Annex - Guidance on Drafting of Amendments to the 1974 SOLAS Convention and Related Mandatory Instruments
1 INTRODUCTION
1.1 This note provides guidance for the drafting of amendments to the
International Convention for the Safety of Life at Sea, 1974 (the Convention), and
related mandatory instruments (hereinafter referred to as the Guidance). It also
contains procedural aspects related to the approval and adoption of related
amendments.
1.2 This Guidance does not fully apply to amendments to an article of the
Convention or to chapter I of the annex to the Convention, where an explicit
amendment procedure is required.
1.3 This Guidance should always be read with reference to the provisions
of article VIII for amending the Convention and in conjunction with the
Organization and method of work of the Maritime Safety Committee and the
Marine Environment Protection Committee and their subsidiary bodies
(MSC-MEPC.1/Circ.5/Rev.1) and the Guidance on entry into force of amendments to
the 1974 SOLAS Convention and related mandatory instruments
(MSC.1/Circ.1481).
1.4 The process described in this Guidance summarizes the most common
actions for the consideration and development of amendments to the Convention and
related mandatory instruments. Although the approval of draft amendments is not a
mandatory requirement under the amendments procedure specified in article VIII of
the Convention, it has become the practice of the Committee to submit draft
amendments for approval prior to their adoption.
2 GOALS
2.1 The Guidance is meant to ensure that submission and development of
new or amended regulations are carried out in an appropriately comprehensive and
detailed manner and, in particular, that:
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.1 the application of regulations is sufficiently clear and without the
need for additional interpretation;
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.2 the nomenclature related to the application and the structure of
chapters are harmonized through the entire Convention;
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.3 the implementation of either amendments or new provisions is improved
and facilitated through a specified interval between entry into force of
successive sets of amendments; and
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.4 Contracting Governments to the Convention, the Maritime Safety
Committee (the Committee) and its subsidiary bodies, including working
and drafting groups, as well as other interested parties, are provided
with appropriate guidance on drafting of amendments to the Convention
and its related mandatory instruments.
2.2 In order to achieve the above goals, the Guidance is based on the
following two main principles:
3 PROCEDURAL ASPECTS RELATED TO THE DRAFTING OF AMENDMENTS
3.1 Timing of entry into force of amendments
3.1.1 The Committee, at its ninety-third session, approved the
Guidance on entry into force of amendments to the 1974 SOLAS Convention and
related mandatory instruments (MSC.1/Circ.1481), which reinstated the
four-year cycle of entry into force of amendments to the Convention and related
mandatory instruments. In this respect, due attention should be paid to the timeline
agreed for the entry into force of amendments when developing amendments to the
Convention and related mandatory instruments.
3.1.2 Notwithstanding paragraph 3.1.1 above, the Guidance should not
apply, in its entirety, to the 2011 ESP, IMDG and IMSBC Codes which are updated
continuously (i.e. annually and biennially), and chapter 17 of the IBC Code and
chapter 19 of the IGC Code should not be subject to the Guidance.
3.2 Amendment control process
3.2.1 Process for amending the Convention and related mandatory
instruments (from proposal to adoption)
3.2.1.1 At a proposal stage and in addition to the information to be
provided in proposals for new outputs (see annex 1 to the Organization and method
of work of the Maritime Safety Committee and the Marine Environment Protection
Committee and their subsidiary bodies (MSC-MEPC.1/Circ.5/Rev.1)), where
possible, the following elements should be addressed when considering proposals for
a new output that may require the preparation of amendments to the Convention and/or
related mandatory instruments:
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.1 ship type(s) to which the proposed amendment(s) is/are expected to
apply (e.g. scope, size, type, tonnage/length restriction; service areas
(international/non-international); activities (e.g. supporting diving
activities));
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.2 the extent of application to existing ships,footnote along with any relevant safety measures
that may be applied to existing ships;
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.3 the intended instrument(s) that should be amended (i.e. the Convention
and associated mandatory instruments); and
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.4 the use of the check/monitoring sheet (refer to paragraph 3.2.1.3.16
below).
3.2.1.2 During the consideration of new outputs, and in addition to the
actions to be taken based on MSC-MEPC.1/Circ.5/Rev.1, the Committee should consider
the elements listed below and, in this respect, should give clear instructions to
the relevant technical subsidiary body/bodies (i.e. sub-committees, including their
working/drafting/intersessional groups, as well as those reporting directly to the
Committee), as may be applicable:
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.1 target completion date at the sub-committee level;
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.2 expected date(s) of entry-into-force and implementation/application
date(s) (e.g. possible phase-in arrangement for existing ships) of the
amendment(s) or of the new requirement(s) to be developed;
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.3 whether the proposal should be considered an exceptional circumstance,
as specified in MSC.1/Circ.1481; and
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.4 scope of application of the proposed amendment(s) or new
requirement(s), along with the instrument(s) which would be required to
be amended/developed. In this regard, the following should be taken into
consideration:
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.1 if a comprehensive revision to an instrument is required,
a decision should be taken whether to revise the existing
instrument or create a new version, which may co-exist with
the existing instrument (e.g. 1994 and 2000 HSC Codes); and
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.2 if the instrument to be amended has different versions, a
decision should be made whether older versions of the
instrument should also be revised, especially when
considering amendments to operational requirements which are
likely to result in the revision to all versions of the
instrument.
3.2.1.3 At a subsequent processing stage, but before the conclusion of
the approval for adoption, each allocated sub-committee should ensure that:
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.1 at an initial engagement, sufficient time is allocated for technical
research and discussion before the target completion date, especially
when the issue is needed to be addressed by more than one sub-committee
where timing of meetings of relevant sub-committees and exchanges of the
result of considerations need to be carefully examined;
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.2 the intended scope of application agreed by the Committee (refer to
paragraph 3.2.1.2 above) is not changed without approval of the
Committee, providing clear justification for such change (e.g. in case
of unintended omissions);
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.3 the technical base document or draft amendment addresses the
proposal's issue(s) through the suggested instrument(s) and, if not, an
alternative method is offered to the Committee for addressing the
problem raised by the proposal;
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.4 if application to existing ships is agreed by the Committee under
paragraph 3.2.1.1.2 above, due attention is paid to the Interim
guidelines for the systematic application of the grandfather
clauses (MSC/Circ.765-MEPC/Circ.315);
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.5 all references have been examined against the text that would be valid
if the proposed amendment enters into force (refer to section 4.2.4
below);
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.6 the location of the inserted or modified text is correct with regard
to the text that would be valid when the proposed amendment enters into
force on a four-year cycle entry-into-force date, as there may be other
relevant amendments adopted that might enter into force on the same
date;
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.7 there are no inconsistencies between the scope of application of a
particular technical regulation and the application statement of the
relevant chapter that may be given in regulations 1 or 2, and
application is specifically addressed for existing and/or new ships, as
necessary;
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.8 if a new term is introduced in a regulation and a clear definition is
necessary, the definition is given in the relevant article of the
Convention or at the beginning of the chapter, as appropriate;
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.9 when terms such as "fitted", "provided", "installed" or "installation"
are used, a clear understanding of the intended meaning of the term is
provided;
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.10 all necessary related and consequential amendments to other existing
instruments, including non-mandatory instruments, in particular the
forms of certificates and records of equipment required in the
instrument being amended, have been examined and included as a part of
the amendment(s);
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.11 the forms of certificates and records of equipment are harmonized,
where appropriate, between the Convention and its Protocols;footnote
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.12 attention is paid with regard to the possible application's criteria
using building contract date, keel laying date or delivery date, as and
where appropriate, and to the possible impact of that decision (refer to
section 4.2.1). In making such a decision, the following should be taken
into consideration:
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.1 in principle, the three-date system can be used for a
chapter or regulation/paragraph governing
design/construction of a ship, while the keel laying date
can be used for a chapter or regulation/paragraph governing
ship's equipment;
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.2 the period to be established between events in the
three-date system versus the actual timing needed in the
shipbuilding process;
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.3 the period needed between adoption and entry into force
versus the time for design, manufacture and approval of new
equipment;
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.4 that a single keel laying date implementation criteria
could require a series of ships under the same building
contract to apply different requirements (pre- and
post-entry into force) which may cause significant changes
to the design;
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.5 with respect to application to existing ships, the need to
carefully word the three-date criteria implementation scheme
(e.g. application of certain "measures" of the Noise Code)
versus the more straightforward application of a single keel
laying criteria; and
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.6 where a phase-in arrangement for existing ships is deemed
appropriate and that arrangement is based on the first
survey or dry-docking after a specified date, the date of
completion of the first scheduled survey or the date of
completion of the first scheduled dry-docking should be
used;footnote
.13 draft amendments are presented for consideration, as far as
practically possible, as tracked changes within the context of the
relevant provisions to be amended (refer to section 3.2.3 below);
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.14 due attention is paid to the "application" and
"definition" regulations/paragraphs of the chapter where these are
likely to affect or be affected by the proposed amendments;
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.15 when preparing amendments to mandatory instruments, the relationship
between the Convention and the instrument is observed (refer to section
4.1.5);
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.16 the check/monitoring sheet given in annex 2 is observed
and completed throughout the progress at each one of the above stages.
In this respect, it is intended that:
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.1 parts I and II should be completed by the
submitter of a proposal for a new output, as far as
possible, as an annex to the submission document (refer to
paragraph 3.2.1.1.4 above); and
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.2 part III should be completed by the drafting
or working group that prepares the draft amendment(s);footnote
.17 the final draft text of proposed amendments to the
Convention or any related mandatory instrument is reviewed by either a
drafting group or by a working groupfootnote to properly address the issues listed in
part III of the check/monitoring sheet, as given in paragraph 3.2.2.2
below;
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.18 the check/monitoring sheet is presented along with the draft
amendments submitted for approval; and
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.19 the record format given in annex 3 is completed in the module
"Development of amendments to the 1974 SOLAS Convention and related
mandatory instruments" of GISIS by the drafting or working group that
prepares the draft amendment(s).footnote
3.2.1.4 At the approval and adoption stages:
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.1 the Committee should:
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.1 carefully review the draft amendments submitted for
approval, using the associated check/monitoring sheet
prepared by the subsidiary body. In doing so, issues
requiring further drafting consideration may be identified.
Under those circumstances, the Committee may consider
instructing the drafting group on amendments to review the
draft amendments and the associated check/monitoring sheet
before approval of the related amendments, taking into
account the information contained in the related record
format; and
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.2 agree on which session of the Committee the amendments
should be adopted as well as the dates on which the
amendments would be accepted and would enter into force,
taking into account the four-year cycle or the exceptional
circumstance as per MSC.1/Circ.1481, as may be the case; and
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.2 the Secretariat should:
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.1 ensure that the draft amendments submitted
for approval, as well as those contained in the annexes of
the Committee's report after approval, are presented in
tracked changes, as appropriate (refer to section 3.2.3
below);
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.2 prepare the appropriate text of draft
amendments without tracked changes for circulation to all
Members of the Organization and all SOLAS Contracting
Governments after approval, in accordance with the
provisions of article VIII of the Convention;
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.3 prepare documents containing the text of the
approved draft amendments without tracked changes, together
with the draft resolution(s), for submission to the session
of the Committee that will consider the amendments for
adoption;
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.4 prepare a working paper consolidating all
draft amendments submitted for adoption with tracked
changes, including proposals for modifications or editorial
improvements, if any, as well as notes and comments, as
appropriate (refer to section 3.2.3 below). This document
should be made available in IMODOCS as soon as possible
after the deadline for commenting documents and should be
used as the base document for the preliminary consideration
by the expanded Committee and final revision by the drafting
group on amendments;
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.5 ensure that, after adoption, the final text of
the amendments which are contained in the annexes of the
Committee's report (i.e. the MSC resolutions) is presented
without tracked changes;
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.6 prepare the authentic text of the adopted
amendments after adoption, when requested, and make it
available on IMODOCS;footnote and
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.7 keep the related record format updated in
respect to relevant decisions taken at the sub-committee or
committee level.
3.2.2 Drafting group arrangements
3.2.2.1 Drafting groups have a relevant role in the amendment control
process. Although drafting groups cannot change the essence of the amendments, they
should ensure that the drafting of amendments is carried out in accordance with the
present Guidance. Therefore, this Guidance should be included as a standing
reference in the terms of reference of these groups, along with references for
completion of the check/monitoring sheet and record format, set out in annexes 2 and
3, respectively.
3.2.2.2 The first stage of the engagement in the control process of
drafting works should be undertaken by a drafting group or by a working group of the
subsidiary body or by those reporting directly to the Committee.footnote In doing so, the check/monitoring sheet set out in
annex 2 should be observed and completed before submitting the draft amendments for
approval.
3.2.2.3 At the approval stage of amendments, the Committee should
carefully review the draft amendments submitted for approval, along with the related
check/monitoring sheet (refer to paragraph 3.2.1.4.1.1).
3.2.2.4 Depending upon the findings in the check/monitoring sheet, the
Committee may consider tasking the drafting group established for reviewing the
amendments submitted for adoption (refer to paragraph 3.2.2.6 below) to review the
draft amendments submitted for approval and the related check/monitoring sheet,
including the information contained in the related record format.
3.2.2.5 After the approval of draft amendments by the Committee, the
Secretariat should review the approved draft amendments from the drafting and
editorial point of view. Any findings by the Secretariat should be submitted to the
session of the Committee that would adopt the amendments as part of the working
paper consolidating the amendments, comments and proposals for modifications, which
would be prepared in advance by the Secretariat (see paragraph 3.2.1.4.2.4).
3.2.2.6 At the adoption stage, the above-mentioned working paper should
be used as the basis document for consideration of the draft amendments by the
expanded Committee and by the drafting group that would conduct the final review of
the draft amendments, along with any comments provided in any of the documents
submitted to that session for consideration.
3.2.3 Use of tracked changes
3.2.3.1 The use of tracked changes during the preparation, approval and
adoption of draft amendments may facilitate the consideration of proposed
amendments. It may also assist the work of translators and reduce the number of
misinterpretations.
3.2.3.2 Tracked changes should mainly be used, as far as practically
possible, for draft amendments to the text of existing regulations, paragraphs or
tables, in order to easily identify the changes proposed with respect to the
original text. In this respect, only the relevant part(s) of the original text
should be reproduced.
3.2.3.3 For insertions of new regulations, paragraphs or tables, or
deletion of existing ones, the use of tracked changes may not be practical.
3.2.3.4 Tracked changes should be created using "strikeout" for deleted
text and "grey shading" to highlight all modifications and new insertions, including
deleted text (i.e. not using the track changes function of Microsoft Word), in order
to ensure that such changes are not lost during further editorial work (e.g. cut and
paste).
3.2.3.5 Tracked changes should be made against the text that has already
entered into force. However, subject to section 3.3.1 below, if the draft amendments
under development are expected to be adopted after the entry-into-force date of
other related amendments, then the adopted amendments should be included using a
different colour and including a note indicating the number of the resolution by
which the amendments were adopted. The note should be used as a drafting tool only
and should not be considered as part of the related draft amendments.
3.3 Points for attention in preparing an amendment
3.3.1 An amendment to a pending amendment
3.3.1.1 A further amendment to an already adopted amendment which is
still pending entry into force may be approved by the Committee but should not be
adopted until the previous adopted amendment enters into force.
3.3.1.2 Other elements of the same regulation which are not related to a
previous adopted amendment which is still pending entry into force may be amended
accordingly, in accordance with the procedures for amending the Convention.
3.3.2 Work of other bodies of the Organization
3.3.2.1 In drafting an amendment, due attention should be paid to any
possible related amendments being prepared by other bodies of the Organization based
upon the information provided by the Secretariat or as may be advised.
4 GUIDANCE FOR DRAFTING AMENDMENTS
4.1 Principles
4.1.1 A comprehensive revision of a chapter
4.1.1.1 A comprehensive revision is a revision of a chapter which
fundamentally alters the structure of the chapter and resets its application date.
4.1.1.2 A comprehensive revision should take place only if the entire
philosophy or basis of the chapter is restructured (e.g. from ship's type-based
requirements to functional based requirements, or based on a new concept).
4.1.1.3 As far as possible, comprehensive revisions should be avoided
since they can make historical tracking of regulations difficult.
4.1.1.4 When a chapter of the Convention is comprehensively revised, the
following principles should be followed:
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.1 application date of the chapter: The application date of the chapter
should be reset. The application date (e.g. DDMMYYYY in annex 1) in the
statement of regulation 1.1.1 "Unless expressly provided otherwise, this
chapter shall apply to ships constructed on or after DDMMYYYY" should be
kept until the next comprehensive revision of the chapter. This date
should be aligned with one of the four-year cycle dates;
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.2 list of resolutions: A list of resolutions that apply to ships
constructed prior to the comprehensive revision (e.g. regulation 1.2 in
annex 1) should be included in the text of the chapter; and
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.3 additional requirements contained in the chapter that apply to ships
constructed before the application date of the chapter: When a
comprehensive revision is carried out, some of the requirements
applicable to ships constructed on or after the application date of the
chapter may also be applicable to ships constructed before that date.
These regulations should be recorded in the list of regulations
applicable to existing ships (see regulation 1.4 in annex 1).
4.1.2 Amendments adopted between comprehensive revisions
4.1.2.1 For amendments adopted between comprehensive revisions, the
following principles should be observed:
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.1 the application date of a new amendment should be clearly stated under
each specific new or amended regulation/paragraph, in the format given
in section 4.2.1 below;
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.2 if an amendment revises a regulation/paragraph, or part of a
regulation/ paragraph, the original part of the regulation/paragraph
which would continue being applicable to ships constructed on or after
the original application date of the revised regulation/paragraph should
be retained with a clear statement of its application dates (i.e. from
and to);
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.3 regardless of the dates included in the amended
regulation(s)/paragraph(s), the chapter's application should include a
list of amended regulations/paragraphs that contain provisions that
apply to ships constructed on or after the general application date of
the chapter (e.g. regulation 1.3 in annex 1); and
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.4 if the new or amended regulation/paragraph is also applicable to ships
constructed before the general application date of the chapter, then
that regulation/paragraph should also be added to the list referred to
in paragraph 4.1.1.4.3 (e.g. regulation 1.4 in annex 1).
4.1.3 Amendments adopted at subsequent comprehensive revision
4.1.3.1 In the event of a second or a subsequent comprehensive revision
to a chapter, the following principles should also be observed:
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.1 the application date of the chapter given in paragraph 4.1.1.4.1 above
should be reset;
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.2 the list of resolutions referred to in paragraph 4.1.1.4.2 should be
updated by adding any further resolutions relevant to the chapter
adopted after the previous comprehensive revision; and
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.3 application dates introduced in the regulations/paragraphs that
entered into force between the comprehensive revisions should be
removed, and the list indicated in paragraph 4.1.2.1.3 should also be
reset. Moreover, the list indicated in paragraph 4.1.1.4.3 should be
reset and completed with requirements contained in the revised chapter
that apply to ships constructed before the subsequent revision date, if
any.
4.1.4 Referencing other instruments
4.1.4.1 When referencing other mandatory/non-mandatory instruments in a
mandatory instrument, the Guidelines on methods for making reference to IMO and
other instruments in IMO conventions and other mandatory instruments, as set
out in the annex to resolution A.911(22) on Uniform wording for referencing IMO
documents, should be applied.
4.1.4.2 The above Guidelines provide standard text for references for
inclusion in new IMO conventions and other mandatory instruments relating to
maritime safety and pollution prevention and in future amendments to existing
conventions and other instruments, in order to ensure that, where reference is made
to IMO conventions and other instruments, a uniform wording is used. This is to
indicate clearly the legal status of the instrument in question after the IMO body
concerned has decided on the status. Therefore, references to standards which are
intended to be mandatory should not be included as a footnote. They should instead
be included explicitly in the text of relevant regulations/paragraphs or amendments.
4.1.5 Relationships between the Convention and related mandatory
instruments
General principles
4.1.5.1 The relationship between the Convention and a mandatory
instrument should be clearly identified in both the Convention and the mandatory
instrument.
4.1.5.2 Instruments are made mandatory through reference in the text of
the SOLAS regulations. Thus, the application of the mandatory instrument cannot
exceed the relevant SOLAS regulation.
4.1.5.3 In drafting new instruments or amendments, care should be taken
to ensure consistency between the Convention and the related mandatory instrument.
4.1.5.4 If a decision is taken to develop a new version of an instrument
with co-existing sets of requirements (refer to paragraph 3.2.1.2.4), applicability
should be clearly defined within the Convention, especially regarding the scope and
dates of application/ implementation.
4.1.5.5 If different parts of an instrument have different
characteristics, mandatory and recommendatory, the different relationships to the
Convention should be indicated in the Convention.
Instruments providing an alternative or additional set of requirements
to the Convention for particular ship types or providing supplementary
requirements for specific circumstances
4.1.5.6 For instruments providing an alternative set of requirements to
the Convention for particular ship types, such as the IGC, IBC and the 1994 and 2000
HSC Codes, or providing supplementary requirements for specific circumstances, the
following should be taken into consideration:
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.1 the scope of application should be detailed in the instrument using
the principles laid down in sections 4.1.1 to 4.1.3 and 4.2.1,
accordingly; and
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.2 the relationship between the Convention and the instrument should be
clearly identified in the applicable chapter of the Convention, in the
definition of the instrument concerned and in any specific regulation
addressing the application of the instrument.
Instruments governing operational and survey/audit elements
4.1.5.7 With regard to instruments governing operational and survey/audit
elements, such as the 2011 ESP, ISM or RO Codes, a clear definition of the
instrument and its status, whether mandatory or recommendatory, as well as the scope
of application, should be provided in the Convention. Any subsequent amendment to
the instrument is understood to have the same application as the original, unless
otherwise specified. Nevertheless, attention should be paid to:
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.1 whether either the instrument or the Convention should further clarify
ship types that are subject to the proposed requirements; and
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.2 application statements that may be indicated in the resolution
adopting the amendments to clarify application criteria, for example,
the first survey/audit after the given date or actual date of the
activity.
Other instruments
4.1.5.8 In instruments other than those specified in paragraphs 4.1.5.6
and 4.1.5.7, the application principle should be clearly stated at the beginning of
the instrument. In these cases, attention should be paid to:
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.1 whether to set up a principle for application criteria of any
amendment, not specifically indicating the application date of each
amendment (e.g. the FSS Code, section 1.1.2) or;
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.2 if not, whether the application provision of the amendment should be
clearly stated and/or a chronological record of the amendments be
maintained for each section; and
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.3 where specific equipment is identified as necessary, the carriage of
such equipment can only be required by inclusion in the Convention.
4.1.6 Relaxation/dispensation
4.1.6.1 General relaxation/dispensation clauses should be given at the
beginning of the chapter.
4.1.6.2 Specific relaxation/dispensation clauses applicable to specific
requirements should be given under the technical regulations.
4.2 Specific details
4.2.1 Format of application dates
4.2.1.1 Format of application dates should be defined, as applicable,
using the criteria based on "three dates"footnote or the "keel laying date based on a single date".
4.2.1.2 At a comprehensive revision, a decision should be made as to
whether to use the criteria based on three dates or the keel laying date based on a
single date. Depending on that decision, one of the following definitions of the
chapter's application for "ship constructed" should be inserted in the regulation
corresponding to the "application" or "definition" part of the chapter:
-
.1 In case the three dates criteria is used, the following should be the
definition inserted:
-
"The expression ship constructed on or
after
DDMMYYYY means:
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.1 for which the building contract is placed on
or after (date 1); or
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.2 in the absence of a building contract, the
keel of which is laid or which is at a similar stage of
construction on or after (date 2); or
.3 the delivery of which is on or after (date
3)".
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Note: As guidance, date 1 is DDMMYYYY, date 2 is 6 months
after date 1, and date 3 is 48 months after date 1.
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.2 In case the single ship's construction/keel laying date criteria is
used, the following should be the definition inserted:
-
"The expression ship constructed on or
after
DDMMYYYY means:
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.1 the keel of which is laid or which is at a similar stage
of construction on or after DDMMYYYY;
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.2 Similar stage of construction means the stage at
which:
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.1 construction identifiable with a specific ship
begins; and
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.2 assembly of that ship has commenced comprising
at least 50 tonnes or 1% of the estimated mass of
all structural material, whichever is less."
4.2.1.3 Subsequent amendments between comprehensive revisions should also address
the options given in paragraph 4.2.1.2 above.
4.2.2 All ships
4.2.2.1 When used, a clear definition of the term "all ships" for the
purpose of the chapter should be given in the "application" or "definition" part of
the chapter.
4.2.3 Conversion
4.2.3.1 A clear definition of "conversion" and "alteration or
modification of major character" for the purpose of application provisions of the
chapter or a specific regulation should be given.
4.2.4 Consequential amendments to the Convention and/or other
instruments
4.2.4.1 An amendment to the Convention occasionally introduces a change
to the regulation number or paragraph number. As far as possible, this practice
should be avoided because the number might be referred to in the Convention itself
or in other instruments. MSC 71, when discussing the situation regarding
cross-reference of regulations in and between IMO instruments, agreed to (MSC 71/23,
paragraph 16.10):
-
.1 request the sub-committees, in the course of preparation of amendments
to IMO instruments, to also check the references in the provisions of
the instruments concerned which may not be within their purview; and
-
.2 invite Member Governments to inform the Secretariat, at an early
stage, of any modifications to cross-references they would identify when
introducing new amendments in their legislation, in order that necessary
rectification could be made by the Secretariat.
4.2.5 Other best practices for the drafting of amendments
4.2.5.1 In addition to principles specified in section 4.1, the following
best practices should be taken into account during the preparation and drafting of
amendments to the Convention:
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.1 General format of regulations:
-
.1 titles of regulations: for consistency, all regulations
should have a title;
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.2 subtitles within regulations should be numbered
accordingly; and
-
.3 numbering of paragraphs and tables within a regulation:
unless the regulation contains only one paragraph or table,
all paragraphs and tables should be numbered accordingly
within the regulation. For tables, the format "x.y" should
be used, where "x" represents the number of the regulation
and "y" is a correlative number within the regulation.
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.2 New regulations: Whenever possible, new regulations should be inserted
at the end of the corresponding chapter. However, due to the nature of
the regulation and/or the structure of the chapter, new regulations may
be inserted sometimes between existing regulations. In these cases and
in order to avoid renumbering existing regulations, the new regulation
should be inserted using an existing regulation number by adding "-1"
after the number. For further insertions, correlative numbers should be
used.
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.3 Deletion of regulations: To avoid renumbering existing regulations,
the number of deleted regulations should be kept. A footnote could be
added indicating that the regulation was intentionally deleted and left
blank.
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.4 Amending or replacing existing regulations, paragraphs or
tables: Given the diversity of situations that could be presented under
the current structure of the Convention, special attention should be
paid to the definition of the scope of application of new amendments, as
appropriate. Under these circumstances, the scope of application of new
amendments should be specified as follows:
-
.1 within the amended text of the existing regulation; or
-
.2 using a dedicated separate paragraph within the same
regulation; or
-
.3 adding a note within parentheses under the title of the
regulation.
-
When modifying or replacing contents of existing tables, a
note under the table or a dedicated separate paragraph
should be used to clarify the application of existing
requirements, as appropriate.
-
Duplication of regulations, paragraphs or tables should be
avoided as much as possible.
4.2.6 Format of application date to be used in mandatory
instruments
4.2.6.1 In instruments providing an alternative set of requirements to
the Convention for particular ship types or providing supplementary requirements for
specific circumstances (refer to paragraph 4.1.5.6), the format of application date
should follow section 4.2.1.
4.2.6.2 In instruments governing operational and survey/audit elements
(refer to paragraph 4.1.5.7):
-
.1 where a single date of application is used and not changed, it is not
necessary to track the amendments; or
-
.2 where a single date of application is not used or a previous date of
application is changed, then the format described in section 4.2.1
should be used.
4.2.6.3 In other mandatory instruments (refer to paragraph 4.1.5.8), the
following format of application dates may be used:
4.3 Example of regulation 1
An example of regulation 1 is given in annex 1.
5 OTHERS – REMINDER OF THE BASIC ARCHITECTURE OF THE CONVENTION
5.1 Application provisions
5.1.1 Application provisions in the Convention are given in three layers:
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.1 article II (Application): article II of the Convention
states that:
"The present Convention shall apply to ships entitled to fly
the flag of States the Governments of which are Contracting
Governments."
-
.2 chapter I, regulation 1 (Application): regulation I/1 of the
Convention states that:
-
"(a) Unless expressly provided otherwise, the present
regulations apply only to ships engaged on international
voyages.
(b) The classes of ships to which each chapter applies are
more precisely defined, and the extent of the application is
shown, in each chapter."
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.3 Each chapter: each chapter, in regulations 1 or 2,
provides application of that chapter.
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.4 Each regulation: each regulation may provide further
specific application details of the requirement.
5.2 Application to new/existing ships
5.2.1 In drafting a regulatory text, there should be a clear
understanding of the nature of modifications to the technical regulations and of the
scope of application of newly introduced or additional technical measures, e.g.
whether they should be applied to "new ships", or "existing ships" (i.e. ships which
are not new ships), or both; as well as the time frame for the amendments
introducing the technical measures to come into force. It is essential to have
proper understanding of the following:
-
.1 article VIII (Amendments):
"(e) Unless expressly provided otherwise, any amendment to the present
Convention made under this article, which relates to the structure of a
ship, shall apply only to ships the keels of which are laid or which are
at a similar stage of construction, on or after the date on which the
amendment enters into force."; and
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.2 Organization and method of work of the Maritime Safety Committee
and the Marine Environment Protection Committee and their subsidiary
bodies (MSC-MEPC.1/Circ.5/Rev.1):
In paragraph 4.26, some guidance on the application to new/existing ships
is provided.
5.3 Ship type
5.3.1 For ship types, it is noted that, unless expressly provided
otherwise, regulation I/2 applies. If a regulation/paragraph applies to a particular
ship type, this should be clearly stated in the regulation/paragraph. If a ship
type, other than that stated in regulation I/2, or as may be specified in the
chapter under amendment, is introduced, then a corresponding definition for that
ship type should be specified within that chapter.
5.4 Status of footnotes
5.4.1 The Guidelines on methods for making reference to IMO and other
instruments in IMO conventions and other mandatory instruments, adopted by
resolution A.911(22), reflect that standards and specifications referred to in
footnotes, as well as guidelines and recommendations, should not appear in the
authentic text of mandatory instruments but may be included in sales publications
and updated by the Secretariat as necessary when a new edition of the relevant
publication is prepared.
5.4.2 For future amendments to the Convention or related mandatory
instruments, text intended to be a mandatory part of the instrument should not be
included in a footnote.
5.5 Human element
5.5.1 Reference is made to paragraph 4.27 of the Organization and
method of work of the Maritime Safety Committee and the Marine Environment
Protection Committee and their subsidiary bodies (MSC-MEPC.1/Circ.5/Rev.1),
which states that, recognizing the human factor as an integral part of any effort to
enhance maritime safety, maritime security or protection of the marine environment,
the subsidiary bodies should consider the human factor whenever new requirements are
developed and existing requirements are reviewed, by taking into account the human
element principles, as set out in the annex to resolution A.947(23) on Human
element vision, principles and goals for the Organization.
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