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MSC.1/Circ.1500/Rev.3
6 May 2025

GUIDANCE ON DRAFTING OF AMENDMENTS TO THE 1974 SOLAS CONVENTION

AND RELATED MANDATORY INSTRUMENTS

1 The Maritime Safety Committee (the Committee), at its ninety-fourth session

(17 to 21 November 2014), having considered a number of issues related to the drafting of
amendments to the International Convention for the Safety of Life at Sea, 1974
(the Convention) and related mandatory instruments, from the initial proposal and preparation
process to the approval and adoption stages and entry into force of amendments, approved
the Guidance on drafting of amendments to the 1974 SOLAS Convention and related
mandatory instruments (MSC.1/Circ.1500) (hereinafter referred to as the Guidance), which
was subsequently revised by the Committee, at its ninety-ninth (16 to 25 May 2018) and 106th
(2 to 11 November 2022) sessions.

2 The Committee, at its 108th session (15 to 24 May 2024), approved, in principle, draft
amendments to the Organization and method of work of the Maritime Safety Committee and the
Marine Environment Protection Committee and their subsidiary (MSC-MEPC.1/Circ.5/Rev.5)
(hereinafter referred to as the Committees' method of work), which was subsequently issued as
MSC-MEPC.1/Circ.5/Rev.6, following approval at the Committee's 109th session
(2 to 6 December 2024) and the concurrent approval by the Marine Environment Protection
Committee, at its eighty-third session (7 to 11 April 2025). In this regard, the Committee also
approved a consequential revised Guidance in order to incorporate the modifications concerning
the assessment of capacity-building implications, as set out in the annex.

3 Without prejudicing the amendments procedure specified in article VIII of the Convention
and the provisions set out in the Committees' method of work, the information contained in the
annex provides relevant guidance for the drafting of amendments to the Convention and
related mandatory instruments, including procedural aspects related to the approval and
adoption of amendments.

4 Contracting Governments to the Convention are invited to take into account

the provisions of the present Guidance when submitting proposals for amendments in
accordance with article VIII(b)(i) of the Convention and/or proposals for new outputs in
accordance with section 4 of the Committees' method of work.

5 The Committee and its subsidiary bodies, including working, drafting and
intersessional groups, should apply the present Guidance during the preparation of draft
amendments to the Convention and related mandatory instruments, as well as during the approval
and adoption stages.

6 This circular supersedes MSC.1/Circ.1500/Rev.2.

***

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ANNEX

GUIDANCE ON DRAFTING OF AMENDMENTS TO THE 1974 SOLAS CONVENTION

AND RELATED MANDATORY INSTRUMENTS

TABLE OF CONTENTS

1 INTRODUCTION

2 GOALS

3 PROCEDURAL ASPECTS RELATED TO THE DRAFTING OF AMENDMENTS

3.1 Timing of entry into force of amendments

3.2 Amendment control process
3.2.1 Process for amending the Convention and related mandatory instruments
(from proposal to adoption)
3.2.2 Drafting group arrangements
3.2.3 Use of tracked changes
3.3 Points for attention in preparing an amendment
3.3.1 An amendment to a pending amendment
3.3.2 Work of other bodies of the Organization

4 GUIDANCE FOR DRAFTING AMENDMENTS

4.1 Principles
4.1.1 A comprehensive revision of a chapter
4.1.2 Amendments adopted between comprehensive revisions
4.1.3 Amendments adopted at a subsequent comprehensive revision
4.1.4 Referencing other instruments
4.1.5 Relationships between the Convention and related mandatory instruments
4.1.6 Relaxation/dispensation
4.2 Specific details
4.2.1 Format of application dates
4.2.2 All ships
4.2.3 Conversion
4.2.4 Consequential amendments to the Convention and/or other instruments
4.2.5 Other best practices for the drafting of amendments
4.2.6 Format of application date to be used in mandatory instruments
4.3 Example of regulation 1

5 OTHERS – REMINDER OF THE BASIC ARCHITECTURE OF THE CONVENTION

5.1 Application provisions

5.2 Application to new/existing ships
5.3 Ship type
5.4 Status of footnotes
5.5 Human element

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ANNEX 1 EXAMPLE OF REGULATION 1

ANNEX 2 CHECK/MONITORING SHEET FOR THE PROCESS OF AMENDING THE

CONVENTION AND RELATED MANDATORY INSTRUMENTS
(PROPOSAL/DEVELOPMENT)

ANNEX 3 RECORD FORMAT

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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, as revised) 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:

.1 the application of regulations is sufficiently clear and without the need for
additional interpretation;

.2 the nomenclature related to the application and the structure of chapters are
harmonized through the entire Convention;

.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

.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 and assessment of capacity-building implications.

2.2 In order to achieve the above goals, the Guidance is based on the following two main
principles:

.1 a systematic control process throughout the different stages of the amendments'

development; and

.2 relevant guidance for drafting amendments.

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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 Committees' method of work), 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:

.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));

.2 the extent of application to existing ships,1 along with any relevant safety
measures that may be applied to existing ships;

.3 the intended instrument(s) that should be amended (i.e. the Convention and
associated mandatory instruments) and the corresponding assessment of
capacity-building implications; and

.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 the Committees' method of work, 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:

.1 target completion date at the sub-committee level;

.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, with due consideration of
capacity-building implications;

1
Refer to the Interim guidelines for the systematic application of the grandfather clauses
(MSC/Circ.765-MEPC/Circ.315).

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.3 whether the proposal should be considered an exceptional circumstance, as

specified in MSC.1/Circ.1481; and

.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:

.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

.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:

.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;

.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);

.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;

.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);

.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);

.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;

.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;

.9 when terms such as "fitted", "provided", "installed" or "installation" are used,

a clear understanding of the intended meaning of the term is provided;

.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);

.11 the forms of certificates and records of equipment are harmonized, where
appropriate, between the Convention and its Protocols;2

.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:

.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;

.2 the period to be established between events in the three-date

system versus the actual timing needed in the shipbuilding process;

.3 the period needed between adoption and entry into force versus
the time for design, manufacture and approval of new equipment;

.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;

.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

.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;3

.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);

2
Refer to the Committee's decision, as reported in document MSC 72/23, paragraph 3.10.
3
Refer to the Unified interpretation of the date of completion of the survey and verification on which
the certificates are based (MSC-MEPC.5/Circ.3).

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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;

.15 when preparing amendments to mandatory instruments, the relationship

between the Convention and the instrument is observed (refer to section 4.1.5);

.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:

.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

.2 part III should be completed by the drafting or working group that

prepares the draft amendment(s);4

.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
group4 to properly address the issues listed in part III of the check/monitoring
sheet, as given in paragraph 3.2.2.2 below;

.18 the check/monitoring sheet is presented along with the draft amendments
submitted for approval;

.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)4; and

.20 assessment of capacity-building implications is undertaken in accordance

with annex 2 to MSC-MEPC.1/Circ.5, as revised.

3.2.1.4 At the approval and adoption stages:

.1 the Committee should:

.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

4
For the draft amendments to be considered and finalized by sub-committees in plenary within one session,
the Secretariat may be requested, when necessary, to complete part III of the check/monitoring sheet and
the records for regulatory development after the session, instead of establishing a specific working/drafting
group. "Minor corrections" (C/ES.27/D, paragraph 3.2(vi)) may be excluded from application of the provisions
for completion of the check/monitoring sheet and the records for regulatory development.

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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

.2 the Secretariat should:

.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);

.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;

.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;

.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;

.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;

.6 prepare the authentic text of the adopted amendments after adoption,

when requested, and make it available on IMODOCS;5 and

.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.

5
The whole process of the production of certified true copies, in all cases, should not take longer than 100 days
for non-bulky documents (those containing six pages or fewer) and 160 days for bulky documents
(those containing more than six pages) after the date of adoption of the amendment.

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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.6 In doing so, the check/monitoring sheet set out in annex 2
should be observed and completed and the initial assessment of capacity building implications,
which had been submitted to the Committee along with the corresponding proposal for a new
output, should be reviewed and finalized 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,
including the outcome of the assessment of capacity building implications, 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).

6
For the draft amendments to be considered and finalized by sub-committees in plenary within one session,
the Secretariat may be requested, when necessary, to complete part III of the check/monitoring sheet and
the records for regulatory development after the session, instead of establishing a specific working/drafting
group. "Minor corrections" (C/ES.27/D, paragraph 3.2(vi)) may be excluded from application of the provisions
for completion of the check/monitoring sheet and the records for regulatory development.

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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:

.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

.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:

.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;

.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);

.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

.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:

.1 the application date of the chapter given in paragraph 4.1.1.4.1 above should
be reset;

.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

.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.

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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:

.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

.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.

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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:

.1 whether either the instrument or the Convention should further clarify ship
types that are subject to the proposed requirements; and

.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:

.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;

.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

.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"7 or the "keel laying date based on a single date".

7
Refer to MSC-MEPC.5/Circ.8 on Unified interpretation of the application of regulations governed by
the building contract date, the keel laying date and the delivery date for the requirements of the SOLAS and
MARPOL Conventions.

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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:

.1 for which the building contract is placed on or after (date 1); or

.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)".

Note: As guidance, date 1 is DDMMYYYY, date 2 is 6 months after date 1,

and date 3 is 48 months after date 1.

.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:

.1 the keel of which is laid or which is at a similar stage of construction

on or after DDMMYYYY;

.2 Similar stage of construction means the stage at which:

.1 construction identifiable with a specific ship begins; and

.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

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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:

.1 General format of regulations:

.1 titles of regulations: for consistency, all regulations should have

a title;

.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.

.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.

.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.

.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.

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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:

.1 when the installation date is used:

"Unless expressly provided otherwise, this instrument is applicable to

installations (equipment, appliances, fittings, etc.) installed on board ships on
or after DDMMYYYY.

The expression installations (the type of installations should be clearly

specified here) installed on board ships on or after DDMMYYYY means:

(a) for ships for which the building contract is placed on or after
DDMMYYYY, or in the absence of the contract, the keels of which
are laid or which are at a similar stage of construction on or after
DDMMYYYY, all installations of the specified type on board those
ships; or

(b) for ships other than those specified in (a), all installations of
the specified type, having a contractual delivery date to the ship on
or after (DDMMYYYY + x) or, in the absence of a contractual
delivery date to the ship, actually delivered to the ship on or after
(DDMMYYYY + y)."

Notes:

.1 if an amendment is not applicable to all ships, then the general

application provisions of the instrument or its particular chapter
should be taken into account; and
.2 "x" and "y" are time frames to be decided based on consideration of
the specified type of installations to be installed;

.2 otherwise, the format given in section 4.2.1 should be used.

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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:

.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."

.3 Each chapter: each chapter, in regulations 1 or 2, provides application of that

chapter.

.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

.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, as revised):

in paragraph 4.26, some guidance on the application to new/existing ships is

provided.

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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 Committees' method of work, 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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ANNEX 1

EXAMPLE OF REGULATION 1

Regulation 1 should be expressed as:

"Regulation 1 – Application

1 Application (refer to section 4.1.1.4.1 – Application date of the chapter)

1.1 Unless expressly provided otherwise, this chapter shall apply to ships
constructed on or after [DDMMYYYY] (refer to paragraph 4.1.1.4.1)

2 Resolutions applicable to ships constructed before [DDMMYYYY] (refer to

paragraph 4.1.1.4.2)

Unless expressly provided otherwise, for ships constructed before [DDMMYYYY],

the Administration shall ensure that the requirements which are applicable under
chapter […] of the International Convention for Safety of Life at Sea, 1974, as
amended by resolutions MSC.[…] ([…]) (the resolution of the previous revision) are
complied with. (Note: this should be the previous comprehensive revision).

3 Additional or revised regulations applicable to ships constructed on or

after [DDMMYYYY] (refer to paragraph 4.1.2.1.3)

Regulation Application date Adopted by

II-2/1.2.4 first renewal survey on or after 1 January 2011 MSC.269(85)
II-2/4.5.2.3 on or after 1 July 2008 MSC.216(82)
II-2/5.3.4 first survey on or after 1 July 2008 MSC.216(82)

4 Requirements contained in this chapter that are applicable to ships

constructed before [DDMMYYYY] (refer to paragraph 4.1.1.4.3)

Regulation Application date Adopted by Applicable ship types

II-2/1.2.2 see paragraphs 2.2.1 MSC. 99(73) as applicable
to 2.2.4
II-2/4.5.7.1 1 January 2012 MSC. 291(87) in all tankers
II-2/15, heading, 1 July 2010 MSC.201(81) applicable to passenger
first sentence ships and cargo ships
from 500 GT with
building contract date
between 1 February 1992
and 1 July 1998

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ANNEX 2

CHECK/MONITORING SHEET FOR THE PROCESS OF AMENDING

THE CONVENTION AND RELATED MANDATORY INSTRUMENTS
(PROPOSAL/DEVELOPMENT)

Part I – Submitter of proposal (refer to paragraph 3.2.1.1)*

1 Submitted by (document number and submitter)
2 Meeting session
3 Date (date of submission)

Part II – Details of proposed amendment(s) or new mandatory instrument (refer to

paragraphs 3.2.1.1 and 3.2.1.2)8
1 Strategic direction

2 Title of the output

3 Recommended type of amendments (MSC.1/Circ.1481) (delete as appropriate)

• Four-year cycle of entry into force
• exceptional circumstance

4 Instruments intended for amendment (SOLAS, LSA Code, etc.) or developed

(new code, new version of a code, etc.)

5 Intended application (scope, size, type, tonnage/length restriction, service

(International/non-international), activity, etc.)

6 Application to new/existing ships

7 Proposed coordinating sub-committee

8 Anticipated supporting sub-committees

9 Time scale for completion

10 Expected date(s) for entry into force and implementation/application, taking into
account the assessment of capacity-building implications in accordance with annex 2 to
MSC-MEPC.1/Circ.5, as revised.

8
Parts I and II should be completed by the submitter of a proposed new amendment, to the fullest extent
possible.

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11 Any relevant decision taken or instruction given by the Committee

Part III – Process monitoring to be completed during the work process at the sub-committee
and checked as part of the final approval process by the Committee (refer to
paragraph 3.2.1.3)9

1 The sub-committee, at an initial engagement, has allocated sufficient time for

technical research and discussion before the target completion date, especially
on issues needing to be addressed by more than one sub-committee and
for which the timing of relevant sub-committees' meetings and exchanges of
the result of consideration needed to be carefully examined.
2 The scope of application agreed at the proposal stage was not changed
without the approval of the Committee.
3 The technical base document/draft amendment addresses the proposal's
issue(s) through the suggested instrument(s); where it does not,
the sub-committee offers the Committee an alternative method of addressing
the problem raised by the proposal.
4 Due attention has been paid to the Interim guidelines for the systematic
application of the grandfather clauses (MSC/Circ.765-MEPC/Circ.315).
5 All references have been examined against the text that will be valid if
the proposed amendment enters into force.
6 The location of the insertion or modified text is correct for the text that will be
valid when the proposed text enters into force on a four-year cycle of entry
into force, as other relevant amendments adopted might enter into force on
the same date.
7 There are no inconsistencies in respect of scope of application between
the technical regulation and the application statement contained in
regulation 1 or 2 of the relevant chapter, and application is specifically
addressed for existing and/or new ships, as necessary.
8 Where a new term has been introduced into a regulation and a clear definition
is necessary, the definition is given in the article of the Convention or at
the beginning of the chapter.
9 Where any of the terms "fitted", "provided", "installed" or "installation" are
used, consideration has been given to clarifying the intended meaning of
the term.

9
Part III should be completed by the drafting/working group that prepared the draft text using "yes", "no" or
"not applicable". For the draft amendments to be considered and finalized by sub-committees in plenary
within one session, the Secretariat may be requested, when necessary, to complete part III of
the check/monitoring sheet after the session, instead of establishing a specific working/drafting group.
"Minor corrections" (C/ES.27/D, paragraph 3.2(vi)) may be excluded from application of the provisions for
completion of the check/monitoring sheet.

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10 All necessary related and consequential amendments to other existing

instruments, including non-mandatory instruments, in particular to the forms
of certificates and records of equipment required in the instrument being
amended, have been examined and included as part of the proposed
amendment(s).
11 The forms of certificates and records of equipment have been harmonized,
where appropriate, between the Convention and its Protocols.
12 It is confirmed that the amendment is being made to a currently valid text and
that no other bodies are concurrently proposing changes to the same text.
13 All entry-into-force criteria (building contract, keel laying and delivery) have
been considered and addressed.
14 Other impacts of the implementation of the proposed/approved amendment
have been fully analysed, including consequential amendments to
the "application" and "definition" regulations of the chapter.
15 The amendments presented for adoption clearly indicate changes made with
respect to the original text, so as to facilitate their consideration.
16 For amendments to mandatory instruments, the relationship between
the Convention and the related instrument has been observed and
addressed, as appropriate.
17 The related record format and the checklist for the identification of capacity-
building implications (MSC-MEPC.1/Circ.5, as revised, annex 2, appendix 1)
together with the form for capacity-building measures (MSC-MEPC.1/Circ.5,
as revised, annex 2, appendix 2), have been completed or updated, as
appropriate.

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GUIDANCE NOTES FOR COMPLETING THE CHECK/MONITORING SHEET

Part I – Submitter of proposal

This part should be completed by the submitter of a proposed new amendment, to the fullest
extent possible.

The original proposal for amendment(s) should be sponsored by, at least, a Contracting
Government to the Convention. The Contracting Government (or in the case of a number of
Contracting Governments, a nominated lead Contracting Government) should complete part I.

Part II – Details of proposed amendment(s) or of the proposed new mandatory

instrument

This part should be completed by the submitter of a proposed new amendment, to the fullest
extent possible.

Details of the proposal should be complete and as detailed as possible. If the proposal is related
to a casualty, a full explanation of the factors involved or the safety analysis should be appended
to the proposal, especially, when the submitter considers a case of "exceptional circumstance",
as per MSC.1/Circ.1481. Consideration of the size of the affected fleet or number of affected
mariners, or both, should form part of the justification of the proposal.

Part III – Process monitoring to be completed during the work process at the sub-committee
and checked as part of the final approval process by the Committee

This part should be completed by the drafting/working group that prepared the draft text.
For the draft amendments to be considered and finalized by sub-committees in plenary within
one session, the Secretariat may be requested, when necessary, to complete part III of
the check/monitoring sheet after the session, instead of establishing a specific working/drafting
group. "Minor corrections" (C/ES.27/D, paragraph 3.2(vi)) may be excluded from application of
the provisions for completion of the check/monitoring sheet.

This checklist should be completed to the fullest extent possible at each stage of the regulatory
project process. Each time the regulatory project receives a set of terms of reference for
a correspondence, working or drafting group, the Chair or the Secretariat should review
the checklist with the group at the completion of that group's report.

Each process means:

• Initial engagement at the sub-committee (items 1 to 2)

• During the discussion at the sub-committee (items 3 to 6)

• Finalization stage at the sub-committee (items 7 to 16)

The concept is to create a tracking mechanism, by a complete synopsis record of the regulatory
process, to assure those delegations unable to participate in the work of working/drafting
groups due to personnel and/or time constraints that the strictures of the process method are
complied with in accordance with the dictates of the Committee.

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ANNEX 3

RECORD FORMAT

The following records should be created and kept updated for each regulatory development.10

The records can be completed by providing references to paragraphs of related documents

containing the relevant information, proposals, discussions and decisions.

1 Title (number and title of regulation(s))

2 Origin of the requirement (original proposal document)

3 Main reason for the development (extract from the proposal document)

4 Related output

5 History of the discussion (approval of work programmes, sessions of

sub-committees, including CG/DG/WG arrangements)

6 Impact on other instruments (codes, performance standards, guidance

circulars, certificates/records format, etc.)

7 Technical background
7.1 Scope and objective (to cross check with items 4 and 5 in part II of the checklist)

7.2 Technical/operational background and rationale (e.g. summary of FSA study,

if available, or engineering challenge posed)

7.3 Source/derivation of requirement (non-mandatory instrument, industry

standard, national/regional requirement)

7.4 Short summary of requirement (what is the new requirement – in short and lay
terms)

7.5 Points of discussions (controversial points and conclusion)

___________

10
For the draft amendments to be considered and finalized by sub-committees in plenary within one session,
the Secretariat may be requested, when necessary, to complete the records for regulatory development after
the session, instead of establishing a specific working/drafting group. "Minor corrections" (C/ES.27/D,
paragraph 3.2(vi)) may be excluded from application of the provisions for completion of the records for
regulatory development.

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