the International Journal Volume 15

on Marine Navigation Number 2

http://www.transnav.eu and Safety of Sea Transportation June 2021

DOI: 10.12716/1001.15.02.15

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.

1 INTRODUCTION maritime transport industry has also simultaneously

increased significantly and today more than fifty
The sea is, has been and will continue to be a thousand (50.000) merchant ships are trading
dangerous place to work; it is not a coincidence that internationally [10]. By considering this very high
throughout the course of human history, a quite number and different type of vessels that are crossing
extended number of maritime accidents are recorded the seas and oceans of our planet on a daily basis,
[2]. It is also necessary to note that shipping activities coordinated efforts such as a very expanded portfolio
have always been vital for the support of international of international regulations (that are all based
trade; quite often they have been termed as the on/utilize the approach of “standardization”) are
“obedient servants of globalization”. In any case, it is needed to ensure the necessary level of safety.
a rather self-explanatory fact that with the From the very beginning of its establishment, the
globalization phenomenon gaining momentum International Maritime Organization (IMO) has been
during the last couple of decades, the size of the

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consistently working to enhance the safety of vessels Convention was discussed. After that point, more
at sea by implementing measures through very conferences and new versions of the SOLAS
specific legal instruments. The IMO’s principal Convention were necessary to keep the safety
instrument with such focus is the International regulations of the maritime transport industry
Convention for the Safety of Life at Sea (SOLAS); with updated. The SOLAS Convention with its successive
the expected introduction of new technology versions has clearly become the most important of all
applications that can completely reshape the way the international treaties concerning the safety of
shipping industry operates, such as Maritime merchant vessels, but an expedite mechanism to put
Autonomous Surface Ships (MASS), further in force the regulations was necessary to make them
adaptations and changes in the scope of SOLAS mandatory to the increasing international merchant
should also be expected. fleet.
Initially, the SOLAS Convention was created as a In the year 1948, an international conference in
reaction towards the well-known Titanic disaster and Geneva adopted a Convention formally establishing
as a response to address passenger ships' risks, but IMCO (Inter-Governmental Maritime Consultative
today it has increased/expanded its scope widely to Organization, which changed the name to IMO in
become the most important instrument created by the 1982). The IMCO Convention entered into force in
IMO with 165 member States party to the Convention 1958, and the new Organization met for the first time
and a coverage of 99.04% of the gross tonnage of the the following year. Since its beginning, in 1959, the
world’s merchant fleet. Nowadays, SOLAS applies to Organization has applied every effort to protect
all passenger ships that carry of more than twelve (12) human life at sea. The Organization is also
passengers, as well as to all cargo ships with over five empowered to deal with administrative and legal
hundred (500) gross tonnage that are engaged on matters related to these purposes. IMO’s first task was
international voyages [5]. to adopt a new/updated version of SOLAS, the most
important of all treaties dealing with maritime safety;
Historically, the SOLAS Convention has five
this was achieved in 1960 [7].
versions: the first one (was attempted to be) adopted
in 1914, the second in 1929, the third one in 1948, the IMO has used the concept of continuous
fourth in 1960, and finally the last major revision took development and improvement, by keeping abreast to
place in 1974. Over these years, the IMO has most the advancements in technology to ensure that
often deployed a reactive approach by introducing the relevant measures that have been incorporated in this
necessary new regulations after the occurrence of an Convention mitigate pre-existing or newly identified
important accident that had attracted worldwide risks. Accordingly, significant revisions took place in
attention. On a positive note, lately there is a shift 1929, 1948, 1960 and 1974 that resulted into the
towards a preemptive approach within the IMO, by current International Convention for the Safety of Life
looking forward and identify relevant needs before a at Sea, 1974, as amended. The Convention proper
major disaster occurs. This latest version of SOLAS consist of thirteen (13) Articles. Its Annex consist of
also includes an extended number of Codes that fourteen (14) chapters which contain the applicable
provide the international standards required for the regulation to all facets of maritime safety. SOLAS 1974
elements mentioned in that particular chapter of the Convention, has also been amended twice in 1978,
convention. and 1988 via protocols. After that, the IMO with the
Maritime Safety Committee (MSC) and the work of
Following a path of continuous improvement, the
the concerned Subcommittees continuously keep up
wider regulatory framework under the auspices of the
to date the Convention with periodic amendments.
IMO has resulted in a safer, cleaner and more
Since 1981, SOLAS has received the impressive
sustainable shipping industry that is capable to
number of a hundred and seventy six (176)
effectively support the global economy needs. The
amendments; in addition, the 1978 SOLAS Protocol is
main purpose of this paper is to discuss the aforesaid
associated with four (4) amendments and the 1988
evolution in the IMO’s framework to enhance safety at
SOLAS Protocol with thirteen (13) amendments [8].
sea, facilitate its better understanding and especially
highlight the interrelating approach deployed via the Amendments in the Convention can be made via
numerous Conventions and Codes supporting this two (2) different procedures. The first one is after a
framework. Following this brief introductory section, formal consideration within IMO, proposed by
the evolution of SOLAS is briefly discussed next. The member states and adopted by a two-thirds majority
methodology to be used is a qualitative comparison of of those contracting Governments present and voting
the SOLAS different Chapters and the related Codes in the MSC committee; the second one is via a
that are influencing safety at sea. In order to provide a dedicated conference. The SOLAS 1974 version
structured summary, all SOLAS interrelations are includes a tacit acceptance procedure which allows
summarized in a table format. 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].
2 DISCUSSING THE DEVELOPMENT OF THE
SOLAS CONVENTION Recently (in year 2014) the MSC implemented a
four-year cycle for the entry into force of amendments
The sinking of the Titanic in 1912 was the starting to the 1974, SOLAS Convention on the notion to take a
point of the shipping industry’s international more proactive approach in making regulations after a
regulatory framework, as it is known today. The first period of time and revision of the existed ones, but
international conference on safety at sea met two always keeping in mind that exceptional
years later in 1914, and the first version of the SOLAS circumstances such a serious casualty can always

382
trigger the need of amendments or changes into an The adoption of a new Chapter –along with its
instrument. It is also necessary to highlight the associated Code- for the SOLAS Convention until
influence of the International Safety Management recently came via the previously mentioned “reactive”
Code (ISM) and the International Ship and Port approach, following an important incident or
Facility Security (ISPS) Code. These two specific accident, for example disasters like the Herald of the
instruments were introduced by the IMO under the Free Enterprise, the Estonia and the Doña Paz.
SOLAS Convention and have played an important Although with a slow pace, this approach allowed the
role in relation to improving the current global creation of regulations under SOLAS pertaining to
maritime safety and security regimes and both include damage and intact stability, as well as paved the way
a significant portfolio of risk mitigation measures. for the introduction of a safety management regime
through the International Safety Management Code
Nowadays, an extended number of technical
(ISM) Code in Chapter IX of SOLAS.
committees and subcommittees of the IMO continue
their work in creating mandatory international Table 1 is non-exhaustive; there are also other
standard regulations to manage safety risks within the Codes and Conventions that are equally important
shipping industry and while the world is in constant with regard to particular aspects of ship safety that are
change. As an example, a set of important not under a direct association with SOLAS
amendments to the SOLAS Convention were adopted Convention, such as:
by the 96th to 99th sessions of the MSC and entered − The International Regulations for Preventing
into force on 1 January 2020, addressing among Collisions at Sea Convention COLREG, 1972,
others: lifeboat maintenance (SOLAS regulations III/3 which deals with navigation procedures to avoid
and III/20), subdivision and damage stability (Chapter collisions at sea.
II/1), planning for evacuation on cruise ships, − The International Load Lines (LL)
expanding maritime satellite communications Convention,1966, which is interrelated to the topic
equipment providers, etc. of “seaworthiness” of ships.
− The International Convention on Tonnage
Before moving to a different direction, it is
Measurement of Ships, 1969, which deals with ship
necessary to note that during the 81st session of the
measurements for design, construction and
MSC, the process to be followed for developing the
operations.
regulatory framework for e-navigation was agreed, by
− The International Convention on Maritime Search
taking well into account the expected future
and Rescue (SAR), 1979, which puts forward a
technological advances in shipping. Very briefly, the
framework of preparatory measures to rescue
Correspondence Group on e-navigation of the
persons in distress at sea, no matter where an
Navigation, Communications and Search and Rescue
accident occurs.
(NCSR) sub-committee created a roadmap of the e-
navigation strategy implementation plan (SIP) in 2014. The majority of these Convention and Codes were
The FSA-derived SIP aims at reaching five specific e- created/introduced during the 60´s and 70´s, at a time
navigation solutions [6]. Once formulated and when the new tacit amendment procedure for the
incorporated into SOLAS amendments, these SOLAS Convention had not been established yet. For
solutions will improve safety of navigation further. example, the Tonnage Measurement Convention has
The topic of e-navigation also needs additional never been amended until now; probably, the main
consideration towards integration of systems by causes of this unfortunate situation are the absence of
factoring the so called “net-centric” functionality of the tacit amendment procedure and the reluctance of
modern digital equipment and systems towards certain stakeholders to open discussion on an issue
optimization of effective processing of high-quality that they consider as a “Pandora box” [2].
data and information, an issue that can further
On the other hand, it is true that the inclusion of
enhance situational awareness/safety of navigation [4].
associated Codes under the SOLAS Convention has
become a “legal facilitator tool” to quickly introduce
biding standard regulations globally which are
3 CODES ASSOCIATED WITH THE SOLAS necessary because of fast pace of changes in
CONVENTION technology (or, other external factors like climate
change and the opening up of polar regions for
The safety of maritime transportation and especially shipping operations). For example, with a very strong
passenger ships has been for many years one of the preemptive approach, the International Code for
main concerns of member States. The work of the IMO Ships Operating in Polar Waters (Polar Code) become
in this regard with the SOLAS convention have been mandatory under the SOLAS and MARPOL
significantly and very important. The visible result of Conventions by entering into force on 1 January 2017
this work is the high number of Codes associated and and covering the full range of risks and environmental
clearly interrelated with the SOLAS Convention. A protection measures in the waters surrounding the
Code should be viewed as an integral part of the two Poles.
Convention that provides the international standards
and additional details required for the topic/issue The Polar Code is affiliated with both the SOLAS
discussed are “introduced” via the particular chapter and MARPOL Conventions, imposing rather strict
of the Convention. For effectively summarizing all requirements for ships intended to sail in Polar
these, table 1 below provides the association of the waters, with the issue of a Polar Ship Certificate that
fourteen (14) Chapters within the SOLAS Convention, ensures that the ship and crew are taking into account
the safety issues and risks addressed by each one of the training requirements and the anticipated range of
them, as well as the additional Codes that are used to operating parameters and hazards the ship may
elaborate on an issue covered by a SOLAS Chapter. encounter in Polar Waters clearly standing out [3].

383
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 navigationInternational Code for Ships
operating in polar waters Operating in Polar Waters (the
Polar Code)
__________________________________________________________________________________________________

4 THE NEED OF NEW INTERNATIONAL in support of the conduct of navigation has been a
REGULATIONS mainstream issue within IMO; at the same time,
regulations and guidelines to increase the safety
As sea-going vessels were increasing in size and standards each time a new technology application
complexity, it also become obvious that coordinated appeared was also the main path of action.
efforts to ensure the safety at sea were needed [9]. The The shipping industry is moving fast towards a
on-going development of technology applications has digital world; initiatives like “e-navigation” and
indeed helped to make available better equipment “smart navigation” are now considered as the right
and systems both on ships and in ports. Technology tool towards the support/provision of vast quantities

384
of data and digital infrastructure for the benefit of organization for communication and co-ordination
maritime safety, while at the same time increasing the for the rescue of persons in distress at sea. All types
efficiency of maritime transport [6]. The E-navigation of ships -but mostly passenger ships, because of the
initiative started in 2005, aiming to increase the safety large number of people onboard in case of an
of navigation by modern technology in the fields of emergency- have benefited significantly from these
on-board navigation systems, shore side vessel traffic services over the course the time.
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. 5 FUTURE CHALLENGES FOR IMO REGARDING
THE SOLAS CONVENTION
As a rather self-explanatory example of the
necessity to increase regulations with the appearance
Cooperation is crucial for addressing new challenges;
and ongoing introduction of “more” and “new”
in the last few years, the IMO has been leading a
technologies that are supporting better the Safety of
Harmonization Group in Data Modelling (HGDM)
Navigation, table 2 below is summarizing all those
with other international organizations such as the
factors that have been addressed under Chapter V
World Meteorological Organization (WMO), the
(Safety of Navigation) of the SOLAS Convention:
International Hydrographic Organization (IHO), the
Furthermore, it is a well-known fact that safe and International Maritime Pilots Association (IMPA),
effective conduct of navigation is at the core of the and the International Association of Marine Aids to
seafaring profession; the safety of navigation (under Navigation and Lighthouse Authorities (IALA) in
all conditions) is also at the epicenter (and ultimate order to integrate and facilitate the development of
purpose) of the SOLAS Convention. There are sixteen (16) Maritime Services defined as Maritime
numerous technology applications that have been Services Portfolio (MSP). By integrating all these
introduced by IMO by using SOLAS as the main services into one single portfolio, the data for safety
facilitator: from the introduction of Radars and the of navigation will be available 24/7 for seafarers and
various Global Navigation Satellite Systems (GNSSs) external sources. Besides, these services will be
after the 80's, to the mandatory use of voice data delivered, responding directly to the specific needs of
recorder (VDR) nowadays, as well as the very each ship, increasing the safety of navigation
positive impact on the issue of situational awareness significantly all around the world with more
via the electronic chart display and information standardized, available, and accurate services.
system (ECDIS) and the automatic identification
Furthermore, the ongoing trend of digitalization
system (AIS).
and the issue of autonomy within the shipping
The use of all these advanced systems onboard industry are strongly affecting the current portfolio of
ships and in base-landed monitoring centers are regulations. The extensive use of artificial intelligence
regulated by the IMO and have helped to improve in ships should be expected in the future; certain
reliability, resilience, and integrity of bridge “optimization” tasks probably provide the best
equipment. Finally, it is clear that search and rescue indicative example. This issue should be
services are very critical when referring to the issue of appropriately regulated to determine who exactly is
safety of navigation; the IMO’s intensive work in this responsible for what, in case of a future accident.
specific domain has helped to develop a worldwide

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
__________________________________________________________________________________________________

385
 Automation is nothing new, but it can be viewed stakeholders involved in the maritime industry sector;
as a continuous process that is creating far reaching it is not only a responsibility of the Captain and crew,
implications for the maritime sector [10]. Automation but it is under the influence of IMO’s member States
can help to increase safety by taking advantage of the flag states, coastal states, port states and the respective
so called “smart positioning” technology applications port state control activities, ship-owners, etc. to name
or real-time dynamic positioning predictors or even just a few.
combine the previous with Artificial Intelligence
On a positive notion, the work of the IMO in
applications support in order to predict “behavior” of
relation to addressing the main risks involved in
nearby vessels to avoid collisions. However, a
shipping operations seem to be on-going and restless
question is still standing out: Will an “autonomous
over the course of time. And to make things even
system” be as safe as one system that is currently
better, nowadays, the support of member States and
operated by a human? Without a rigid regulatory
other relevant organizations is taking full effect.
framework in place, the answer is no. Therefore, new
However, new regulations and amendments should
regulations will be needed to ensure the safety of
be expected both in the near and mid-term future.
navigation in a common collaborative environment
Last, but not least, it is the issue of MASS that will
where “regular” manned and unmanned/autonomous
most probably have a quite disruptive effect in the
ships will be operating together. There is a follow up
current regulatory framework and intensive research
question that should be answered with future
efforts will be needed to evaluate and clearly describe
research: Changing and/or updating the various
all the necessary “adjustments” and “changes” that
chapters of the SOLAS Convention and certain
will ensure a safe operating environment for vessels at
existing instruments will be enough, or creating (from
sea.
scratch) a new specific Instrument and associated
Codes that will cover the issue of autonomous ships
should be considered?
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