Chapter I

Standards Regarding General Provisions

General Introduction & Resolution
PART A: TOC | Intro | Ch 1 | Ch 2 | Ch 3 | Ch 4 | Ch 5 | Ch 6 | Ch 7 | Ch 8
PART B: TOC | Intro | Ch 1 | Ch 2 | Ch 3 | Ch 4 | Ch 5 | Ch 6 | Ch 7 | Ch 8

Section A-I/1

Definitions and clarifications

1 The definitions and clarifications contained in article II and regulation I/1 apply equally to the terms used in parts A and B of this Code. In addition, the following supplementary definitions apply only to this Code:

.1 "Standard of competence" means the level of proficiency to be achieved for the proper performance of functions on board ship in accordance with the internationally agreed criteria as set forth herein and incorporating prescribed standards or levels of knowledge, understanding and demonstrated skill;

.2 "Management level" means the level of responsibility associated with:

.2.1 serving as master, chief mate, chief engineer officer or second engineer officer on board a seagoing ship, and

.2.2 ensuring that all functions within the designated area of responsibility are properly performed;

.3 "Operational level" means the level of responsibility associated with:

.3.1 serving as officer in charge of a navigational or engineering watch or as designated duty engineer for periodically unmanned machinery spaces or as radio operator on board a seagoing ship, and

.3.2 maintaining direct control over the performance of all functions within the designated area of responsibility in accordance with proper procedures and under the direction of an individual serving in the management level for that area of responsibility;

.4 "Support level" means the level of responsibility associated with performing assigned tasks, duties or responsibilities on board a seagoing ship under the direction of an individual serving in the operational or management level;

.5 "Evaluation criteria" are the entries appearing in column 4 of the "Specifications of Minimum Standards of Competence" tables in part A and provide the means for an assessor to judge whether or not a candidate can perform the related tasks, duties and responsibilities; and

.6 "Independent evaluation" means an evaluation by suitably qualified persons, independent of, or external to, the unit or activity being evaluated, to verify that the administrative and operational procedures at all levels are managed, organized, undertaken and monitored internally in order to ensure their fitness for purpose and achievement of stated objectives.

Section A-I/2    (back to top)

Certificates and endorsements

1 Where, as provided in regulation I/2, paragraph 4, the endorsement required by article VI of the Convention is incorporated in the wording of the certificate itself, the certificate shall be issued in the format shown hereunder, provided that the words "or until the date of expiry of any extension of the validity of this certificate as may be shown overleaf "appearing on the front of the form and the provisions for recording extension of the validity appearing on the back of the form shall be omitted where the certificate is required to be replaced upon its expiry. Guidance on completion of the form is contained in section B-I/2 of this Code.

(Official Seal)

(COUNTRY)

CERTIFICATE ISSUED UNDER THE PROVISIONS OF THE INTERNATIONAL CONVENTION ON STANDARDS OF TRAINING, CERTIFICATION AND WATCHKEEPING FOR SEAFARERS, 1978, AS AMENDED IN 1995

The Government of ....................................... certifies that...................................................................... has been found duly qualified in accordance with the provisions of regulation ................... of the above Convention, as amended, and has been found competent to perform the following functions, at the levels specified, subject to any limitations indicated until ................ or until the date of expiry of any extension of the validity of this certificate as may be shown overleaf:

The lawful holder of this certificate may serve in the following capacity or capacities specified in the applicable safe manning requirements of the Administration:

Certificate No. ....................................... issued on ......................................................

The original of this certificate must be kept available in accordance with regulation I/2, paragraph 9 of the Convention while serving on a ship.

Date of birth of the holder of the certificate ....................................

Signature of the holder of the certificate .........................................

Photograph of the holder of the certificate

2 Except as provided in paragraph 1, the form used to attest the issue of a certificate shall be as shown hereunder, provided that the words "or until the date of expiry of any extension of the validity of this endorsement as may be shown overleaf" appearing on the front of the form and the provisions for recording extension of the validity appearing on the back of the form shall be omitted where the endorsement is required to be replaced upon its expiry. Guidance on completion of the form is contained in section B-I/2 of this Code.

(Official Seal)

(COUNTRY)

ENDORSEMENT ATTESTING THE ISSUE OF A CERTIFICATE UNDER THE PROVISIONS OF THE INTERNATIONAL CONVENTION ON STANDARDS OF TRAINING, CERTIFICATION AND WATCHKEEPING FOR SEAFARERS, 1978, AS AMENDED IN 1995

The Government of ................................... certifies that certificate No. ........................... has been issued to .................................................................................................... who has been found duly qualified in accordance with the provisions of regulation .................... of the above Convention, as amended, and has been found competent to perform the following functions, at the levels specified, subject to any limitations indicated until .............................. or until the date of expiry of any extension of the validity of this endorsement as may be shown overleaf:

The lawful holder of this certificate may serve in the following capacity or capacities specified in the applicable safe manning requirements of the Administration:

Endorsement No. ............................. issued on .................................

The original of this endorsement must be kept available in accordance with regulation I/2, paragraph 9 of the Convention while serving on a ship.

Date of birth of the holder of the certificate ....................................

Signature of the holder of the certificate .........................................

Photograph of the holder of the certificate

3 The form used to attest the recognition of a certificate shall be as shown hereunder, except that the words "or until the date of expiry of any extension of the validity of this endorsement as may be shown overleaf" appearing on the front of the form and the provisions for recording extension of the validity appearing on the back of the form shall be omitted where the endorsement is required to be replaced upon its expiry. Guidance on completion of the form is contained in section B-I/2 of this Code.

(Official Seal)

(COUNTRY)

ENDORSEMENT ATTESTING THE ISSUE OF A CERTIFICATE UNDER THE PROVISIONS OF THE INTERNATIONAL CONVENTION ON STANDARDS OF TRAINING, CERTIFICATION AND WATCHKEEPING FOR SEAFARERS, 1978, AS AMENDED IN 1995

The Government of .................................. certifies that Certificate No. .................... issued to ................................... by or on behalf of the Government of ................................................. is duly recognized in accordance with the provisions of regulation [I/10] of the above Convention, as amended, and the lawful holder is authorized to perform the following functions at the levels specified, subject to any limitations indicated until .................................... or until the date of expiry of any extension of the validity of this endorsement as may be shown overleaf:

The lawful holder of this certificate may serve in the following capacity or capacities specified in the applicable safe manning requirements of the Administration:

Endorsement No. ............................. issued on .................................

The original of this endorsement must be kept available in accordance with regulation I/2, paragraph 9 of the Convention while serving on a ship.

Date of birth of the holder of the certificate ....................................

Signature of the holder of the certificate .........................................

Photograph of the holder of the certificate

4 In using formats which may be different from those set forth in this section, pursuant to regulation I/2, paragraph 8, Parties shall ensure that in all cases:

.1 all information relating to the identity and personal description of the holder, including name, date of birth, photograph and signature, along with the date on which the document was issued, shall be displayed on the same side of the documents; and

.2 all information relating to the capacity or capacities in which the holder is entitled to serve, in accordance with the applicable safe manning requirements of the Administration, as well as any limitations, shall be prominently displayed and easily identified.

Section A-I/3    (back to top)

Principles governing near-coastal voyages

(No provisions)

Section A-I/4    (back to top)

Control procedures

1 The assessment procedure provided for in regulation I/4, paragraph 1.3, resulting from any of the occurrences mentioned therein shall take the form of a verification that members of the crew who are required to be competent do in fact possess the necessary skills related to the occurrence.

2 It shall be borne in mind when making this assessment that on-board procedures are relevant to the International Safety Management (ISM) Code and that the provisions of this Convention are confined to the competence to safely execute those procedures.

3 Control procedures under this Convention shall be confined to the standards of competence of the individual seafarers on board and their skills related to watchkeeping as defined in part A of this Code. On-board assessment of competency shall commence with verification of the certificates of the seafarers.

4 Notwithstanding verification of the certificate, the assessment under regulation I/4, paragraph 1.3 can require the seafarer to demonstrate the related competency at the place of duty. Such demonstration may include verification that operational requirements in respect of watchkeeping standards have been met and that there is a proper response to emergency situations within the seafarer's level of competence.

5 In the assessment, only the methods for demonstrating competence together with the criteria for its evaluation and the scope of the standards given in part A of this Code shall be used.

Section A-I/5    (back to top)

National provisions

The provisions of regulation I/5 shall not be interpreted as preventing the allocation of tasks for training under supervision or in cases of force majeure.

Section A-I/6    (back to top)

Training and assessment

1 Each Party shall ensure that all training and assessment of seafarers for certification under the Convention is:

.1 structured in accordance with written programmes, including such methods and media of delivery, procedures, and course material as are necessary to achieve the prescribed standard of competence; and

.2 conducted, monitored, evaluated and supported by persons qualified in accordance with paragraphs 4, 5 and 6.

2 Persons conducting in-service training or assessment on board ship shall only do so when such training or assessment will not adversely affect the normal operation of the ship and they can dedicate their time and attention to training or assessment.

Qualifications of instructors, supervisors and assessors*

3 Each Party shall ensure that instructors, supervisors and assessors are appropriately qualified for the particular types and levels of training or assessment of competence of seafarers either on board or ashore, as required under the Convention, in accordance with the provisions of this section.

In-service training

4 Any person conducting in-service training of a seafarer, either on board or ashore, which is intended to be used in qualifying for certification under the Convention, shall:

.1 have an appreciation of the training programme and an understanding of the specific training objectives for the particular type of training being conducted;

.2 be qualified in the task for which training is being conducted; and

.3 if conducting training using a simulator:

.3.1 have received appropriate guidance in instructional techniques involving the use of simulators, and

.3.2 have gained practical operational experience on the particular type of simulator being used.

5 Any person responsible for the supervision of in-service training of a seafarer intended to be used in qualifying for certification under the Convention shall have a full understanding of the training programme and the specific objectives for each type of training being conducted.

Assessment of competence

6 Any person conducting in-service assessment of competence of a seafarer, either on board or ashore, which is intended to be used in qualifying for certification under the Convention, shall:

.1 have an appropriate level of knowledge and understanding of the competence to be assessed;

.2 be qualified in the task for which the assessment is being made;

.3 have received appropriate guidance in assessment methods and practice;

.4 have gained practical assessment experience; and

.5 if conducting assessment involving the use of simulators, have gained practical assessment experience on the particular type of simulator under the supervision and to the satisfaction of an experienced assessor.

Training and assessment within an institution

7 Each Party which recognizes a course of training, a training institution, or a qualification granted by a training institution, as part of its requirements for the issue of a certificate required under the Convention, shall ensure that the qualifications and experience of instructors and assessors are covered in the application of the quality standard provisions of section A-I/8. Such qualification, experience and application of quality standards shall incorporate appropriate training in instructional techniques, and training and assessment methods and practice, and comply with all applicable requirements of paragraphs 4 to 6.

Section A-I/7    (back to top)

Communication of information

1 The information required by regulation I/7, paragraph 1 shall be communicated to the Secretary-General in the formats prescribed in paragraph 2 hereunder.

2 By 1 August 1998, or within one calendar year of entry into force of regulation I/7, whichever is later for the Party concerned, each Party shall report on the steps it has taken to give the Convention full and complete effect, which report shall include the following:

.1 the name, postal address and telephone and facsimile numbers and organization chart of the ministry, department or governmental agency responsible for administering the Convention;

.2 a concise explanation of the legal and administrative measures provided and taken to ensure compliance, particularly with regulations I/6 and I/9;

.3 a clear statement of the education, training, examination, competency assessment and certification policies adopted;

.4 a concise summary of the courses, training programmes, examinations and assessments provided for each certificate issued pursuant to the Convention;

.5 a concise outline of the procedures followed to authorize, accredit or approve training and examinations, medical fitness and competency assessments, required by the Convention, the conditions attaching thereto, and a list of the authorizations, accreditations and approvals granted;

.6 a concise summary of the procedures followed in granting any dispensation under article VIII of the Convention; and

.7 the results of the comparison carried out pursuant to regulation I/11 and a concise outline of the refresher and upgrading training mandated.

3 Each Party shall, within six months of:

.1 retaining or adopting any equivalent education or training arrangements pursuant to article IX, provide a full description of such arrangements;

.2 recognizing certificates issued by another Party, provide a report summarizing the measures taken to ensure compliance with regulation I/10; and

.3 authorizing the employment of seafarers holding alternative certificates issued under regulation VII/1 on ships entitled to fly its flag, provide the Secretary-General with a specimen copy of the type of safe manning documents issued to such ships.

4 Each Party shall report the results of each evaluation carried out pursuant to regulation I/8, paragraph 2 within six months of its completion, which report shall describe the terms of reference of the evaluators, their qualifications and experience, the date and scope of the evaluation, the deficiencies found and the corrective measures recommended and carried out.

5 The Secretary-General shall maintain a list of competent persons approved by the Maritime Safety Committee, including competent persons made available or recommended by the Parties, who may be called upon to assist in the preparation of the report required by regulation I/7, paragraph 2. These persons shall ordinarily be available during relevant sessions of the Maritime Safety Committee or its subsidiary bodies, but need not conduct their work solely during such sessions.

6 In relation to regulation I/7, paragraph 2, the competent persons shall be knowledgeable of the requirements of the Convention and at least one of them shall have knowledge of the system of training and certification of the Party concerned.

7 Any meeting of the competent persons shall:

.1 be held at the discretion of the Secretary-General;

.2 be comprised of an odd number of members, ordinarily not to exceed 5 persons;

.3 appoint its own chairman; and

.4 provide the Secretary-General with the agreed opinion of its members, or if no agreement is reached, with both the majority and minority views.

8 The competent persons shall, on a confidential basis, express their views in writing on:

.1 a comparison of the facts reported in the information communicated to the Secretary-General by the Party, with all relevant requirements of the Convention;

.2 the report of any relevant evaluation submitted under regulation I/8, paragraph 3; and

.3 any additional information provided by the Party.

9 In preparing the report to the Maritime Safety Committee required by regulation I/7, paragraph 2, the Secretary-General shall:

.1 solicit and take into account the views expressed by competent persons selected from the list established pursuant to paragraph 5;

.2 seek clarification when necessary from the Party of any matter related to the information provided under regulation I/7, paragraph 1; and

.3 identify any area in which the Party may have requested assistance to implement the Convention.

10 The Party concerned shall be informed of the arrangements for the meetings of competent persons, and its representatives shall be entitled to be present to clarify any matter related to the information provided pursuant to regulation I/7, paragraph 1.

11 If the Secretary-General is not in a position to submit the report called for by paragraph 2 of regulation I/7, the Party concerned may request the Maritime Safety Committee to take the action contemplated by paragraph 3 of regulation I/7, taking into account the information submitted pursuant to this section and the views expressed in accordance with paragraphs 7 and 8.

Section A-I/8    (back to top)

Quality standards

National objectives and quality standards

1 Each Party shall ensure that the education and training objectives and related standards of competence to be achieved are clearly defined and identify the levels of knowledge, understanding and skills appropriate to the examinations and assessments required under the Convention. The objectives and related quality standards may be specified separately for different courses and training programmes and shall cover the administration of the certification system.

2 The field of application of the quality standards shall cover the administration of the certification system, all training courses and programmes, examinations and assessments carried out by or under the authority of a Party and the qualifications and experience required of instructors and assessors, having regard to the policies, systems, controls and internal quality assurance reviews established to ensure achievement of the defined objectives.

3 Each Party shall ensure that an independent evaluation of the knowledge, understanding, skills and competence acquisition and assessment activities, and of the administration of the certification system, are conducted at intervals of not more than five years in order to verify that:

.1 all internal management control and monitoring measures and follow-up actions comply with planned arrangements and documented procedures and are effective in ensuring achievement of the defined objectives;

.2 the results of each independent evaluation are documented and brought to the attention of those responsible for the area evaluated; and

.3 timely action is taken to correct deficiencies.

4 The report of the independent evaluation required by paragraph 3 of regulation I/8 shall include the terms of reference for the evaluation and the qualifications and experience of the evaluators.

Section A-I/9    (back to top)

Medical standards - Issue and registration of certificates

(No provisions)

Section A-I/10    (back to top)

Recognition of certificates

1 The provisions of regulation I/10, paragraph 4 regarding the non-recognition of certificates issued by a non-Party shall not be construed as preventing a Party, when issuing its own certificate, from accepting seagoing service, education and training acquired under the authority of a non-Party, provided the Party complies with regulation I/9 in issuing each such certificate, and ensures that the requirements of the Convention relating to seagoing service, education, training and competence are complied with.

2 Where an Administration which has recognized a certificate withdraws its endorsement of recognition for disciplinary reasons, the Administration shall inform the Party that issued the certificate of the circumstances.

Section A-I/11    (back to top)

Revalidation of certificates

Professional competence

1 Continued professional competence as required under regulation I/11, shall be established by:

.1 approved seagoing service performing functions appropriate to the certificate held for a period of at least one year in total during the preceding five years; or

.2 having performed functions considered to be equivalent to the seagoing service required in paragraph 1.1; or

.3 one of the following:

.3.1 passing an approved test, or

.3.2 successfully completing an approved course or courses, or

.3.3 having completed approved seagoing service performing functions appropriate to the certificate held for a period of not less than three months in a supernumerary capacity, or in a lower officer rank than that for which the certificate held is valid immediately prior to taking up the rank for which it is valid.

2 The refresher and updating courses required by regulation I/11 shall be approved and include changes in relevant national and international regulations concerning the safety of life at sea and the protection of the marine environment and take account of any updating of the standard of competence concerned.

Section A-I/12    (back to top)

Standards governing the use of simulators

PART 1 - PERFORMANCE STANDARDS

General performance standards for simulators used in training

1 Each Party shall ensure that any simulator used for mandatory simulator-based training shall:

.1 be suitable for the selected objectives and training tasks;

.2 be capable of simulating the operating capabilities of shipboard equipment concerned, to a level of physical realism appropriate to training objectives, and include the capabilities, limitations and possible errors of such equipment;

.3 have sufficient behavioural realism to allow a trainee to acquire the skills appropriate to the training objectives;

.4 provide a controlled operating environment, capable of producing a variety of conditions, which may include emergency, hazardous or unusual situations relevant to the training objectives;

.5 provide an interface through which a trainee can interact with the equipment, the simulated environment and, as appropriate, the instructor; and

.6 permit an instructor to control, monitor and record exercises for the effective debriefing of trainees.

General performance standards for simulators used in assessment of competence

2 Each Party shall ensure that any simulator used for the assessment of competence required under the Convention or for any demonstration of continued proficiency so required, shall:

.1 be capable of satisfying the specified assessment objectives;

.2 be capable of simulating the operational capabilities of the shipboard equipment concerned to a level of physical realism appropriate to the assessment objectives, and include the capabilities, limitations and possible errors of such equipment;

.3 have sufficient behavioural realism to allow a candidate to exhibit the skills appropriate to the assessment objectives;

.4 provide an interface through which a candidate can interact with the equipment and simulated environment;

.5 provide a controlled operating environment, capable of producing a variety of conditions, which may include emergency, hazardous or unusual situations relevant to assessment objectives; and

.6 permit an assessor to control, monitor and record exercises for the effective assessment of the performance of candidates.

Additional performance standards

3 In addition to meeting the basic requirements set out in paragraphs 1 and 2, simulation equipment to which this section applies shall meet the performance standards given hereunder in accordance with their specific type.

Radar simulation

4 Radar simulation equipment shall be capable of simulating the operational capabilities of navigational radar equipment which meets all applicable performance standards adopted by the Organization* and incorporate facilities to:

.1 operate in both sea and ground stabilized relative motion and true motion modes;

.2 model weather, tidal streams, current, shadow sectors, spurious echoes and other propagation effects, and generate coastlines, navigational buoys and search and rescue transponders; and

.3 create a real-time operating environment incorporating at least two own ship stations with ability to change own ship's course and speed, and include parameters for at least 20 target ships and appropriate communication facilities.

Automatic Radar Plotting Aid (ARPA) simulation

5 ARPA simulation equipment shall be capable of simulating the operational capabilities of ARPAs which meet all applicable performance standards adopted by the Organization*, and shall incorporate the facilities for:

.1 manual and automatic target acquisition;

.2 past track information;

.3 use of exclusion areas;

.4 vector/graphic time-scale and data display; and

.5 trial manoeuvres.

PART 2 - OTHER PROVISIONS

Simulator training objectives

6 Each Party shall ensure that the aims and objectives of simulator-based training are defined within an overall training programme and that specific training objectives and tasks are selected so as to relate as closely as possible to shipboard tasks and practices.

Training procedures

7 In conducting mandatory simulator-based training, instructors shall ensure that:

.1 trainees are adequately briefed beforehand on the exercise objectives and tasks and are given sufficient planning time before the exercise starts;

.2 trainees have adequate familiarization time on the simulator and with its equipment before any training or assessment exercise commences;

.3 guidance given and exercise stimuli are appropriate to the selected exercise objectives and tasks and to the level of trainee experience;

.4 exercises are effectively monitored, supported as appropriate by audio and visual observation of trainee activity and pre and post exercise evaluation reports;

.5 trainees are effectively debriefed to ensure that training objectives have been met and that operational skills demonstrated are of an acceptable standard;

.6 the use of peer assessment during debriefing is encouraged; and

.7 simulator exercises are designed and tested so as to ensure their suitability for the specified training objectives.

Assessment procedures

8 Where simulators are used to assess the ability of candidates to demonstrate levels of competency, assessors shall ensure that:

.1 performance criteria are identified clearly and explicitly and are valid and available to the candidates;

.2 assessment criteria are established clearly and are explicit to ensure reliability and uniformity of assessment and to optimise objective measurement and evaluation, so that subjective judgements are kept to the minimum;

.3 candidates are briefed clearly on the tasks and/or skills to be assessed and on the tasks and performance criteria by which their competency will be determined;

.4 assessment of performance takes into account normal operating procedures and any behavioural interaction with other candidates on the simulator or simulator staff;

.5 scoring or grading methods to assess performance are used with caution until they have been validated; and

.6 the prime criterion is that a candidate demonstrates the ability to carry out a task safely and effectively to the satisfaction of the assessor.

Qualifications of instructors and assessors*

9 Each Party shall ensure that instructors and assessors are appropriately qualified and experienced for the particular types and levels of training and corresponding assessment of competence as specified in regulation I/6 and section A-I/6.

Section A-I/13    (back to top)

Conduct of trials

(No provisions)

Section A-I/14    (back to top)

Responsibilities of companies

1 Companies*, masters and crew members each have responsibility for ensuring that the obligations set out in this section are given full and complete effect and that such other measures as may be necessary are taken to ensure that each crew member can make a knowledgeable and informed contribution to the safe operation of the ship.

2 The company shall provide written instructions to the master of each ship to which the Convention applies, setting forth the policies and the procedures to be followed to ensure that all seafarers who are newly employed on board the ship are given a reasonable opportunity to become familiar with the shipboard equipment, operating procedures and other arrangements needed for the proper performance of their duties, before being assigned to those duties. Such policies and procedures shall include:

.1 allocation of a reasonable period of time during which each newly employed seafarer will have an opportunity to become acquainted with:

.1.1 the specific equipment the seafarer will be using or operating, and

.1.2 ship specific watchkeeping, safety, environmental protection and emergency procedures and arrangements the seafarer needs to know to perform the assigned duties properly; and

.2 designation of a knowledgeable crew member who will be responsible for ensuring that an opportunity is provided to each newly employed seafarer to receive essential information in a language the seafarer understands.

Section A-I/15     (back to top)

Transitional provisions

(No provisions)