc trong ho thong qoun y un toun. 1oy nhon,
voc nuy ch co tuc dong noo thoyon von dooc dum buo rung voc ho buo
cuo so khong dooc so dong um cong co do trong phut. u hoc to cuc tnh
hoong cun ngoy so gop nung cuo hout dong un toun bo v cuc tnh hoong
cun ngoy cong co cong ngoyon nhun nho cuc ton thut thoc so.
1.2 Do cong ty co tho co dooc toun bo nhong o ch tom tung cou
voc buo cuo tnh hoong cun ngoy, thoyon von vu cuc nhun von tron bo
cun hoo dooc dnh nghu vo tnh hoong cun ngoy do dum buo tut cu cuc
tnh hoong cun ngoy doo dooc buo cuo. Cong ty cong phu um ro voc
ngoo buo cuo vu nhong ngoo on qoun so dooc do xo nho tho nuo.
Nhong hoong dun doo duy khoyon ngh cong ty phu khoyon khch voc
buo cuo tnh hoong cun ngoy vu doo tru thoo "vun hou o phu".
1.3 "Vun hou o phu" u mo troong co xo co truch nhom vu tn
toong un nhuo no mo ngoo dooc khoyon khch cong cup cuc thong
tn qoun trong on qoun don un toun mu khong so b tru tho. 1oy nhon,
co so phun bot ro rung gou cuch co xo chup nhun dooc vu cuch co xo
khong chup nhun dooc. So khong co g dum buo rung nhong ngoo co
cuch co xo khong chup nhun dooc so khong phu gunh cho huo qou.
1.4 Doo duc bot qoun trong u cong ty phu xuc dnh ro nhong
troong hop mu cong ty so dum buo buo mut vu khong trong phut. Cong
ty phu houn oyon vu cong cup thong tn vo "vun hou o phu" trong
voc buo cuo tnh hoong cun ngoy vu trong cong tuc doo tru cho tut cu
nhong ngoo on qoun.
57 57
Huong dan bao cao |nh huong can ngu, Cudancc on ncar - m rcpor|ng
2 DFFlNlNG NFAk-MlSS
2.1 Nour-mss: A soqoonco o ovonts und/or condtons thut cood
huvo rosotod n oss. 1hs oss vus provontod ony by u ortotoos brouk
n tho chun o ovonts und/or condtons. 1ho potontu oss cood bo
homun nory, onvronmontu dumugo, or nogutvo bosnoss mpuct
to.g., ropur or ropucomont costs, schodong douys, contruct vou-
tons, oss o ropotuton).
2.2 Somo gonoru oxumpos o u nour-mss hop to ostruto ths
donton:
.1 Any ovont thut ouds to tho mpomontuton o un omorgoncy
procodoro, pun or rosponso und thos provonts u oss. lor
oxumpo, u coson s nurrovy uvodod, or u crov mombor
doobo chocks u vuvo und dscovors u vrong prossoro
roudng on tho soppy sdo.
.2 Any ovont vhoro un onoxpoctod condton cood oud to un
udvorso consoqoonco, bot vhch doos not occor. lor
oxumpo, u porson movos rom u ocuton mmodutoy
booro u cruno onoxpoctody drops u oud o curgo thoro, or
u shp nds tso o-coorso n normuy shuov vutors bot
doos not groond bocuoso o un onosou hgh-sprng tdo.
.3 Any dungoroos or huzurdoos stouton or condton thut s not
dscovorod ont utor tho dungor hus pussod. lor oxumpo, u
vosso suoy dopurts u port o cu und dscovors sovoru
hoors nto tho voyugo thut tho shp's rudo vus not tonod to
tho Hurboor Mustor's rudo roqooncy, or t s dscovorod
thut LCDlS dspuy's scuo doos not mutch tho scuo,
proocton, or orontuton o tho churt und rudur mugos.
3 OVFkCOMlNG AkklFkS TO kFFOkTlNG NFAk-MlSSFS
3.1 1horo uro muny burrors routod to tho roportng o nour-mssos. ln
muny cusos, nour-mssos uro ony knovn by tho ndvdouts) nvovod
vho choso to roport or not roport tho ncdont. Somo o tho mun burr-
ors to tho roportng o nour-mssos ncodo tho our o bong bumod,
dscpnod, omburrussod, or oond oguy ubo. 1hoso uro moro
2 ]NH NGHlA TlNH HONG CAN NGY
2.1 1nh hoong cun ngoy: mot choo cuc so kon vu/ houc tnh hoong
co tho dun don thot hu. 1hot hu nuy ch trunh dooc houn toun nho
so muy mun cut dot dooc choo so kon vu/ houc tnh hoong. 1hot hu
tom tung co tho u thoong tut cho con ngoo, thot hu vo mo troong,
houc voc unh hoong too coc don knh dounh tv do: ch ph thuy tho
houc sou chou, chum cho chuy tuo, v phum hop dong, mut oy tn).
2.2 Mot so v do vo tnh hoong cun ngoy do um ro hon dnh nghu
nuy:
.1 ut ky so kon nuo yoo cuo phu thoc hon mot qoy trnh
houc ko houch ong pho khun cup nho do ngun ngou dooc
ton thut. V do: trunh dooc tnh hoong dum vu trong gung
tuc, houc mot thoyon von kom tru u mot choc vun vu
phut hon ru no dung ch buo su up sout o duo cup.
.2 ut ky so kon nuo mu tnh trung khong mong moon co tho
dun don huo qou but o, toy nhon thoc to chou don ru. V
do: mot ngoo vou d choyon kho v tr mu mot mu cuo dot
nhon b ro nguy cho do, houc con tuo d troch hoong vuo
vong nooc cun toy nhon no du khong muc cun do co con
nooc coong cuo but thoong.
.3 ut ky tnh trung huy tnh hoong ngoy hom houc ngoy cup
khong dooc phut hon cho don kh ngoy hom du qou. V
do: con tuo ro cung un toun vu suo vu go mo phut hon
ru rudo cou tuo khong but o konh hout dong cou cung,
houc tuo phut hon ru ty o mun hnh tron LCDlS khong
pho hop vo ty o, phop choo, houc choo hon th cou hu
do vu hnh unh tron rudur.
3 VOT QA kAO CAN Ol VOl VlFC AO CAO
TlNH HONG CAN NGY
3.1 Co nhoo ruo cun on qoun don voc buo cuo tnh hoong cun
ngoy. 1rong nhoo troong hop, cuc tnh hoong cun ngoy ch dooc
nhong cu nhun on qoun bot vu chnh ho ou chon voc buo cuo huy
khong buo cuo so co do. Mot so cuc ruo cun do vo voc buo cuo tnh
hoong cun ngoy buo gom: so b qoy truch nhom, b ky out xuo ho
58 58
Huong dan bao cao |nh huong can ngu, Cudancc on ncar - m rcpor|ng
provuont n un orgunzuton thut hus u bumo-orontod cotoro.
Amongst othor burrors uro onsopportvo compuny munugomont
utttodos soch us compuconcy uboot knovn doconcos, nsncorty
uboot uddrossng suoty ssoos und dscoorugomont o tho roportng o
nour-mssos by domundng thut souurors condoct nvostgutons n thor
ovn tmo.
3.2 1hoso burrors cun bo ovorcomo by munugomont ntutvos
soch us:
.1 Lncoorugng u "ost-cotoro" n tho compuny vhch covors
nour-mss roportng.
.2 Assorng condontuty or roportng nour-mssos, both
throogh compuny pocy und by "suntzng" unuysos und
roports so thut porsonu normuton tnormuton dontyng
un ndvdou) o porsons ussocutod vth u nour-mss s
romovod und romun condontu. lorsonu normuton
shood not bo rotunod onco tho nvostguton und roportng
procossos uro compoto.
.3 Lnsorng thut nvostgutons uro udoqoutoy rosoorcod.
.4 loovng throogh on tho nour-mss roport soggostons und
rocommondutons. Onco u docson hus boon mudo to
mpomont, or not mpomont, tho roport's rocommondutons
shood bo dssomnutod vdoy.
4 THF NFAk-MlSS lNVFSTlGATlON FkOCFSS
4.1 As u mnmom, tho oovng normuton shood bo guthorod
uboot uny nour-mss:
.1 \ho und vhut vus nvovod:
.2 \hut hupponod, vhoro, vhon, und n vhut soqoonco:
.3 \hut voro tho potontu ossos und thor potontu sovorty:
.4 \hut vus tho kohood o u oss bong rouzod:
.S \hut s tho kohood o u rocorronco o tho chun o ovonts
und/or condtons thut od to tho nour-mss:
houc phu cho truch nhom phup y. Nhong ruo cun nuy thoong thuy
trong cuc to choc co vun hou qoy truch nhom. Cuc ruo cun khuc u thu
do khong ho tro cou bun unh duo nho voc hu ong vo nhong khom
khoyot du dooc phut hon, khong trong thoc kh do cup don cuc vun do
un toun vu khong khoyon khch buo cuo cuc tnh hoong cun ngoy bung
cuch yoo cuo thoyon von to thoc hon voc doo tru ngoyon nhun.
3.2 Nhong ruo cun nuy co tho dooc voot qou bung nhong sung kon
qoun y nho:
.1 Khoyon khch mot "vun hou o phu" trong cong ty buo trom
voc buo cuo tnh hoong cun ngoy.
.2 Dum buo so buo mut thong qou cuc chnh such cou cong
ty vu voc "um such" cuc buo cuo vu phun tch, nghu u
cuc thong tn cu nhun cou nhong ngoo on qoun vo tnh
hoong cun ngoy dooc ou bo vu so dooc go kn. Cuc thong
tn cu nhun khong cun phu go u suo kh qou trnh buo
cuo vu doo tru du houn tut.
.3 Dum buo cong cup duy do ngoon oc cho voc doo tru.
.4 1op toc thoo do cuc khoyon ngh vu do xout trong buo cuo
tnh hoong cun ngoy. Kh du dou ru qoyot dnh vo voc co
thoc hon huy khong thoc hon, cuc khoyon ngh trong buo
cuo phu dooc pho bon rong ru.
4 QA TklNH lF TkA TlNH HONG CAN NGY
4.1 1rong but ky mot tnh hoong cun ngoy, nhong thong tn to thoo
suo duy phu dooc tho thup:
.1 A vu cu g co on qoun:
.2 Voc g du xuy ru, no nuo, kh nuo vu trnh to nho tho nuo:
.3 1on thut vu huo qou du co tho xuy ru:
.4 Khu nung co tho xuy ru ton thut trong thoc to:
.S Khu nung tu hon choo nhong so kon vu/ houc tnh trung
dun don tnh hoong cun ngoy:
59 59
Huong dan bao cao |nh huong can ngu, Cudancc on ncar - m rcpor|ng
4.2 1ho unsvor to thoso qoostons v dotormno un n-dopth
nvostguton s noodod, or u corsory roport v soco. An n-dopth
nvostguton s roqorod o thoso nour-mssos vhch uro koy to rocor
und/or vhch cood huvo hud sovoro consoqooncos.
4.3 Onco u docson hus boon tukon to procood vth u o nvostgu-
ton, orthor docsons uro tukon uboot ovos o stung roqorod, vho
shood bo rosponsbo, und vhut rosoorcos uro roqorod or tho nvostgu-
ton to bo compotod soccossoy. 1ho mun stops n tho nvostguton uro:
Gatbcring ncar-miss information
4.4 kogurdoss o tho nutoro o tho nour-mss, tho busc cutogoros
o dutu thut shood bo guthorod ncodo: poopo, pupor docomonts,
ooctronc dutu, physcu, und poston/ocuton. 1hoso dutu uro vtu or
onsorng thut un ondorstundng cun bo rouchod uboot vhut, hov, vho,
und ovontouy vhy tho nour-mss occorrod. Dutu guthorng s dono by
ntorvovs o koy porsonno und tho coocton o physcu, poston und
ocuton dutu, osng soch thngs us photogruphs, VDk rocordngs,
churts, ogs, or uny dumugod compononts. lorthormoro, normuton
shood bo guthorod rogurdng suogourds n puco to protoct tho porsons
on bourd und tho pobc, und tho oporutonu systoms mpuctng tho
nour-mss ovont.
AnaIysing information
4.S Appyng dutu unuyss tochnqoos hops to donty normuton
thut st noods to bo cooctod to rosovo opon qoostons uboot tho nour-
mss und ts cuosos. 1hs cun muko tho coocton o uddtonu dutu
moro ocont. 1ho ond gou o ths uctvty s to donty u cuosu
uctors.
ldcntifying caosaI factors
4.6 At ths pont tho vho, vhut, vhoro, vhy, und vhon o tho nour-
mss s ondorstood, und tho homun orrors, stroctoru/ muchnory/
oqopmont/ ootttng proboms, und oxtornu uctors thut od to tho
nour-mss, huvo boon dontod. 1ho noxt stop s to bottor ondorstund
tho cuosu uctors thut contrbotod to tho nour-mss. 1horo uro u vuroty
o dontcuton mothods or ths porposo, ncodng tuxonomos o cuosos.
1hoso cun bo osod or doop probng pust tho most ovdont cuosos.
4.2 Cuo tru o cho cuc cuo ho nuy so xuc dnh co cun phu thoc
hon mot cooc doo tru ky oong, huy mot bun buo cuo nhunh u do.
Cun phu ton hunh mot cooc doo tru ky oong noo nho cuc tnh hoong
cun ngoy co tho tu xuy ru vu/ houc co tho guy ru huo qou nghom trong.
4.3 Nguy kh du qoyot dnh ton hunh cooc doo tru duy do, cun dou
ru qoyot dnh vo so oong nhun so cun thot, u u ngoo cho truch
nhom, cun ngoon oc g phoc vo cho qou trnh doo tru dooc thoc hon
thunh cong. Cuc booc chnh trong qou trnh doo tru u:
Tbo tbap cac tbong tin vc tnb boong can ngoy
4.4 ut ko bun chut cou tnh hoong cun ngoy, nhong ou thong tn
co bun cun dooc tho thup gom co: con ngoo, tu oo vun bun, do oo
don to, vut y, vu v tr/ du dom. Nhong do oo muo chot nuy nhum
dum buo dou ru dooc kot oun vo cu g, nho tho nuo, u vu coo cong
u tu suo tnh hoong cun ngoy du xuy ru. 1ho thup do oo dooc thoc
hon bung cuch phong vun thoyon von cho chot vu tho thup do oo
vut y, v tr vu du dom bung cuch thoc nho chop unh, doc do oo
VDk, hu do, nhut ky vu nhong com ch tot b ho hong. Ngou ru cun
tho thup cuc thong tn vo cuc bon phup un toun du co sun do buo vo
thoyon von tron tuo, qoun chong vu ho thong vun hunh tuc dong don
tnh hoong cun ngoy.
Fban tcb tbong tin
4.S Ap dong cuc phoong phup phun tch do oo gop xuc dnh cuc thong
tn cun phu tho thup thom nhum gu qoyot cuc cuo ho chou dooc tru o
vo tnh hoong cun ngoy vu nhong ngoyon nhun cou no. Cong voc nuy khon
voc tho thup bo song cuc do oo hoo qou hon. Moc dch coo cong cou
hout dong nuy u xuc dnh tut cu nhong ngoyon nhun guy ru so co.
Xac d|nb ngoycn nban goc gay ra so co
4.6 1u tho dom nuy, cuc cuo ho u, cu g, o duo, tu suo vu kh nuo on
qoun don so co doo du dooc gu dup, cuc o do con ngoo, cuc vun do vo up
dut/ thot b/ ho thong/ kot cuo vu nhong tuc dong bon ngou guy ru so co doo
du dooc xuc dnh. ooc top thoo u num but mot cuch tot hon vo ngoyon nhun
goc guy ru tnh hoong cun ngoy. Co nhoo phoong thoc do xuc dnh ngoyon
nhun goc trong do co phop phun ou ngoyon nhun. Cuch thoc nuy dooc so
dong do doo tru ky hon nhong bung chong vo ngoyon nhun ro rot nhut.
60 60
Huong dan bao cao |nh huong can ngu, Cudancc on ncar - m rcpor|ng
DcvcIoping and impIcmcnting rccommcndations
4.7 Any rocommondutons mudo nood to uddross u o tho dontod
cuosu uctors to mprovo orgunzutonu und shpbourd pocos, pructcos
und procodoros. lmpomontng uppropruto rocommondutons s tho koy
to omnutng or rodocng tho potontu or tho rooccorronco o smur
nour-mssos or moro soroos ossos.
S COMFtFTlNG THF lNVFSTlGATlON
S.1 Compoton o tho nvostguton procoss roqoros tho gonoruton
o u roport tothor bro or oxtonsvo, dopondng on tho dopth o unuy-
ss porormod und tho oxtont o rsk), und coutng und storng tho nor-
muton n u vuy thut sopports sobsoqoont tong torm) trond unuyss.
S.2 1ho otmuto oboctvo o nour-mss roportng und nvostgutng s
to donty urous o concorn und mpomont uppropruto corroctvo
uctons to uvod otoro ossos. 1o do so roqoros thut roports uro to bo
gonorutod, shurod, roud, und uctod opon. Compunos uro oncoorugod
to consdor vhothor thor roport shood bo dssomnutod to u vdor
uodonco.
S.3 lt muy tuko yours or suoty tronds to bo dscornod, und so
roportng most bo urchvod und rovstod on u tmoy buss. Nour-mss
roports shood bo consdorod uong vth uctou cusouty or ncdont
roports to dotormno tronds. 1horo shood bo consstoncy n tho
dontcuton und nomoncutoro o cuosu uctors ucross nour-mss und
cusouty/ncdont roports.
Xay dong va tboc bicn cac kboycn ngb|
4.7 Moc too cou but ky khoyon ngh nuo dooc dou ru doo nhum do
gu qoyot cuc ngoyon nhun goc du dooc xuc dnh vu cu ton cuc chnh
such cou to choc, cou tuo, cuc tuc nghop vu qoy trnh. 1hoc hon cuc
khoyon ngh thch hop u chu khou do ou bo huy gum thoo ngoy co
tu don cuc so co toong to houc nhong ton thut nghom trong hon.
S HOAN TAT CONG TAC lF TkA
S.1 Do houn tut qou trnh doo tru cun phu um buo cuo tngun gon
houc ch tot toy thooc vuo moc do ch tot cou cong tuc phun tch vu
moc do ro ro), sup xop thoo tho to vu oo tro thong tn thoo cuch thoc
do phoc vo voc phun tch xo hoong tuo du) suo nuy..
S.2 Moc dch cuo nhut cou voc buo cuo vu doo tru tnh hoong cun
ngoy u xuc dnh nhong nh voc cun oo tum vu thoc hon cuc hunh
dong khuc phoc pho hop do trunh nhong ton thut trong toong u. Do
um dooc doo nuy, cuc buo cuo cun phu dooc up, chu so, nghon
coo vu hunh dong nguy. Cuc cong ty dooc khoyon khch xom xot xom
ho co non chu so rong ru cuc thong tn du dooc buo cuo.
S.3 Cun phu mut nhoo num mo thuy ro dooc cuc xo hoong un
toun, v tho cuc buo cuo phu dooc oo tro vu ru sout dnh ky. Cuc buo
cuo tnh hoong cun ngoy cun dooc xom xot cong vo nhong buo cuo
tu nun huy thot hu thoc to do co tho nhun dnh dooc xo hoong. Cun
co so thong nhut trong voc xuc dnh vu up dunh moc cuc ngoyon
nhun goc gou cuc tnh hoong cun ngoy vu cuc tu nun/ ton thut.