1.1.1 Prescriptive regulations may sometimes restrain
the level of innovation that is feasible in design. An essential prerequisite
for widespread use of innovative and the use of alternative and/or
equivalent design is a predictable and reliable process of submitting
and approving the design making full use of state of the art risk
assessment tools and techniques.
1.1.2 There may be different levels of approval
depending on how challenging the proposed alternative and/or equivalent
design is in light of prescriptive regulations. Such designs may deviate
from prescriptive requirements related to certain components, systems
or functions or the whole ship. Alternative and/or equivalent design
and approval is expected to be carried out only for ship functions,
systems or components that either directly or indirectly proposes
alternative ways of compliance with prevailing regulations.
1.1.3 One approach to the approval of an alternative
and/or equivalent design is to compare the innovative design to existing
designs to demonstrate that the design has an equivalent level of
safety. In order to demonstrate an equivalent level of safety, functional
requirements and performance criteria should be established for essential
ship functions, which should be met by the alternative and/or equivalent
design. An alternative approach could be to carry out a risk analysis
of the alternative and/or equivalent design and compare it to overall
risk evaluation criteria.
1.1.4 A structured approval processes is necessary
in order to confirm that the alternative and/or equivalency design
can obtain the required approval along with the necessary certificates
related to statutory requirements for their intended operation. The
Guidelines presented herein describe such a structured process that
is predictable and reliable. By adhering to these Guidelines, Submitters
and Administrations would be working in cooperation to evaluate that
all aspects of safety and environmental protection are adequately
assessed and controlled to an acceptable level. Furthermore it will
facilitate innovation.
1.1.5 Currently, there are provisions in many
IMO conventions for acceptance of alternatives and/or equivalents
to prescriptive requirements in many areas of ship design and construction.
In this context, the Organization has issued several guidelines, such
as Guidelines on alternative design and arrangements for fire
safety (MSC/Circ.1002), Guidelines
on alternative design and arrangements for SOLAS chapters II-1 and III
(MSC.1/Circ.1212) and Interim guidelines for the approval of alternative methods of design
and construction of oil tankers (resolution
MEPC.110(49)).