4 Work Planning and Delivery Process
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Statutory Documents - IMO Publications and Documents - Circulars - Maritime Safety Committee-Marine Environment Protection Committee Circulars - MSC-MEPC.1 Circulars - MSC-MEPC.1/Circular.4/Rev.4 – Guidelines on the Organization and Method of Work of the Maritime Safety Committee and the Marine Environment Protection Committee and their Subsidiary Bodies – (10 June 2015) - Annex – Guidelines on the Organization and Method of Work of the Maritime Safety Committee and the Marine Environment Protection Committee and their Subsidiary Bodies - 4 Work Planning and Delivery Process

4 Work Planning and Delivery Process

Planned outputs

4.1 The Committees should identify, in a timely manner, the products to be included as planned outputs in the High-level Action Plan for the coming biennium, and the Secretariat should develop its business plan, as such identification provides a basis for making an estimate of the budget required for that biennium.

4.2 In the process of formulating a proposal for planned outputs for inclusion in the High-level Action Plan, due account should be taken, inter alia, of:

  • .1 planned outputs the delivery of which has been postponed from a prior biennium;

  • .2 final outputs that may need to be produced following the delivery of related interim outputs in a prior biennium;

  • .3 any specific requirement to review the effectiveness of planned outputs delivered in a prior biennium;

  • .4 accepted outputs on the post-biennial agendas; and

  • .5 new planned outputs.

Proposals for new planned outputs should comply with the provisions of paragraph 4.8.

4.3 Decisions on the inclusion of planned outputs in the High-level Action Plan for the coming biennium should be guided by the strategic directions and high-level actions established in the Strategic Plan and the High-level Action Plan, and should take due account of:

  • .1 the anticipated workload of the Committees and their subsidiary bodies in delivering the output;

  • .2 the demonstrated urgency to deliver the output;

  • .3 the personnel and budgetary resources available; and

  • .4 the potential adverse impact that a decision on whether or not to include an output may have on the ability of the Organization to meet its objectives.

4.4 Such planned outputs may be revised during the biennium by the Committees, taking into account the provisions of paragraph 4.3, if subsequently endorsed by the Council.

4.5 An overview of the Organization's strategic planning process and its steering and reporting flows are shown in diagrams 1 and 2 contained in annex 1 to the Guidelines on the application of the Strategic Plan and the High-level Action Plan of the Organization (resolution A.1062(28)).

Unplanned outputs

General

4.6 During the course of a biennium, the Committees may receive proposals for unplanned outputs within their domains. The Committees, in determining inclusion of unplanned outputs, should at all times be guided by the strategic directions and high-level actions established in the Strategic Plan and the High-level Action Plan, as shown in diagram 3 contained in annex 1 to the Guidelines on the application of the Strategic Plan and the High-level Action Plan of the Organization (resolution A.1062(28)), and should, in particular, take due account of:

  • .1 the potential impact that inclusion of an unplanned output may have on the timely delivery of outputs planned in the current High-level Action Plan;

  • .2 the potential impact that inclusion of an unplanned output may have on the workload of the Committees and the subsidiary bodies involved;

  • .3 the personnel and budgetary resources available; and

  • .4 the potential adverse impact that a decision on whether or not to accept a proposal for inclusion of an unplanned output may have on the ability of the Organization to meet its objectives.footnote

4.7 The Committees may receive the results of a Formal Safety Assessment (FSA) study carried out in accordance with the Revised guidelines for Formal Safety Assessment (FSA) for use in the IMO rule-making process (FSA Guidelines) (MSC-MEPC.2/Circ.12/Rev.1). The criteria in paragraphs 4.6.1 through 4.6.4 also apply to the outcome of an FSA study that may be regarded by the Committee as a proposal for an unplanned output.

Submission of proposals for unplanned outputs

4.8 To enable the Committees to carry out a proper assessment of proposals for inclusion of unplanned outputs, submissions containing such proposals should, at a minimum, contain the information, including demonstration and documentation, set out in annex 1 (see also annex 5).

4.9 Member Governments should refrain from submitting to the Committee(s) proposals for unplanned outputs under specific agenda items. The Secretariat should not accept such submissions and should advise the submitting Administrations accordingly.

4.10 Proposals for the inclusion of unplanned outputs should never be submitted to a subsidiary body. A subsidiary body should not undertake work on unplanned outputs or expand the scope of planned outputs unless directed or authorized to do so by the Committees.

4.11 Proposals for the inclusion of unplanned outputs submitted to Committees by non-governmental organizations should be co-sponsored by Member Governments. Notwithstanding the above, such organizations should not be restrained from submitting comments and recommendations on outputs for the provisional agenda of any Committees or subsidiary bodies, thus providing expert advice, contributing to discussion and enabling optimal decisions to be reached by the organs concerned.

4.12 Follow-up action in response to specific requests for action emanating from the Assembly and diplomatic conferences convened by IMO, or from United Nations conferences and bodies, regional intergovernmental conferences and other international and intergovernmental organizations, etc. should be evaluated in the light of paragraph 4.3 of these guidelines, unless they are specifically identified as, and demonstrated to be, urgent matters.

Preliminary assessment by the Committees' Chairmen of proposals for unplanned outputs

4.13 In order to facilitate consideration of proposals for inclusion of unplanned outputs by the Committees, the Chairman of the Committee concerned should undertake a preliminary assessmentfootnote of such proposals. The Chairman should, for that purpose, be supported by the Vice-Chairman and the Secretariat and should consult the Chairman of any subsidiary body concerned.

4.14 The outcome of the preliminary assessment should be submitted to the Committee for consideration and approval, and should include the Chairman's appraisal of:

  • .1 whether the proposal complies with the requirements for the submission of proposals for unplanned outputs, as specified in paragraph 4.8;

  • .2 whether the proposal complies with the criteria specified in paragraph 4.15;

  • .3 whether the demonstrated urgency of the proposal requires its inclusion in the biennial agenda; and, if so,

  • .4 to what extent the general criteria specified in paragraph 4.6 should be taken into account.

Assessment of proposals for unplanned outputs

4.15 Before deciding to include an unplanned output in its biennial agenda, the Committee concerned should carry out a comprehensive and thorough assessment of such proposals. The assessment should at least include a test against the following criteria:

  • .1 Is the subject addressed by the proposal considered to be within the scope of IMO objectives and the Strategic Plan for the Organization?

  • .2 Does the proposal contribute to the high-level actions established in the High-level Action Plan?

  • .3 Does the proposal involve the exercise of functions conferred upon the Committees by or under any international convention or related instrument?

  • .4 Has a need – or, in the case of proposals calling for new conventions or amendments to existing conventions, a compelling need – for the measure been demonstrated and documented?

  • .5 Has an analysis been provided that demonstrates and documents the practicality, feasibility and proportionality of the proposed measure?

  • .6 Has the analysis of the issue sufficiently addressed the cost to the maritime industry as well as the relevant legislative and administrative burdens?footnote

  • .7 Do the benefits in terms of enhanced maritime safety, maritime security or protection of the marine environment that are expected to be derived from the inclusion of the proposed unplanned output justify such action?

  • .8 Do adequate industry standards exist or are they being developed, thereby reducing the need for action within IMO?

  • .9 Has the intended output been properly specified in SMART terms (specific, measurable, achievable, realistic, time-bound)?

  • .10 Does the completed checklist contained in MSC-MEPC.7/Circ.1 demonstrate that the human element has been sufficiently addressed?

  • .11 Does the proposal properly demonstrate the urgency of the action proposed, and does it plausibly demonstrate why the unplanned output should be included in the biennial agenda?

  • .12 Would a decision not to accept the proposal pose an unreasonable risk to the Organization's overall objectives?

4.16 Nothing in these guidelines should prohibit the Committees from taking immediate action on urgent matters if the risk of not acting will adversely affect the Organization's ability to meet its objectives.footnote

4.17 Paragraph 4.14 above is also applicable to the outcome of an FSA study. Annex 6 provides guidance for considering and reviewing the outcome of FSA studies.

Acceptance and inclusion of unplanned outputs in the biennial or post-biennial agendas of the Committees

4.18 Based on its assessment in accordance with paragraph 4.15 and having taken due account of the Chairman's appraisal of the proposal in accordance with paragraphs 4.13 and 4.14, the Committee may decide:

  • .1 to include the proposed unplanned output, together with a target date for completion, in its biennial agenda, if and after it has been satisfied that the implications for the present workload and planning may be considered acceptable; or

  • .2 to include the proposed unplanned output, together with the timescale for completion, in its post-biennial agenda, if the implications for the present workload and planning are considered to be unacceptable; or

  • .3 on concluding that the proposal is not within the scope of the current Strategic Plan and should, therefore, not be accepted for inclusion, to invite the proponent(s) to submit the proposal to the Council, together with a substantiated proposal for adjustment of the Strategic Plan.

4.19 Upon a decision to include a proposed unplanned output in its post-biennial agenda, the Committee should include the accepted output and the timescale for completion in its proposals for the High-level Action Plan of the next biennium.

4.20 In order to maintain a balance between effective control and the need for flexibility in addressing emerging trends, developments and challenges within the Organization's mandate, any decision to include unplanned outputs in the current High-level Action Plan should be endorsed by the Council (see also paragraph 4.21).

4.21 The Committees should report on their decisions on proposals for inclusion of unplanned outputs in their regular reports to the Council, for its endorsement and in order to facilitate Council monitoring of delivery of the current biennial agendas and the planning of future work.

4.22 In pursuance of resolution A.998(25) on Need for capacity building for the development and implementation of new, and amendments to existing, instruments, the Committees should assess the implications for capacity building and technical cooperation and assistance, initiated on acceptance of a proposal for an unplanned output concerning new, or amendments to existing, mandatory instruments, against the criteria for identification of capacity-building implications, set out in annex 2.

Acceptance and inclusion of unplanned outputs in the biennial agenda of subsidiary bodies

4.23 Upon consideration of a proposal for inclusion of an unplanned output in the biennial agenda of a subsidiary body and based on the assessment in accordance with paragraph 4.15, and having taken due account of the Chairman's appraisal of the proposal in accordance with paragraphs 4.13 and 4.14, the Committee may decide:

  • .1 to agree, in principle, with the proposal and its inclusion in the biennial agenda, and to leave the detailed consideration of the technical aspects of the proposal and the development of appropriate requirements and/or recommendations to the subsidiary body or other bodies concerned; or

  • .2 to agree, in principle, with the proposal, but request the subsidiary body or other bodies concerned to consider the proportionality and feasibility of the proposal on a preliminary basis, and to advise the parent organ as to whether, in its opinion, the unplanned output should or should not be included in the subsidiary body's biennial agenda; or

  • .3 to agree, in principle, with the proposal, but request the subsidiary body or other bodies concerned to prepare a comprehensive plan of work in accordance with paragraph 4.26, and to advise the Committee on efficient organization of the work to be undertaken.

4.24 A decision by a Committee to include an unplanned output in the biennial agenda of a subsidiary body should include clear and detailed instructions for the work to be undertaken by, and the final output expected from, the subsidiary body or bodies concerned, preferably by establishing the terms of reference under which such work should be undertaken. Such instructions or terms of reference should also specify the output expected at the end of the current biennium.

4.25 In deciding to include an unplanned output in the biennial agenda of more than one subsidiary body, the Committee should:

  • .1 designate the subsidiary body that is to coordinate the work so as to avoid duplication, maintain consistency in the standards being developed and ensure effective communication between the subsidiary bodies concerned;

  • .2 ensure that the coordinating subsidiary body can complete the work by the date decided;

  • .3 ensure that only those subsidiary bodies essential for the completion of the work will be involved, in order to avoid superfluous work and documentation; and

  • .4 ensure that the work is included in the biennial agendas of all the subsidiary bodies concerned.

4.26 For unplanned outputs involving more than one subsidiary body and for which extensive work is required, such as the revision of conventions or the preparation of codes, the Chairman of the coordinating subsidiary body, in consultation with the Chairmen of the other subsidiary bodies involved and with the support of the Secretariat, may be invited to prepare a comprehensive and coherent plan of work in order to advise the Committee on efficient organization of the work to be undertaken.

Additional considerations

4.27 The High-level Action Plan may specify certain IMO activities that are dictated by the need to take action on specific areas of maritime safety, maritime security, environmental protection and maritime law, irrespective of any order of priority.

4.28 Submissions to the Committees or subsidiary bodies highlighting problems or shortcomings identified in a particular area(s) of maritime safety, maritime security or protection of the marine environment should, in general and where possible, also suggest appropriate solutions.

4.29 When new constructional requirements have been proposed for new ships, the Committees and subsidiary bodies should, in order to minimize the unavoidable gaps in safety standards between new and existing ships, consider applying the proposed new requirements, or any modifications to them, to existing ships using the Interim guidelines for the systematic application of the grandfather clauses (MSC/Circ.765-MEPC/Circ.315).

4.30 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 for the work of the Maritime Safety Committee, the Marine Environment Protection Committee and their subsidiary bodies (MSC/Circ.763-MEPC/Circ.313), particularly when:

  • .1 reviewing the adequacy of requirements and recommendations for equipment and operating manuals on board ships, including the simplification and standardization of terminology; in this respect, when developing new or amending existing performance standards, careful consideration should be given to including recommendations on:

    • .1 user-friendliness;

    • .2 safety of use of the equipment;

    • .3 harmonization of essential safety features of the equipment; and

    • .4 the need for clear, easily understandable and updated operating and technical manuals and drawings;

  • .2 reviewing the adequacy of requirements and recommendations for operational guidelines on board ships, in particular with respect to their being easily understandable;

  • .3 continuing the simplification and standardization of symbols and signs used on board ships; and

  • .4 identifying words and phrases used in IMO instruments such as "adequate", "sufficient", "to the satisfaction of the Administration", etc. and determining the extent to which they can be more specifically defined.

4.31 Planned or unplanned outputs for which extensive work is required, such as the preparation of codes, should, when appropriate, be placed on the provisional agendas of alternate sessions of the bodies concerned to allow adequate time for preparatory work by delegations.

4.32 In respect of subjects requiring research, contributions from other organizations and appropriate entities should be encouraged and taken into account. Exchange of information on technological development should be encouraged.

4.33 In the context of resolution A.911(22) on Uniform wording for referencing IMO instruments, subsidiary bodies should be guided in their work, as appropriate, by the guidelines annexed thereto.

4.34 Substantial modifications of draft amendments to mandatory instruments being considered by the Committees with a view to adoption should be accepted for discussion only if they have been submitted in writing. However, in exceptional circumstances, where the draft amendments under consideration include significant discrepancies or omissions, or where serious difficulties in their application can be foreseen, the Committees may accept to discuss oral proposals aimed at resolving any problems identified.

Management, control and reporting

4.35 In implementing the High-level Action Plan, proper management and control mechanisms should ensure that:

  • .1 biennial agendas and agendas are both clearly linked to the Strategic Plan and the High-level Action Plan;

  • .2 the competing demands of the Strategic Plan and the High-level Action Plan can be prioritized within the resource constraints of the Organization and its membership;

  • .3 the Organization's response to changes in the environment within which it operates is consistent with the Strategic Plan and the High-level Action Plan; and

  • .4 monitoring and reporting are such that progress on biennial agendas is explicitly linked to progress on the production of planned outputs.

4.36 In order to provide a transparent link between the Strategic Plan and the Organization's work, the following principles should be applied:

  • .1 the planned outputs included in the High-level Action Plan should explicitly form the basis of the biennial work of the Committees and their subsidiary bodies, taking into account the budget of the Organization;

  • .2 the planned outputs contained in the agendas and biennial agendas of the Committees and their subsidiary bodies should all be included in the High-level Action Plan;

  • .3 the biennial agendas of the Committees and their subsidiary bodies should follow format 1 set out in annex 3;

  • .4 for outputs with a target completion date beyond the current biennium, the High-level Action Plan should specify the planned interim output at the end of the biennium;

  • .5 target completion dates in the biennial agenda format in annex 3 (format 1) should specify the year of planned completion within the current biennium, or be specified as "annual" for tasks that are to be completed on an annual basis;

  • .6 continuous outputs are discouraged but in those cases where they are deemed inevitable, efforts should be made to specify their expected interim outputs at the end of the current biennium; and

  • .7 documents submitted to Committees and subsidiary bodies should clearly demonstrate the direct relation between the proposals that they contain and the planned output to be accomplished under the relevant agenda item, on the basis of the High-level Action Plan.

4.37 Reports on the status of planned outputs included in the High-level Action Plan should follow the format set out in annex 3, format 1, and should constitute or be annexed to the reports of each session of the subsidiary bodiesfootnote and the Committees, and the biennial report of the Council to the Assembly. Such reports should separately identify unplanned outputs accepted for inclusion in the biennial agendas.

4.38 In preparing their own reports, the Committees and subsidiary bodies should incorporate all reports on the status of planned outputs which they have received since their previous report.

4.39 The Committees should establish and maintain post-biennial agendas which should follow format 2 set out in annex 3. These should be annexed to the reports of each session. For planning purposes, the subsidiary bodies should also maintain a list of the accepted outputs in the Committees' post-biennial agendas for outputs under their purview.

Responsibilities

4.40 The Committees, subsidiary bodies and the Secretariat should ensure consistency and discipline in the administrative management of the planning and reporting cycle.

4.41 The Chairmen, Vice-Chairmen and Secretaries of the Committees and subsidiary bodies have a specific responsibility for the effective management of the planning and reporting cycle and for consistent and rigorous application of these guidelines and the Guidelines on the application of the Strategic Plan and the High-level Action Plan of the Organization.

4.42 In order to fulfil the function in paragraph 4.41, well-established cooperation and coordination is expected between the Chairmen, Vice-Chairmen and Secretaries of the Committees and subsidiary bodies by all available means, including face-to-face meetings and teleconferences, as deemed necessary.

Parent topic: Annex – Guidelines on the Organization and Method of Work of the Maritime Safety Committee and the Marine Environment Protection Committee and their Subsidiary Bodies
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