2011年，IMO以A.1052（27）号决议对《港口国监督程序》进行了修订，附录8-《ISM规则港口国监督指南》增加了如下规定：如果在检查中发现的缺陷显示船舶存在重大不符合项目并导致滞留，应由船旗国或认可组织根据安全管理审核程序进行附加审核，来判断船舶是否符合ISM规则的要求。

2017年12月，IMO以A.1119(30)决议通过了《2017年港口国监督程序》，其中附录8-《ISM规则港口国监督指南》进行了较大范围修订，侧重了涉及ISM的缺陷如何判定以及缺陷的记录和报告，要点如下：

1.强调PSC开展的检查不是SMS安全管理审核，初始检查中如没发现船舶存在技术和操作方面的缺陷，无需考虑开展ISM规则方面的检查。

2.对发现的引起技术性或操作性的缺陷，只有当缺陷根源与SMS运行有关时，才认定为ISM缺陷。如果不能证明ISM规则实施失效或者缺乏有效性，则在PSC报告中不能报告ISM相关缺陷。

3.如单个或多个技术和/或操作缺陷综合起来不足以滞留船舶，但能证明ISM规则的实施缺乏有效性，则应在PSC检查报告中记录ISM缺陷。如单个或者多个技术和/或操作缺陷综合起来导致船舶滞留，且能证明ISM规则的实施缺乏有效性，则应在PSC检查报告中记录ISM缺陷，并要求船舶在解除滞留之前由船旗国或者认可组织开展安全管理审核。

4.当PSCO认定一个或者多个技术性和（或）操作性缺陷与ISM相关时，明确应当只作为一个ISM缺陷记录在PSC报告上。

《指南》新变化解读

通过以上内容，我们大体熟悉了指导PSCO开展ISM规则检查的一些规定，那么最新的《港口国监督程序》有关附录8-《ISM规则港口国监督指南》又有哪些新变化呢？我们逐一来分析一下。

变化一

修订1.3， Port State control officers (PSCOs) do not perform safety management audits. ISM auditing is the responsibility of the flag State and the Company and does not fall under the scope of port State control. PSCOs conduct inspections of ship, which are a sampling process and give a snapshot of the vessel on a particular day.

新增一句话：ISM审核由船旗国和公司负责，不属于PSC范围。这进一步明确了PSCO的角色定位，检查时要避免越界跨入”审核“的领土，不能随意扩大检查范围。

新增1.4，The SMS documentation is in the ship's working language which may not be understood by the PSCO. The procedure may not be harmonized if the PSCO is only able to review the SMS documentation on those ships where they can understand the language.

安全管理体系文件是由船上的工作语言编写，可能无法被PSCO理解。如果PSCO只能查看由其可理解的语言编写的体系文件时，程序可能无法得到统一实施。这条从“公平”的角度出发，目的也是提醒PSCO不要过多地去涉及SMS文件检查，不要去干“审核”的活。

变化二

ISM related:A technical and/or operational deficiency which has been assessed by the PSC to be objective evidence of a failure, or lack of effectiveness, of the implementation of the ISM Code, and which is marked as "ISM related" in the inspection report

ISM deficiency：A deficiency that is cited against the ISM Code

为了更好的理解新增加的这两个定义，我们来看一下去年的一个滞留案例，其中包括了ISM滞留缺陷。

变化三

修订了6.3.2，原内容为：

If an outstanding ISM related deficiency from a previous PSC inspection exists and the current PSC inspection is more than three months later:

.1 the PSCO will verify that an internal safety audit has been performed. The content of the internal safety audit report should not be evaluated; and

.2 having reference to the previous PSC inspection report, the PSCO will examine the technical and/or operational areas in which deficiencies designated with "ISM" are noted。

新内容为：

If an outstanding ISM related deficiency from a previous PSC inspection exists and the current PSC inspection is more than three months later, the PSCO will verify, during the present PSC inspection, the effectiveness of any corrective action taken by the Company by examining the areas of the technical and/or operational deficiencies of the previous PSC inspection report which led to the issuance of the ISM deficiency.

小结

对比之下可看出，针对ISM规则的遗留缺陷，如果距检查时间已超过三个月，之后的港口国监督检查将验证公司所采取的纠正措施的效果，但明确了验证的范围只限于与上次ISM规则缺陷相关的技术性和(或)操作性缺陷，提醒PSCO不能随意扩大验证范围。

变化四

值得注意的是，关于如何采取后续行动的7.1-7.3修订也较多，其中与6.3.2前后呼应的7.1.3也已更新。

旧版本：

7.1.3 If an outstanding ISM-related deficiency (to be rectified within three months) from a previous PSC inspection exists and no objective evidence can be provided by the master of the ship, during the current PSC inspection more than three months later, that an internal safety audit has been performed, any further action will be taken based on the professional judgement of the PSCO and may warrant the detention of the ship.

新版本：

7.1.3 The PSCO will verify the effectiveness of any corrective action as described in section 6.3.2. If examination of the areas in relation to an ISM deficiency with the requirement corrective action within 3 months found not satisfactory, a new detainable ISM deficiency with the requirement that a safety management audit has to be carried by the Administration or the RO will be raised. In this case the PSCO should apply the following procedure:

.1 record one or more technical/operational deficiencies, detainable or not, in the same area(s) which led to the issuance of the previous ISM deficiency;

.2 mark the deficiency(ies) "ISM related" and add in the additional comments the following text:"This deficiency shows a non-effective implementation of the ISM Code in the areas where ISM deficiency(ies) were found during the PSC inspection on ____"; and

.3 record a new detainable ISM deficiency with the requirement that a safety management audit has to be conducted by the Administration or the RO before the ship may be released from detention.

小结

在验证6.3.2中所述的ISM规则遗留缺陷的纠正情况时，如果缺陷纠正措施不符合要求，PSCO可以开出新的ISM规则滞留缺陷并要求进行附加审核，此种情况应按7.1.3的程序来实施，如下所示：

1. 在相同范围内，开出一条或多条，滞留或非滞留的技术、操作缺陷；

2. 对新开出的”ISM规则相关的缺陷”进行标记,并备注“在之前ISM规则缺陷所涉范围内，该缺陷表明ISM规则未得到有效实施“；

3. 开出新的ISM规则滞留缺陷并要求进行附加审核。

简而言之，针对之前被开出的ISM规则缺陷，如果船舶的纠正措施不到位，在三个月之后的PSC检查中可能再次被开出ISM规则滞留缺陷。

变化五

再回头看一下7.1.2，其主要内容是技术、操作和ISM规则相关缺陷，修订后内容增加，7.1.2.1-7.1.2.3的意思也有变化，且增加了7.1.2.4：

.4 of which at least one detainable deficiency indicates a serious failure, or lack of effectiveness, of the implementation of the ISM Code; report a detainable ISM deficiency in the PSC inspection report with the requirement that a safety management audit has to be carried by the Administration or the RO before the ship may be released from detention.

我们可以借助如下的流程导图来加深理解。

如图所示，我们可以清晰地看出技术或操作缺陷、ISM规则相关的缺陷、可滞留缺陷、非可滞留缺陷、非可滞留ISM规则缺陷、可滞留ISM规则缺陷、缺陷纠正措施和体系附加审核之间的联系。其中关键的一环是判断所提出的缺陷是否为“ISM规则相关的缺陷“，再根据提出的“ISM规则相关的缺陷”数量和性质来决定需要采取什么样的后续行动。如果能够理清楚各个要素的关系，检查过程中做到具体缺陷具体分析，判定ISM规则缺陷时就可以做到心中有数。

另外还需留意，不论缺陷性质严重程度如何，也不论缺陷数量多与少，每个PSC报告中只能出现一个ISM规则缺陷。

再回到上面的案例，报告共记录了缺陷26条，检查官认定其中与ISM 规则不相关的缺陷7条，“ISM规则相关的缺陷”18条（NO.1-7,NO.9,NO.14.NO.17-25），“可滞留ISM规则缺陷”1条。

列举两条“ISM规则相关的缺陷”来具体分析一下。

NO.2 NO EVIDENCE AVAILABLE THAT CHECKING AND USE OF INSTRUMENTS FOR MEASURING THE ATMOSPHERE IN ENCLOSED SPACCES CARRIED OUT DURING ENCLOSED SPACE ENTRY AND RESCUE DRILLS

第二项 在封闭舱室进入与救助演习过程中，没有证据表明船员检测和使用了气体探测仪器。

该项表明船上人员没有严格按照SMS中应急训练的规定和程序进行演习操作，或者没有按照规定进行如实记录，存在应急准备不足的问题。

NO.5 THE RESPONSIBLE OFFICER NOT FAMILIAR WITH THE DISPOSAL REQUIREMENTS OF CRAGO RESIDUES,AND G.R.B PART II NOT RECORDED WHILE SHIP CARRIED SOLID BULK CARGOES OCCASIONALLY.

第五项 负责的高级船员不熟悉货物残余物的处理规定，且《垃圾记录簿》（第二部分）在偶尔装运散货时没有记录。

该项表明船上负责的船员（本案例为大副）没有按照SMS要求来熟悉垃圾管理规定，不能正确进行垃圾分类、处理和记录，存在防污染操作不当的问题。

再来看一下”可滞留ISM规则缺陷“。

THE SMS AS IMPLEMENTED ON BOARD FAILED TO ENSURE POLLUTION PREVENTION OPERATION AND EM'CY PREPAREDNESS EFFECTIVELY AS EVIDENCED BY DEFICIENCIES NO.1-7,NO.9,NO.14.NO.17-25.

检查所发现的NO.1-7,NO.9,NO.14和NO.17-25，共计18条缺陷涉及船上防污染操作和应急准备，作为客观证据，证明该船所运行的SMS不能有效确保防污染操作和应急准备，可标记为“ISM规则相关的缺陷”，并以此为据提出“可滞留ISM规则缺陷”。

通过上述分析，我们了解到“ISM规则相关的缺陷”和“ISM规则缺陷”的区别和联系，正确理解两者关系有助于我们在进行ISM规则检查时把握好缺陷的判定。

总结

综合而言，在指导PSCO进行ISM规则检查方面，《港口国监督程序》（2019）附录8-《ISM规则港口国监督指南》更加完善和具体，限制条件更加严格，会促使PSCO在开具ISM规则缺陷时更加谨慎。我们相信如果PSCO能够依据指南规定，合理地开展ISM规则方面的检查，对督促公司和船舶认真实施ISM规则会起到非常重要的作用。返回搜狐，查看更多