New IMO SOLAS II-1/3-13 Rules: Mandatory Lifting Appliances & Winch Testing Guide
SOLAS 2026 • Cargo Gear • Shipboard Engineering Compliance
New IMO SOLAS II-1/3-13 Rules: Mandatory Lifting Appliances & Winch Testing Guide
A practical guide to the 2026 requirements for shipboard lifting appliances, loose gear and anchor-handling winches, including safe working load, tests, annual examinations, registers, certificates, Indian DGMA implementation and common compliance scams.
At first glance, a ship’s crane can look like a familiar piece of machinery: a boom, a wire, a hook and a control station. Yet every lift is a moving engineering problem. The vessel may be rolling. The load may swing. Wind can change. The wire may be damaged inside a drum. A shackle may have the right appearance but no reliable proof-test record. A winch can still run while its brake, foundation or control system is no longer safe.
That is the reason the International Maritime Organization introduced SOLAS regulation II-1/3-13. The regulation, which entered into force on 1 January 2026, creates a more consistent international framework for the application, design, construction, installation, operation, inspection, testing and maintenance of onboard lifting appliances and anchor-handling winches.
For shipowners, technical managers, Masters, Chief Engineers, deck officers, crane operators and surveyors, the practical message is simple: equipment must have a clear safe working load, an appropriate technical basis, reliable examination and testing records, and a documented plan for keeping it safe throughout its service life.
What does SOLAS II-1/3-13 cover?
The regulation applies to lifting appliances, anchor-handling winches and loose gear used with those appliances and winches, unless a specific exclusion or Administration decision applies. A lifting appliance can include equipment used for cargo loading, transfer or discharge, stores handling, engine-room work, hose handling, tender-boat operations or personnel handling.
An anchor-handling winch is not simply any deck winch. Under the IMO amendment, it means a winch used to deploy, recover or reposition anchors and mooring lines in subsea operations. Loose gear is equipment used to attach a load to a lifting appliance or winch but which is not integral to the appliance or the load. Examples may include shackles, hooks, swivels, slings, spreader arrangements or other detachable load-connection items, depending on the equipment configuration.
Lifting appliances
Ship cranes, stores cranes, hose-handling cranes, engine-room cranes, cargo-handling equipment and similar lifting equipment within the scope.
Anchor-handling winches
Winches used for deploying, recovering or repositioning anchors and mooring lines during subsea operations.
Loose gear
Detachable equipment that connects the load to a lifting appliance or winch and requires reliable proof-test and examination evidence.
Safe working load
The documented load limit that must be permanently marked or otherwise evidenced according to the applicable requirements.
What is excluded?
The amendment does not apply in the same way to every lifting device on every ship. The IMO resolution excludes lifting appliances on Mobile Offshore Drilling Units, lifting appliances on offshore construction ships that comply with standards acceptable to the Administration, integrated mechanical equipment used to open and close hold hatch covers, and life-saving launching appliances that comply with the International Life-Saving Appliance Code.
These exclusions should not be read as permission to ignore safety. An excluded appliance may still be governed by another SOLAS chapter, the LSA Code, flag-State rules, class requirements, occupational-safety law, the ship’s SMS or the manufacturer’s instructions. The correct question is not “Is this item excluded from II-1/3-13?” but “Which applicable safety standard governs this item, and can the ship prove compliance?”
The IMO regulation also allows the Administration to determine the extent to which some design and transitional provisions apply to lifting appliances with a safe working load below 1,000 kg. India’s Merchant Shipping Notice No. 02 of 2026 explains that appliances below 1,000 kg still require risk assessment, SMS inspection and maintenance procedures, permanent SWL marking and documentary SWL evidence, even where paragraphs 2.1 and 2.4 do not apply.
New lifting appliances installed from 1 January 2026
A lifting appliance installed on or after 1 January 2026 must have a recognised technical foundation. Under the SOLAS amendment, it must be designed, constructed and installed according to the requirements of a classification society recognised by the Administration or according to acceptable equivalent standards that provide an equivalent level of safety.
The appliance must also be load tested and thoroughly examined after installation and before it is used for the first time. The same principle applies after repairs, modifications or alterations of a major character. Major work is not limited to replacing a complete crane. The Indian notice identifies work that changes the safe working load, affects strength, stability or service life, affects primary load-bearing structure, or changes functionality in a way that may affect strength, safety or structural integrity.
The safe working load must be permanently marked and supported by documentary evidence. A painted number that cannot be linked to a certificate, design drawing or approved record is not a strong compliance system. The operator should be able to identify the appliance, its configuration and the permitted load before beginning the lift.
Existing equipment and the first renewal survey
Existing lifting appliances installed before 1 January 2026 do not disappear from the regulation. The IMO amendment requires them to be tested and thoroughly examined, based on the applicable IMO guidelines, no later than the first renewal survey on or after 1 January 2026. Existing anchor-handling winches follow the same broad transitional timing.
This is why a company should not wait for a surveyor to discover missing information. Older ships may have equipment whose original manufacturer no longer exists, whose design file is incomplete or whose SWL is written on a plate but not supported by a reliable record. The technical manager should begin by identifying every appliance and loose-gear item, matching it to available certificates and assessing what additional evidence is required.
Where design information is unavailable for older non-certified equipment, DGMA’s notice describes a process under which the company can nominate an SWL subject to the satisfaction of the vessel’s Recognized Organization. That is not a shortcut to inventing a safe load. The proposed value must be supported by assessment, testing and the acceptance of the responsible technical authority.
Testing, thorough examination and inspection
Testing and examination are related but not identical. A load test challenges the appliance or gear against a specified test load under an approved procedure. A thorough examination is a detailed assessment by a competent person to identify defects, deterioration, deformation, wear, corrosion, cracks, damaged components, poor condition or other factors that could make the equipment unsafe.
All lifting appliances and anchor-handling winches, regardless of installation date, and all relevant loose gear must be operationally tested, thoroughly examined, inspected, operated and maintained in accordance with the IMO guidelines and applicable Administration requirements.
For Indian-flag vessels, Merchant Shipping Notice No. 02 of 2026 states that lifting appliances should be retested at least once every five years. It also states that lifting appliances and loose gear should undergo thorough examination after completion of each load or proof test and annually. Cargo ships are examined by a competent person to the satisfaction of the vessel’s RO, while passenger-ship arrangements involve the jurisdictional MMD as described in the notice.
| Activity | When it matters | What should be retained |
|---|---|---|
| Load test | After installation and before first use; after major repair, modification or alteration; and at the applicable periodic interval. | Test load, configuration, date, equipment identity, result, competent-person details and RO/MMD acceptance where applicable. |
| Proof test for loose gear | Before use as required by the approved system, and again after major repair or modification. | Gear identity, proof load, certificate, test date, condition and traceability to the register. |
| Thorough examination | After each load or proof test and annually under the Indian implementation notice. | Detailed condition report, defects, limitations, examiner authentication and corrective action. |
| Operational test | During planned use, maintenance and inspection according to the equipment and SMS. | Function checks for controls, brakes, alarms, limit devices and other applicable systems. |
| Register update | Whenever equipment is added, modified, tested, examined, restricted or removed from service. | Current equipment list, SWL, certificates, examinations, defects, repairs and status. |
Safe working load: the number that controls the lift
Safe working load, commonly abbreviated SWL, is not a suggestion. It is the permitted load for the appliance or gear in the stated configuration. The capacity may change with boom angle, outreach, radius, rope arrangement, lifting mode, sea state, dynamic load, personnel-handling use or the use of a particular attachment.
A crane marked with one impressive maximum number may have lower permitted values at different radii. A shackle may have a different working limit from the crane hook. A sling may be affected by angle and method of connection. A spreader may have its own certificate and configuration restrictions. The lifting plan must consider the complete load path, not only the largest number printed on the crane.
Before a lift, the responsible officer should confirm the load weight, centre of gravity, attachment points, gear capacity, crane configuration, weather, deck strength, vessel movement, personnel exclusion zone and communication system. If the load weight or gear identity is uncertain, stop and resolve the uncertainty before lifting.
Anchor-handling winches: special considerations
Anchor-handling winches operate in demanding conditions. They may experience high line tension, dynamic loading, shock loads, sudden changes in direction and difficult visibility. An ordinary “the motor runs” check is not enough to demonstrate that the system is safe for subsea anchor operations.
The IMO framework points to dedicated guidelines for anchor-handling winches. DGMA’s notice refers to considerations including speed control, tension control, overload alarms and monitoring, control stations, spooling devices, emergency release and associated anchor-handling equipment. The commissioning test for a new winch should follow the manufacturer’s instructions, the recognised RO or class requirements and the applicable IMO guidance.
Operational planning should also account for the condition of the wire or line, drum spooling, brake performance, emergency controls, communications, snap-back zones and the position of personnel. A certificate does not make it safe for a crew member to stand in a bight or inside a line-of-fire area.
The shipboard compliance register
A register of ship’s lifting appliances and cargo-handling gear gives the vessel one reliable source of truth. It should allow the Master, Chief Engineer, technical manager, RO or surveyor to identify an item and see its current status without searching through disconnected emails and old folders.
The register can be paper-based or electronic if it contains the required information, remains legible and is properly authenticated. DGMA’s notice states that records may be documented in a convenient form provided that the necessary information is included and authenticated by a competent person. A digital system is useful, but “digital” does not automatically mean “compliant.”
Equipment identity
Unique equipment number, location, type, manufacturer, model and serial number where available.
Capacity evidence
SWL, operating configuration, load chart, permanent marking and supporting design or manufacturer information.
Test history
Load or proof tests, dates, test loads, configuration, results and acceptance by the appropriate authority.
Examination history
Annual examinations, defects, restrictions, repairs, close-out evidence and examiner authentication.
When equipment is unsafe or inoperative
A failed crane, winch or loose-gear item must not quietly remain available for use. If a thorough examination finds that the equipment is unsafe or does not comply with the applicable Administration requirements, DGMA’s notice says it should be taken out of service until the deficiency is corrected to the satisfaction of the RO or MMD.
The appliance should be clearly marked “not to be used,” and the status should be recorded in the lifting-appliance register. Controls should prevent another watch or contractor from assuming that a familiar crane is available. A lockout, tag, SMS entry and toolbox briefing may all be appropriate depending on the failure.
The SOLAS amendment recognises that an inoperative appliance does not automatically make a ship unseaworthy or require a delay in port if the Master has taken it into account in planning and executing a safe voyage. That provision does not permit normal operations to continue as if nothing happened. The Master and company must assess the impact, restrict the operation, arrange repair and plan safely.
Practical shipboard action plan for 2026
List every crane, hoist, stores appliance, engine-room crane, hose-handling appliance, personnel-handling crane, anchor-handling winch and associated loose-gear item within the applicable scope.
Record why each item is covered, excluded or governed by another code. Include the Administration’s position for equipment below 1,000 kg.
Compare permanent markings, load charts, design data, certificates, operating manuals and register entries. Escalate any conflict before use.
Separate equipment installed on or after 1 January 2026 from older equipment and identify the first renewal survey deadline for existing items.
Coordinate with the Recognized Organization, class, MMD or competent person as applicable. A generic contractor certificate may not satisfy the responsible authority.
Prepare a method statement, exclusion zone, communications plan, weather limit, test load, recovery plan and emergency response before the test begins.
Do not file a certificate while leaving an identified unsafe condition open. Mark restrictions, correct defects and update the register.
Testing costs: what owners should budget for
There is no single global price for SOLAS II-1/3-13 compliance. The cost depends on the number and type of appliances, SWL, test location, access, test weights or water bags, specialist inspection, non-destructive testing, wire-rope condition, class or RO attendance, travel, repairs and documentation.
Older equipment can be more expensive because missing drawings or certificates may require engineering assessment, nominated SWL review, additional examination or replacement of obsolete components. Anchor-handling winches may require more complex dynamic or functional testing than a small stores crane. Loose gear may need individual identification, proof testing and traceability.
Ask the service provider for a written quotation that separates testing, thorough examination, class or RO attendance, travel, test weights, NDT, repairs, certificates and re-testing. Never choose the lowest price without checking whether the offer includes the authority whose acceptance is required.
Common SOLAS lifting-appliance scams
- “Class certificate not required”: a generic inspection certificate may not meet the Administration or RO’s acceptance requirements.
- Remote certificate without testing: no reputable process should issue a load-test result without inspecting the equipment and test evidence.
- Fake 2026 deadline: a caller demands immediate payment to avoid detention without identifying the applicable survey, notice or authority.
- One certificate for all loose gear: gear must remain traceable by identity, capacity and proof-test evidence.
- Unverified “IMO licence”: IMO does not sell a private universal lifting-appliance licence through messaging apps.
- Digital-register marketing: software does not cure missing examinations, unclear SWL or unauthorised certificates.
Verify the company through the flag administration, RO, class society or recognised technical authority. Request the scope of accreditation, competent-person credentials, test method, calibrated equipment details, insurance and sample certificate. For Indian-flag ships, compare the offer with DGMA Merchant Shipping Notice No. 02 of 2026 and the vessel’s RO instructions.
Frequently asked questions
When did SOLAS II-1/3-13 become mandatory?
The new SOLAS regulation entered into force on 1 January 2026.
Does it apply to every crane on every ship?
It applies to lifting appliances, anchor-handling winches and associated loose gear within its scope, subject to stated exclusions and Administration decisions, including the treatment of certain appliances below 1,000 kg.
What happens to an old crane installed before 2026?
It must be tested and thoroughly examined, and comply with applicable SWL marking and documentary requirements, no later than the first renewal survey on or after 1 January 2026.
How often is a lifting appliance retested?
For Indian-flag implementation, DGMA Notice No. 02 of 2026 states that lifting appliances should be retested at least once every five years. Annual thorough examination and examination after each load or proof test are also described.
Is an annual inspection the same as a five-year load test?
No. The annual thorough examination and periodic load test are different activities. The exact scope and authority should be confirmed with the vessel’s RO, MMD, flag administration and applicable IMO guidelines.
What is loose gear?
Loose gear is equipment used to attach a load to a lifting appliance or anchor-handling winch but not forming an integral part of the appliance or load. It requires identification and reliable proof-test or examination evidence.
Do cranes below 1,000 kg need any control?
Yes. Even where specific paragraphs do not apply, DGMA says owners should assess the risk, include inspection and maintenance in the SMS, permanently mark the appliance and keep documentary SWL evidence.
Final SOLAS II-1/3-13 checklist
- Inventory all in-scope lifting appliances, anchor-handling winches and loose gear.
- Record the applicable exclusion or Administration decision for each item.
- Confirm permanent SWL markings and supporting documentary evidence.
- Separate new installations from equipment installed before 1 January 2026.
- Identify the first renewal survey on or after 1 January 2026 for existing equipment.
- Arrange load tests, proof tests and thorough examinations with the correct authority.
- Plan annual examinations and the five-year retest stated in the Indian notice.
- Maintain a legible, authenticated onboard lifting-appliance register.
- Mark unsafe equipment “not to be used” and control its status in the SMS.
- Keep test reports, certificates, defect records, repair evidence and RO/MMD acceptance together.
SOLAS II-1/3-13 is not merely a paperwork amendment. It is an attempt to make the full lifting system visible: the appliance, its structure, the hook, the wire, the shackle, the operator, the load, the test, the examination and the decision to stop work when something is wrong.
The safest ship is not the one with the most impressive crane certificate. It is the one where the crew can identify the correct SWL, the company knows when the next examination is due, the loose gear is traceable, the register is current and nobody is pressured to lift an uncertain load. Preparation before the survey is useful, but disciplined lifting practice after the survey is what keeps people alive.
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