6.1 Documentation
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Statutory Documents - IMO Publications and Documents - Circulars - Maritime Safety Committee - MSC.1/Circular.1455 – Guidelines for the Approval of Alternatives and Equivalents as Provided for in Various IMO Instruments – (24 June 2013) - Annex – Guidelines for the Approval of Alternatives and Equivalents as Provided for in Various IMO Instruments - 6 Documentation Requirements - 6.1 Documentation

6.1 Documentation

  6.1.1 The approval process for an alternative and/or equivalency is different from a conventional approval process, and therefore the documentation process needs to be clear, transparent and well described to avoid misinterpretations. As illustrated in figure 2, documentation may comprise, but is not limited to, the following:

  6.1.1.1 From Submitter to Approval Authority:

  • .1 design documents:

    • .1 description of the alternative and/or equivalency design, including design basis;

    • .2 functional description;

    • .3 identification of interfaces between the design and other systems/operations (compliant with regulations);

    • .4 preliminary general arrangement drawings;

    • .5 preliminary detail drawings of subsystems (if available);

    • .6 list of codes and standards that are considered to be applied;

    • .7 risk assessment plans;

    • .8 testing and analysis plans; and

    • .9 further design basis documents, as necessary;

  • .2 analysis reports for assessment of preliminary design:

    • .1 identified hazards;

    • .2 safeguards included in the design;

    • .3 evaluation criteria applied;

    • .4 issues that may require further analyses and testing;

    • .5 description of analysis method applied, including the details of workshop conducted; If analysis for preliminary design includes a risk analysis;

    • .6 frequencies and consequences associated with the hazards and resulting risks;

    • .7 risk models;

    • .8 data references, expert judgments, assumptions, uncertainties and sensitivities;

    • .9 cost-benefit assessments;

    • .10 selected risk reducing measures;

    • .11 design casualty scenarios;

    • .12 issues that may require further analyses and testing; and

    • .13 information on the participated experts in the analysis;

  • .3 issues that may require special attention with respect to operations, accessibility and inspections;

  • .4 description of final design (including revisions to "preliminary design description" submittals);

  • .5 analysis reports for assessment of final design – including information regarding:

    • .1 as specified for assessment of preliminary design;

  • .6 analyses and testing reports – including information regarding:

    • .1 statements of relevant codes and standards applied, and deviations made to their application;

    • .2 selection of appropriate evaluation criteria used to assess the design;

    • .3 design calculations;

    • .4 analyses reports (including objectives, scope, assumptions, results, conclusions and recommendations);

    • .5 test reports, including descriptions of modeling/test set-up, as well as test objectives, scope, results, analyses, conclusions and recommendations; and

    • .6 error and uncertainty assessments; and

  • .7 design specifications:

    • .1 underlying analyses, testing and calculations that define the basis for design; and

    • .2 additional documents and drawings – including final general arrangement drawing and final detailed drawings of subsystems.

  6.1.1.2 From Administration to Submitter:

  • .1 description of approval requirements and process;

  • .2 preliminary approval statement with conditions (if analysis of preliminary design is performed);

  • .3 description of detailed requirements;

  • .4 statement of approval of design specifications; and

  • .5 certificate with conditions.

  6.1.1.3 Documentation that is required to be exchanged between the Administration and the Submitter in the approval process is summarized in figure 3, and this chapter of the Guidelines outlines requirements pertaining to this documentation.

  6.1.1.4 The document requirements described in this section are considered as minimum. According to the complexity and features of subjected design development, slight modifications of the requirements could be required. In this case, the modifications should be conducted on the basis of the agreement between the Administration and the Submitter.

Parent topic: 6 Documentation Requirements
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