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. date
1 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 (date 1)" 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 or after the approval of the present Guidance
4.1.2.1 For amendments adopted between comprehensive
revisions or after the approval of the present guidance, 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, in
the format given in paragraph 4.2.1 below;
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.2 if an amendment revises a regulation, or part
of a regulation, the original part of the regulation which would continue
being applicable to ships constructed on or after the original application
date of the revised regulation 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), the chapter's application should include a list of
amended regulations 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 is also applicable
to ships constructed before the general application date of the chapter,
then that regulation 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
a 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
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 or amendments.
4.1.5
Relationships between
the Convention and related mandatory instruments
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 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 paragraphs 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 ISM,
the ESP or the 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.
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.
4.2.1
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 so as 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:
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.1 In case the three dates criteria is used, the
following should be the definition inserted:
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"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
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.3 the delivery of which is on or after (date
3)"
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Note: As guidance, 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:
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"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.
4.2.2.1 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.
4.2.3.1 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):
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.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
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.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:
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.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
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.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.x" should be used, where "X"
represents the number of the regulation and "x" 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:
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.1 within the amended text of the existing regulation;
or
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.2 using a dedicated separate paragraph within
the same regulation; or
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.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.
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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 of this guidance.
4.2.6.2 In instruments governing operational and
survey/audit elements (refer to paragraph 4.1.5.7):
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.1 where a single date of application is used
and not changed, it is not necessary to track the amendments; or
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.2 where a single date of application is not used
or a previous date of application is changed, then the format described
in paragraph 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
4.3.1 An example of regulation 1 is given in annex
1.