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1 INTRODUCTION
The sea is, has been and will continue to be a
dangerous place to work; it is not a coincidence that
throughout the course of human history, a quite
extended number of maritime accidents are recorded
[2]. It is also necessary to note that shipping activities
have always been vital for the support of international
trade; quite often they have been termed as the
“obedient servants of globalization”. In any case, it is
a rather self-explanatory fact that with the
globalization phenomenon gaining momentum
during the last couple of decades, the size of the
maritime transport industry has also simultaneously
increased significantly and today more than fifty
thousand (50.000) merchant ships are trading
internationally [10]. By considering this very high
number and different type of vessels that are crossing
the seas and oceans of our planet on a daily basis,
coordinated efforts such as a very expanded portfolio
of international regulations (that are all based
on/utilize the approach of “standardization”) are
needed to ensure the necessary level of safety.
From the very beginning of its establishment, the
International Maritime Organization (IMO) has been
Understanding the Interrelation between the Safety
of Life at Sea Convention and Certain IMO’s Codes
D. Guevara & D. Dalaklis
World Maritime University, Malmö, Sweden
ABSTRACT: Over the last few decades, the International Maritime Organization (IMO) has very heavily utilized
the Safety of Life at Sea (SOLAS), 1974 Convention as the main legal instrument (and implementation tool)
concerning safety at sea for merchant vessels engaged in international trade. During this more than a century of
existence and continuous improvement of the Convention, wide-ranging safety risks have been addressed via
SOLAS and certain relevant “supporting” Codes, covering for example the issues of design, construction and
equipment of ships, as well as paving the way for the introduction of a structured framework of operational
procedures that ensures a high level of professional performance for the crew onboard those seagoing vessels
(the International Management Code for the Safe Operation of Ships and for Pollution Prevention-ISM Code)
and even including human factors topics. Until this point in time, the IMO has developed the SOLAS
Convention with fourteen (14) chapters that are covering all the main risks associated with shipping operations
and are working in parallel with other related Conventions and Codes to enhance the level of safety at sea,
under a holistic approach that is working under the principle of interrelation. This paper aims to briefly discuss
SOLAS’ history of development and highlight just a few of those important risks that this Convention is
addressing, with certain emphasis on the topic of safety of navigation”. Apart from helping to understand the
way this Convention and other IMO’s legal instruments are interrelated, it will also provide a few educated
guesses about the “upcoming” challenges that in the near future should also be included into the scope of the
SOLAS, with the topic of Maritime Autonomous Surface Ships (MAAS) clearly standing out.
http://www.transnav.eu
the International Journal
on Marine Navigation
and Safety of Sea Transportation
Volume 15
Number 2
June 2021
DOI: 10.12716/1001.15.02.15
382
consistently working to enhance the safety of vessels
at sea by implementing measures through very
specific legal instruments. The IMO’s principal
instrument with such focus is the International
Convention for the Safety of Life at Sea (SOLAS); with
the expected introduction of new technology
applications that can completely reshape the way the
shipping industry operates, such as Maritime
Autonomous Surface Ships (MASS), further
adaptations and changes in the scope of SOLAS
should also be expected.
Initially, the SOLAS Convention was created as a
reaction towards the well-known Titanic disaster and
as a response to address passenger ships' risks, but
today it has increased/expanded its scope widely to
become the most important instrument created by the
IMO with 165 member States party to the Convention
and a coverage of 99.04% of the gross tonnage of the
world’s merchant fleet. Nowadays, SOLAS applies to
all passenger ships that carry of more than twelve (12)
passengers, as well as to all cargo ships with over five
hundred (500) gross tonnage that are engaged on
international voyages [5].
Historically, the SOLAS Convention has five
versions: the first one (was attempted to be) adopted
in 1914, the second in 1929, the third one in 1948, the
fourth in 1960, and finally the last major revision took
place in 1974. Over these years, the IMO has most
often deployed a reactive approach by introducing the
necessary new regulations after the occurrence of an
important accident that had attracted worldwide
attention. On a positive note, lately there is a shift
towards a preemptive approach within the IMO, by
looking forward and identify relevant needs before a
major disaster occurs. This latest version of SOLAS
also includes an extended number of Codes that
provide the international standards required for the
elements mentioned in that particular chapter of the
convention.
Following a path of continuous improvement, the
wider regulatory framework under the auspices of the
IMO has resulted in a safer, cleaner and more
sustainable shipping industry that is capable to
effectively support the global economy needs. The
main purpose of this paper is to discuss the aforesaid
evolution in the IMO’s framework to enhance safety at
sea, facilitate its better understanding and especially
highlight the interrelating approach deployed via the
numerous Conventions and Codes supporting this
framework. Following this brief introductory section,
the evolution of SOLAS is briefly discussed next. The
methodology to be used is a qualitative comparison of
the SOLAS different Chapters and the related Codes
that are influencing safety at sea. In order to provide a
structured summary, all SOLAS interrelations are
summarized in a table format.
2 DISCUSSING THE DEVELOPMENT OF THE
SOLAS CONVENTION
The sinking of the Titanic in 1912 was the starting
point of the shipping industry’s international
regulatory framework, as it is known today. The first
international conference on safety at sea met two
years later in 1914, and the first version of the SOLAS
Convention was discussed. After that point, more
conferences and new versions of the SOLAS
Convention were necessary to keep the safety
regulations of the maritime transport industry
updated. The SOLAS Convention with its successive
versions has clearly become the most important of all
international treaties concerning the safety of
merchant vessels, but an expedite mechanism to put
in force the regulations was necessary to make them
mandatory to the increasing international merchant
fleet.
In the year 1948, an international conference in
Geneva adopted a Convention formally establishing
IMCO (Inter-Governmental Maritime Consultative
Organization, which changed the name to IMO in
1982). The IMCO Convention entered into force in
1958, and the new Organization met for the first time
the following year. Since its beginning, in 1959, the
Organization has applied every effort to protect
human life at sea. The Organization is also
empowered to deal with administrative and legal
matters related to these purposes. IMO’s first task was
to adopt a new/updated version of SOLAS, the most
important of all treaties dealing with maritime safety;
this was achieved in 1960 [7].
IMO has used the concept of continuous
development and improvement, by keeping abreast to
the advancements in technology to ensure that
relevant measures that have been incorporated in this
Convention mitigate pre-existing or newly identified
risks. Accordingly, significant revisions took place in
1929, 1948, 1960 and 1974 that resulted into the
current International Convention for the Safety of Life
at Sea, 1974, as amended. The Convention proper
consist of thirteen (13) Articles. Its Annex consist of
fourteen (14) chapters which contain the applicable
regulation to all facets of maritime safety. SOLAS 1974
Convention, has also been amended twice in 1978,
and 1988 via protocols. After that, the IMO with the
Maritime Safety Committee (MSC) and the work of
the concerned Subcommittees continuously keep up
to date the Convention with periodic amendments.
Since 1981, SOLAS has received the impressive
number of a hundred and seventy six (176)
amendments; in addition, the 1978 SOLAS Protocol is
associated with four (4) amendments and the 1988
SOLAS Protocol with thirteen (13) amendments [8].
Amendments in the Convention can be made via
two (2) different procedures. The first one is after a
formal consideration within IMO, proposed by
member states and adopted by a two-thirds majority
of those contracting Governments present and voting
in the MSC committee; the second one is via a
dedicated conference. The SOLAS 1974 version
includes a tacit acceptance procedure which allows
that an amendment shall enter into force on a
specified date unless, before that date, objections to
the amendment are received from an agreed number
of Parties [9].
Recently (in year 2014) the MSC implemented a
four-year cycle for the entry into force of amendments
to the 1974, SOLAS Convention on the notion to take a
more proactive approach in making regulations after a
period of time and revision of the existed ones, but
always keeping in mind that exceptional
circumstances such a serious casualty can always
383
trigger the need of amendments or changes into an
instrument. It is also necessary to highlight the
influence of the International Safety Management
Code (ISM) and the International Ship and Port
Facility Security (ISPS) Code. These two specific
instruments were introduced by the IMO under the
SOLAS Convention and have played an important
role in relation to improving the current global
maritime safety and security regimes and both include
a significant portfolio of risk mitigation measures.
Nowadays, an extended number of technical
committees and subcommittees of the IMO continue
their work in creating mandatory international
standard regulations to manage safety risks within the
shipping industry and while the world is in constant
change. As an example, a set of important
amendments to the SOLAS Convention were adopted
by the 96th to 99th sessions of the MSC and entered
into force on 1 January 2020, addressing among
others: lifeboat maintenance (SOLAS regulations III/3
and III/20), subdivision and damage stability (Chapter
II/1), planning for evacuation on cruise ships,
expanding maritime satellite communications
equipment providers, etc.
Before moving to a different direction, it is
necessary to note that during the 81st session of the
MSC, the process to be followed for developing the
regulatory framework for e-navigation was agreed, by
taking well into account the expected future
technological advances in shipping. Very briefly, the
Correspondence Group on e-navigation of the
Navigation, Communications and Search and Rescue
(NCSR) sub-committee created a roadmap of the e-
navigation strategy implementation plan (SIP) in 2014.
The FSA-derived SIP aims at reaching five specific e-
navigation solutions [6]. Once formulated and
incorporated into SOLAS amendments, these
solutions will improve safety of navigation further.
The topic of e-navigation also needs additional
consideration towards integration of systems by
factoring the so called “net-centric” functionality of
modern digital equipment and systems towards
optimization of effective processing of high-quality
data and information, an issue that can further
enhance situational awareness/safety of navigation [4].
3 CODES ASSOCIATED WITH THE SOLAS
CONVENTION
The safety of maritime transportation and especially
passenger ships has been for many years one of the
main concerns of member States. The work of the IMO
in this regard with the SOLAS convention have been
significantly and very important. The visible result of
this work is the high number of Codes associated and
clearly interrelated with the SOLAS Convention. A
Code should be viewed as an integral part of the
Convention that provides the international standards
and additional details required for the topic/issue
discussed are “introduced” via the particular chapter
of the Convention. For effectively summarizing all
these, table 1 below provides the association of the
fourteen (14) Chapters within the SOLAS Convention,
the safety issues and risks addressed by each one of
them, as well as the additional Codes that are used to
elaborate on an issue covered by a SOLAS Chapter.
The adoption of a new Chapter along with its
associated Code- for the SOLAS Convention until
recently came via the previously mentioned “reactive”
approach, following an important incident or
accident, for example disasters like the Herald of the
Free Enterprise, the Estonia and the Doña Paz.
Although with a slow pace, this approach allowed the
creation of regulations under SOLAS pertaining to
damage and intact stability, as well as paved the way
for the introduction of a safety management regime
through the International Safety Management Code
(ISM) Code in Chapter IX of SOLAS.
Table 1 is non-exhaustive; there are also other
Codes and Conventions that are equally important
with regard to particular aspects of ship safety that are
not under a direct association with SOLAS
Convention, such as:
The International Regulations for Preventing
Collisions at Sea Convention COLREG, 1972,
which deals with navigation procedures to avoid
collisions at sea.
The International Load Lines (LL)
Convention,1966, which is interrelated to the topic
of “seaworthiness” of ships.
The International Convention on Tonnage
Measurement of Ships, 1969, which deals with ship
measurements for design, construction and
operations.
The International Convention on Maritime Search
and Rescue (SAR), 1979, which puts forward a
framework of preparatory measures to rescue
persons in distress at sea, no matter where an
accident occurs.
The majority of these Convention and Codes were
created/introduced during the 60´s and 70´s, at a time
when the new tacit amendment procedure for the
SOLAS Convention had not been established yet. For
example, the Tonnage Measurement Convention has
never been amended until now; probably, the main
causes of this unfortunate situation are the absence of
the tacit amendment procedure and the reluctance of
certain stakeholders to open discussion on an issue
that they consider as a “Pandora box” [2].
On the other hand, it is true that the inclusion of
associated Codes under the SOLAS Convention has
become a “legal facilitator tool” to quickly introduce
biding standard regulations globally which are
necessary because of fast pace of changes in
technology (or, other external factors like climate
change and the opening up of polar regions for
shipping operations). For example, with a very strong
preemptive approach, the International Code for
Ships Operating in Polar Waters (Polar Code) become
mandatory under the SOLAS and MARPOL
Conventions by entering into force on 1 January 2017
and covering the full range of risks and environmental
protection measures in the waters surrounding the
two Poles.
The Polar Code is affiliated with both the SOLAS
and MARPOL Conventions, imposing rather strict
requirements for ships intended to sail in Polar
waters, with the issue of a Polar Ship Certificate that
ensures that the ship and crew are taking into account
the training requirements and the anticipated range of
operating parameters and hazards the ship may
encounter in Polar Waters clearly standing out [3].
384
Table 1. Safety Issues & Risks Addressed by the SOLAS Convention. (Created by the authors)
__________________________________________________________________________________________________
SOLAS Chapter Safety Issues & Risks Addressed Additional Codes
__________________________________________________________________________________________________
I Surveys in relation to different types of ships
General Provisions Control of ships in ports
II-1
Construction-subdivision Subdivision of ships in watertight compartments
and stability, machinery Watertight integrity and bilge pumping arrangements
and electrical installations Stability requirements
Machinery and electrical installations requirements
Steering gear requirements
II-2
Fire protection, fire Fire safety provisions for all ships and specific provisions for International Fire Safety Systems
detection, and fire passenger ships, cargo ships, and tankers. Code (FSS)
extinction
III
Life-saving appliances and Requirements for lifeboats, rescue boats, life jackets according Life-Saving Appliance (LSA)
Arrangements to the type of ship Code
IV
Radio-communications GMDSS equipment
Radiocommunication services ashore
Radiocommunication equipment's onboard
V
Safety of navigation Navigation safety services
Maintenance of meteorological services for ships, ice patrol
service, routing of ships, search and rescue services.
Mandatory use of VDRs and AIS
VI
Carriage of cargoes Requirements for stowage and securing of cargo or cargo International Grain Code
units (except liquids and gases in bulk)
VII
Carriage of dangerous Regulations for the carriage of dangerous goods in packaged International Maritime
goods form. Dangerous Goods (IMDG) Code
Construction and equipment of ships carrying dangerous International Bulk Chemical
liquid chemicals in bulk Code (IBC Code)
Construction and equipment of ships carrying liquefied gases International Gas Carrier Code)
in bulk and gas carriers IGC Code)
VIII
Nuclear ships Requirements for nuclear-powered ships and radiation Code of Safety for Nuclear
hazards Merchant Ships
IX
Management for the safe Safety Management Systems on board. International Safety
operation of ships Management (ISM) Code
X
Safety measures for Requirements for safety of the high-speed craft International Code of Safety for
high-speed craft High-Speed Craft (HSC Code)
XI-1
Special measures to Authorization of recognized organizations. Maritime Casualty Investigation
enhance maritime safety Obligations to investigate maritime casualties. Code
Port State control operational requirements
XI-2
Special measures to International ship and port facilities and requirements for International Ship and Port
enhance maritime security security. Facilities Security Code (ISPS
Code)
XII
Additional safety measures Structural requirements for bulk carriers
for bulk carriers
XIII
Verification of compliance IMO's Member State Audit Scheme
XIV
Safety measures for ships Measures for ships engaged in polar navigation International Code for Ships
operating in polar waters Operating in Polar Waters (the
Polar Code)
__________________________________________________________________________________________________
4 THE NEED OF NEW INTERNATIONAL
REGULATIONS
As sea-going vessels were increasing in size and
complexity, it also become obvious that coordinated
efforts to ensure the safety at sea were needed [9]. The
on-going development of technology applications has
indeed helped to make available better equipment
and systems both on ships and in ports. Technology
in support of the conduct of navigation has been a
mainstream issue within IMO; at the same time,
regulations and guidelines to increase the safety
standards each time a new technology application
appeared was also the main path of action.
The shipping industry is moving fast towards a
digital world; initiatives like “e-navigation” and
“smart navigation” are now considered as the right
tool towards the support/provision of vast quantities
385
of data and digital infrastructure for the benefit of
maritime safety, while at the same time increasing the
efficiency of maritime transport [6]. The E-navigation
initiative started in 2005, aiming to increase the safety
of navigation by modern technology in the fields of
on-board navigation systems, shore side vessel traffic
information management and communications
infrastructure applied for SOLAS ships [1]. Smart
navigation, on the other hand, is a Korean project that
includes both non-SOLAS and SOLAS ships.
As a rather self-explanatory example of the
necessity to increase regulations with the appearance
and ongoing introduction of “more” and “new”
technologies that are supporting better the Safety of
Navigation, table 2 below is summarizing all those
factors that have been addressed under Chapter V
(Safety of Navigation) of the SOLAS Convention:
Furthermore, it is a well-known fact that safe and
effective conduct of navigation is at the core of the
seafaring profession; the safety of navigation (under
all conditions) is also at the epicenter (and ultimate
purpose) of the SOLAS Convention. There are
numerous technology applications that have been
introduced by IMO by using SOLAS as the main
facilitator: from the introduction of Radars and the
various Global Navigation Satellite Systems (GNSSs)
after the 80's, to the mandatory use of voice data
recorder (VDR) nowadays, as well as the very
positive impact on the issue of situational awareness
via the electronic chart display and information
system (ECDIS) and the automatic identification
system (AIS).
The use of all these advanced systems onboard
ships and in base-landed monitoring centers are
regulated by the IMO and have helped to improve
reliability, resilience, and integrity of bridge
equipment. Finally, it is clear that search and rescue
services are very critical when referring to the issue of
safety of navigation; the IMO’s intensive work in this
specific domain has helped to develop a worldwide
organization for communication and co-ordination
for the rescue of persons in distress at sea. All types
of ships -but mostly passenger ships, because of the
large number of people onboard in case of an
emergency- have benefited significantly from these
services over the course the time.
5 FUTURE CHALLENGES FOR IMO REGARDING
THE SOLAS CONVENTION
Cooperation is crucial for addressing new challenges;
in the last few years, the IMO has been leading a
Harmonization Group in Data Modelling (HGDM)
with other international organizations such as the
World Meteorological Organization (WMO), the
International Hydrographic Organization (IHO), the
International Maritime Pilots Association (IMPA),
and the International Association of Marine Aids to
Navigation and Lighthouse Authorities (IALA) in
order to integrate and facilitate the development of
sixteen (16) Maritime Services defined as Maritime
Services Portfolio (MSP). By integrating all these
services into one single portfolio, the data for safety
of navigation will be available 24/7 for seafarers and
external sources. Besides, these services will be
delivered, responding directly to the specific needs of
each ship, increasing the safety of navigation
significantly all around the world with more
standardized, available, and accurate services.
Furthermore, the ongoing trend of digitalization
and the issue of autonomy within the shipping
industry are strongly affecting the current portfolio of
regulations. The extensive use of artificial intelligence
in ships should be expected in the future; certain
“optimization” tasks probably provide the best
indicative example. This issue should be
appropriately regulated to determine who exactly is
responsible for what, in case of a future accident.
Table 2. Factors addressed under Chapter V (Safety of Navigation) of the SOLAS Convention. (Source: [9])
__________________________________________________________________________________________________
SOLAS Regulation Short Title Factor addressed
__________________________________________________________________________________________________
Chapter V Reg 4 & 5 Navigational, Meteorological Early warning of risks of weather and navigation
services and Warnings
Chapter V Reg 7 Search and Rescue Safety of life in case of rescue of persons in distress at sea
or coast
Chapter V Reg 9 Hydrographic services Charts and publications updated to avoid navigation
incidents
Chapter V Reg 10 & 11 Ship´s routing and reporting Safety of life at sea, safety and efficiency of navigation,
systems protection of marine environment
Chapter V Reg 12 & 13 Vessel Traffic Services Ship traffic management and collision avoidance
Aids to Navigation
Chapter V Reg 14 Ship Manning Safe Manning (Human Factor)
Chapter V Reg 15 Principles related to ship design, Ergonomics of bridge design
equipment and procedures
Chapter V Reg 15 Maintenance of navigational Planned Maintenance System (PMS), also addressed in the
equipment ISM Code
Chapter V Reg 19 Carriage requirements of Mandatory Navigational equipment list
navigational equipment
Chapter V Reg 19-1 Long-range identification and Locating remotely the position of ships
tracking of ships
Chapter V Reg 19 Voyage Data Recorders “Black box” to access data recorded from various bridge
equipment for incident investigation
Chapter V Reg 33 Distress situations: obligations Master obligation to provide assistance in distress situation
and procedures
__________________________________________________________________________________________________
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Automation is nothing new, but it can be viewed
as a continuous process that is creating far reaching
implications for the maritime sector [10]. Automation
can help to increase safety by taking advantage of the
so called “smart positioning” technology applications
or real-time dynamic positioning predictors or even
combine the previous with Artificial Intelligence
applications support in order to predict behavior” of
nearby vessels to avoid collisions. However, a
question is still standing out: Will an autonomous
system” be as safe as one system that is currently
operated by a human? Without a rigid regulatory
framework in place, the answer is no. Therefore, new
regulations will be needed to ensure the safety of
navigation in a common collaborative environment
where “regular” manned and unmanned/autonomous
ships will be operating together. There is a follow up
question that should be answered with future
research: Changing and/or updating the various
chapters of the SOLAS Convention and certain
existing instruments will be enough, or creating (from
scratch) a new specific Instrument and associated
Codes that will cover the issue of autonomous ships
should be considered?
6 CONCLUSIONS
The SOLAS Convention, which has its origin a couple
of decades before the IMO’s establishment itself is a
constantly evolving legislation. This adaptive
approach of this specific legal instrument has
contributed towards ensuring the safety of life at sea
and at the same time facilitate the Organization to
“uphold its leadership role as the global regulator of
shipping, promote greater recognition of the sector's
importance and enable the advancement of shipping,
whilst addressing the challenges of continued
developments in technology and world trade; and the
need to meet the 2030 Agenda for Sustainable
Development”.
During this more than a century of existence and
continuous improvement of the SOLAS Convention,
wide-ranging safety risks have been addressed via
this specific Instrument, working in unison with
certain relevant Codes, with the International
Management Code for the Safe Operation of Ships
and for Pollution Prevention (ISM Code) clearly
standing out. It is obvious that the regulatory
framework that IMO has created over the course of
time and implemented via a rigorous approach plays
today a very crucial role in the effective functioning of
the maritime industry by determining the numerous
safety requirements and providing the necessary
operational guidelines and standardization
framework.
It is clear that the SOLAS Convention holds a
pivotal role for maritime safety by helping to decrease
accidents and/or loss of lives at sea. It is also true that
risks associated with the conduct of shipping
operations will never disappear, but bringing those
risks under control via appropriate mitigation
measures can have a really positive impact. After all,
IMO is a forum of collaboration and ensuring the
safety of hips is a complex process that depends on all
stakeholders involved in the maritime industry sector;
it is not only a responsibility of the Captain and crew,
but it is under the influence of IMO’s member States
flag states, coastal states, port states and the respective
port state control activities, ship-owners, etc. to name
just a few.
On a positive notion, the work of the IMO in
relation to addressing the main risks involved in
shipping operations seem to be on-going and restless
over the course of time. And to make things even
better, nowadays, the support of member States and
other relevant organizations is taking full effect.
However, new regulations and amendments should
be expected both in the near and mid-term future.
Last, but not least, it is the issue of MASS that will
most probably have a quite disruptive effect in the
current regulatory framework and intensive research
efforts will be needed to evaluate and clearly describe
all the necessary “adjustments” and “changes” that
will ensure a safe operating environment for vessels at
sea.
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