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National Maritime Center (NMC)
Mariner Licensing and Documentation (MLD)

CHAPTER I

SEAFARERS' TRAINING, CERTIFICATION AND WATCHKEEPING (STCW) CODE

GUIDANCE 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 B-I/1 (back to top)

Guidance regarding definitions and clarifications

1 The definitions contained in article II of the Convention, and the definitions and interpretations contained in regulation I/1 of its Annex, apply equally to the terms used in parts A and B of this Code. Supplementary definitions which apply only to the provisions of this Code are contained in section A-I/1.
2 Officers with capacities covered under the provisions of chapter VII may be designated as polyvalent officer, dual purpose officer or other designations as approved by the Administration, in accordance with the terminology used in the applicable safe manning requirements.
3 Ratings qualified to serve in capacities covered under the provisions of chapter VII may be designated as polyvalent ratings or other designations as approved by the Administration, in accordance with the terminology used in the applicable safe manning requirements.

Section B-I/2 (back to top)

Guidance regarding certificates and endorsements

1 Where an endorsement is integrated in the format of a certificate as provided by section A-I/2, paragraph 1, the relevant information should be inserted in the certificate in the manner explained hereunder, except for the omission of the space numbered .2. Otherwise in preparing endorsements attesting the issue of a certificate, the spaces numbered .1 to .17 in the form which follows the text hereunder, should be completed as follows:
- .1 Enter the name of the issuing State.
- .2 Enter the number assigned to the certificate by the Administration.
- .3 Enter the full name of the seafarer to whom the certificate is issued. The name should be the same as that appearing in the seafarer's passport, seafarer's identity certificate and other official documents issued by the Administration..4 The number or numbers of the STCW Convention regulation or regulations under which the seafarer has been found qualified should be entered here, for example:
- .4 The number or numbers of the STCW Convention regulation or regulations under which the seafarer has been found qualified should be entered here, for example:
  - .4.1 II/1, if the seafarer has been found qualified to fill the capacity of officer in charge of a navigational watch,
  - 4.2 III/1, if the seafarer has been found qualified to act as engineer officer in charge of a watch in a manned engine-room, or as designated duty engineer officer in a periodically unmanned engine-room,
  - .4.3 IV/2, if the seafarer has been found qualified to fill the capacity of radio operator,
  - .4.4 VII/1, if the certificate is a functional certificate and the seafarer has been found qualified to perform functions specified in part A of the Code, for example, the function of marine engineering at the management level, and
  - .4.5 III/1 and V/1, if found qualified to act as the engineer officer in charge of a watch in a manned engine-room, or as designated duty engineer officer in a periodically unmanned engine-room in tankers. (See limitations in paragraphs .8 and .10 below)
- .5 Enter the date of expiry of the endorsement. This date should not be later than the date of expiry, if any, of the certificate in respect of which the endorsement is issued, nor later than five years after the date of issue of the endorsement.
- .6 In this column should be entered each of the functions specified in part A of the Code, which the seafarer is qualified to perform. Functions and their associated levels of responsibility are specified in the tables of competence set out in chapters II, III and IV of part A of the Code, and are also listed for convenient reference in the introduction to part A. When reference is made under .4 above to regulations in chapters II, III or IV it is not necessary to list specific functions.
- .7 In this column should be entered the levels of responsibility at which the seafarer is qualified to perform each of the functions entered in column .6. These levels are specified in the tables of competence set out in chapters II, III and IV of part A of the Code, and are also listed for convenient reference in the introduction to part A.
- .8 A general limitation, such as the requirement to wear corrective lenses when performing duties, should be entered prominently at the top of the limitations column. Limitations applying to the functions listed in column .6 should be entered on the appropriate line against the function concerned, for example:
  - .8.1 "Not valid for service in tankers" - if not qualified under chapter V,
  - .8.2 "Not valid for service in tankers other than oil tankers" - if qualified under chapter V for service only in oil tankers,
  - .8.3 "Not valid for service in ships in which steam boilers form part of the ship's machinery" - if the related knowledge has been omitted in accordance with STCW Code provisions, and
  - .8.4 "Valid only on near coastal voyages" if the related knowledge has been omitted in accordance with STCW Code provisions. Note: Tonnage and power limitations need not be shown here if they are already indicated in the title of the certificate and in the capacity entered in column .9.
- .9 The capacity or capacities entered in column .9 should be those specified in the title to the STCW regulation or regulations concerned in the case of certificates issued under chapters II or III, or should be as specified in the applicable safe manning requirements of the Administration, as appropriate.
- .10 A general limitation such as the requirement to wear corrective lenses when performing duties should be entered prominently at the top of this limitations column also. The limitations entered in column .10 should be the same as those shown in column .8 for the functions performed in each capacity entered.
- .11 The number entered in space .11 should be that of the certificate, so that both certificate and endorsement have the same unique number for reference and for location in the register of certificates and/or endorsements, etc.
- .12 The date of original issue of the endorsement should be entered here; it may be the same as, or differ from, the date of issue of the certificate in accordance with the circumstances.
- .13 The name of the official authorized to issue the endorsement should be shown here in block letters below the official's signature.
- .14 The date of birth shown should be the date confirmed from Administration records or as otherwise verified.
- .15 The endorsement should be signed by the seafarer in the presence of an official, or may be incorporated from the seafarer's application form duly completed and verified.
- .16 The photograph should be a standard black and white or color passport type head and shoulders photograph, supplied in duplicate by the seafarer so that one may be kept in or associated with the register of certificates.
- .17 If the blocks for revalidation are shown as part of the endorsement form (see section A-I/2, paragraph 1), the Administration may revalidate the endorsement by completing the block after the seafarer has demonstrated continuing proficiency as required by regulation I/11.

(Official Seal)

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 ..... .1 ..... certifies that Certificate No. ..... .2 ..... has been issued to ..... .3 ..... who has been found duly qualified in accordance with the provisions of regulation ..... .4 ..... 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 ..... .5 ..... or until the date of expiry of any extension of the validity of this endorsement as may be shown overleaf:

.6 FUNCTION

.7 LEVEL

.8 LIMITATIONS APPLYING (IF ANY)

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

.9 CAPACITY

.10 LIMITATIONS APPLYING (IF ANY)

Endorsement No. .... .11 ..... issued on ..... .12 .....,

(Official Seal)

..................13 ...................................
Signature of duly authorized official
..........................................................
Name of duly authorized official

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 ... .14 ...

Signature of the holder of the certificate ... .15 ...

Photograph of the holder of the certificate

The validity of this endorsement is hereby extended until

(Official seal)

Date of revalidation....17	Signature of duly authorized official

	Name of duly authorized official

The validity of this endorsement is hereby extended until

(Official seal)	Signature of duly authorized official

Date of revalidation ...17	Name of duly authorized official

2 An endorsement attesting the recognition of a certificate may be attached to and form part of the certificate endorsed, or may be issued as a separate document (see STCW regulation I/2, paragraph 6). All entries made in the form are required to be in Roman characters and Arabic figures (see STCW regulation I/2, paragraph 8). The spaces numbered .1 to .17 in the form which follows the text hereunder are intended to be completed as indicated in paragraph 1 above, except in respect of the following spaces:
- .2 where the number assigned by the Party which issued the certificate being recognized should be entered;
- .3 where the name entered should be the same as that appearing in the certificate being recognized;
- .4 where the name of the Party which issued the certificate being recognized should be entered;
- .9 where the capacity or capacities entered in column .9 should be selected, as appropriate, from those specified in the safe applicable manning requirements of the Administration which is recognizing the certificate;
- .11 where the number entered in space .11 should be unique to the endorsement both for reference and for location in the register of endorsements; and
- .12 where the date of original issue of the endorsement should be entered.
3 When replacing a certificate or endorsement which has been lost or destroyed, Parties should issue the replacement under a new number, to avoid confusion with the document to be replaced.

(Official Seal)

ENDORSEMENT ATTESTING THE RECOGNITION 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 ..... .1 ...... certifies that Certificate No. ..... .2 ..... issued to ..... .3 ..... by or on behalf of the Government of ..... .4 ..... 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 ... .5 ... or until the date of expiry of any extension of the validity of this endorsement as may be shown overleaf:

.6 FUNCTION

.7 LEVEL

.8 LIMITATIONS APPLYING (IF ANY)

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

.9 CAPACITY

.10 LIMITATIONS APPLYING (IF ANY)

Endorsement No. .... .11 ..... issued on ..... .12 .....,

(Official Seal)

..................13 ...................................
Signature of duly authorized official
..........................................................
Name of duly authorized official

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 ... .14 ...

Signature of the holder of the certificate ... .15 ...

Photograph of the holder of the certificate

The validity of this endorsement is hereby extended until

(Official seal)

Date of revalidation....17	Signature of duly authorized official

	Name of duly authorized official

The validity of this endorsement is hereby extended until

(Official seal)	Signature of duly authorized official

Date of revalidation ...17	Name of duly authorized official

Section B-I/3 (back to top)

Guidance regarding near-coastal voyages

1 When a Party defines near-coastal voyages, inter alia, for the purposes of applying variations to the subjects listed in column 2 of the standard of competence tables contained in chapters II and III of part A of the Code, II/2 for the issue of certificates valid for service in ships entitled to fly the flag of that Party and engaged on such voyages, account should be taken of the following factors, bearing in mind the effect on the safety of all ships and on the marine environment.
- .1 the type of ship and the trade in which it is engaged;
- .2 the gross tonnage of the ship and the power in kW of the main propulsion machinery;
- .3 the nature and length of the voyages;
- .4 the maximum distance from a port of refuge;
- .5 the adequacy of the coverage and accuracy of navigational position-fixing devices;
- .6 the weather conditions normally prevailing in the near-coastal voyage area;
- .7 the provision of shipboard and coastal communication facilities for search and rescue.
2 A Party which includes voyages off another Party's coast within the limits of its near-coastal voyage definition, may enter into a bilateral agreement with the Party concerned.
3 It is not intended that ships engaged on near-coastal voyages should extend their voyages world-wide, under the excuse that they are navigating constantly within the limits of designated near-coastal voyages of neighboring Parties.

Section B-I/4 (back to top)

Guidance regarding control procedures*

Introduction

1 The purpose of the control procedures of regulation I/4 is to enable officers duly authorized by port States to ensure that the seafarers on board have sufficient competence to ensure safe and pollution-free operation of the ship.
2 This provision is no different in principle from the need to make checks on ships' structures and equipment. Indeed, it builds on these inspections to make an appraisal of the total system of on-board safety and pollution prevention.

Assessment

3 By restricting assessment as indicated in section A-I/4, the subjectivity which is an unavoidable element in all control procedures, is reduced to a minimum, no more than would be evident in other types of control inspection.
4 The clear grounds given in regulation I/4, paragraph 1.3 will usually be sufficient to direct the inspector's attention to specific areas of competency, which could then be followed up by seeking evidence of training in the skills in question. If this evidence is inadequate or unconvincing, the authorized officer may ask to observe a demonstration of the relevant skill.
5 It will be a matter for the professional judgment of the inspector when on board, either following an incident as outlined in regulation I/4 or for the purposes of a routine inspection, whether the ship is operated in a manner likely to pose a danger to persons, property or the environment.*

Section B-I/5 (back to top)

Guidance regarding national provisions

(No provisions)

Section B-I/6 (back to top)

Guidance regarding training and assessment

Qualifications of instructors and assessors

1 Each Party should ensure that instructors and assessors are appropriately qualified and experienced for the particular types and levels of training or assessment of competence of seafarers, as required under the Convention, in accordance with the guidelines in this section.

In-service training and assessment

2 Any person on board or ashore conducting in-service training of a seafarer intended to be used in qualifying for certification under the Convention should have received appropriate guidance in instructional techniques.**
3 Any person responsible for the supervision of in-service training of a seafarer intended to be used in qualifying for certification under the Convention should have appropriate knowledge of instructional techniques and of training methods and practice.
4 Any person, on board or ashore, conducting an in-service assessment of the competence of a seafarer intended to be used in qualifying for certification under the Convention, should have:
- .1 received appropriate guidance in assessment methods and practice*; and
- .2 gained practical assessment experience under the supervision and to the satisfaction of an experienced assessor.
5 Any person responsible for the supervision of the in-service assessment of competence of a seafarer intended to be used in qualifying for certification under the Convention, should have a full understanding of the assessment system, assessment methods and practice.*

Section B-I/7 (back to top)

Guidance regarding communication of information

Reports of difficulties encountered

Parties are requested to include in the reports required by regulation I/7 an indication of any relevant guidance contained in part B of this Code, the observance of which has been found to be impracticable.

Section B-I/8 (back to top)

Guidance regarding quality standards

1 In applying quality standards under the provisions of regulation I/8 and section A-I/8 to the administration of its certification system, each Party should take account of existing national or international models, and incorporate the following key elements:
- .1 an expressed policy regarding quality and the means by which such policy is to be implemented;
- .2 a quality system incorporating the organizational structure, responsibilities, procedures, processes and resources necessary for quality management;
- .3 the operational techniques and activities to ensure quality control;
- .4 systematic monitoring arrangements including internal quality assurance evaluations, to ensure that all defined objectives are being achieved; and
- .5 arrangements for periodic external quality evaluations as described in the following paragraphs.
2 In establishing such quality standards for the administration of their national certification system, Administrations should seek to ensure that the arrangements adopted:
- .1 are sufficiently flexible to enable the certification system to take account of the varying needs of the industry, and that they facilitate and encourage the application of new technology;
- .2 cover all the administrative matters that give effect to the various provisions of the Convention, in particular regulations I/2 to I/15 and other provisions which enable the Administration to grant certificates of service and dispensations and to withdraw, cancel and suspend certificates;
- .3 encompass the Administration's responsibilities for approving training and assessment at all levels, from undergraduate-type courses and updating courses for certificates of competency to short courses of vocational training; and
- .4 incorporate arrangements for the internal quality assurance reviews under paragraph 1.4 involving a comprehensive self-study of the administrative procedures, at all levels, in order to measure achievement of defined objectives and to provide the basis for the independent external evaluation required under section A-1/8, paragraph 3.

Quality standards model for assessment of knowledge, understanding, skills and competence

3 The quality standards model for assessment of knowledge, understanding, skills and competence should incorporate the recommendations of this section within the general framework of either:
- .1 a national scheme for education and training accreditation or quality standards; or
- .2 an alternative quality standards model acceptable to the Organization.
4 The above quality standards model should incorporate:
- .1 a quality policy, including a commitment by the training institution or unit to the achievement of its stated aims and objectives, and to the consequential recognition by the relevant accrediting or quality standards authority;
- .2 those quality management functions that determine and implement the quality policy, relating to aspects of the work which impinge on the quality of what is provided, including provisions for determining progression within a course or programme;
- .3 quality system coverage, where appropriate, of the academic and administrative organizational structure, responsibilities, procedures, processes and the resources of staff and equipment;
- .4 the quality control functions to be applied at all levels to the teaching, training, examination and assessment activities, and to their organization and implementation, in order to ensure their fitness for their purpose and the achievement of their defined objectives;
- .5 the internal quality assurance processes and reviews which monitor the extent to which the institution, or training unit, is achieving the objectives of the programs it delivers, and is effectively monitoring the quality control procedures which it employs; and
- .6 the arrangements made for periodic external quality evaluations required under regulation I/8, paragraph 2 and described in the following paragraphs, for which the outcome of the quality assurance reviews forms the basis and starting point.
5 In establishing quality standards for education, training and assessment programs, the organizations responsible for implementing these programs should take account of the following:
- .1 Where provisions exist for established national accreditation, or education quality standards, such provisions should be utilized for courses incorporating the knowledge and understanding requirements of the Convention. The quality standards should be applied to both management and operational levels of the activity, and should take account of how it is managed, organized, undertaken and evaluated, in order to ensure that the identified goals are achieved.
- .2 Where acquisition of a particular skill or accomplishment of a designated task is the primary objective, the quality standards should take account of whether real or simulated equipment is utilized for this purpose, and of the appropriateness of the qualifications and experience of the assessors, in order to ensure achievement of the set standards.
- .3 The internal quality assurance evaluations should involve a comprehensive self-study of the program, at all levels, to monitor achievement of defined objectives through the application of quality standards. These quality assurance reviews should address the planning, design, presentation and evaluation of programs as well as the teaching, learning and communication activities. The outcome provides the basis for the independent evaluation required under section A-1/8, paragraph 3.

The independent evaluation

6 Each independent evaluation should include a systematic and independent examination of all quality activities, but should not evaluate the validity of the defined objectives. The evaluation team should:
- .1 carry out the evaluation in accordance with documented procedures;
- .2 ensure that the results of each evaluation are documented and brought to the attention of those responsible for the area evaluated; and
- .3 check that timely action is taken to correct any deficiencies.
7 The purpose of the evaluation is to provide an independent assessment of the effectiveness of the quality standard arrangements at all levels. In the case of an education or training establishment a recognized academic accreditation or quality standards body or Government agency should be used. The evaluation team should be provided with sufficient advance information to give an overview of the tasks in hand. In the case of a major training institution or program, the following items are indicative of the information to be provided:
- .1 the mission statement of the institution;
- .2 details of academic and training strategies in use;
- .3 an organization chart and information on the composition of committees and advisory bodies;
- .4 staff and student information;
- .5 a description of training facilities and equipment; and
- .6 an outline of the policies and procedures on:
  - .6.1 student admission,
  - .6.2 the development of new courses and review of existing courses,
  - .6.3 the examination system, including appeals and resits,
  - .6.4 staff recruitment, training, development, appraisal and promotion,
  - .6.5 feedback from students and from industry, and
  - .6.6 staff involvement in research and development.

The report

8 Before submitting a final report, the evaluation team should forward an interim report to the management seeking their comments on their findings. Upon receiving their comments, the evaluators should submit their final report, which should:
- .1 include brief background information about the institution or training programme;
- .2 be full, fair and accurate;
- .3 highlight the strengths and weaknesses of the institution;
- .4 describe the evaluation procedure followed;
- .5 cover the various elements identified in paragraph 4;
- .6 indicate the extent of compliance or non-compliance with the requirements of the Convention and the effectiveness of the quality standards in ensuring achievement of defined aims and objectives; and
- .7 spell out clearly the areas found deficient, offer suggestions for improvement and provide any other comments the evaluators consider relevant.

Section B-1/9 (back to top)

Guidance regarding medical standards - Issue and registration of certificates

Medical examination and certification

1 The standards developed pursuant to regulation I/9, paragraph 1, should take into account the views of recognized medical practitioners experienced in medicine as applied in the maritime environment.
2 The medical standards may differentiate between those persons seeking to start a career at sea and those seafarers already serving at sea. In the former case, for example, it might be appropriate to designate higher standards in certain areas, while in the latter case some reduction may be made for age.
3 The standards should, so far as possible, define objective criteria with regard to fitness for sea service, taking into account access to medical facilities and medical expertise on board ship. They should, in particular, specify the conditions under which seafarers suffering from potentially life-threatening medical conditions controlled by medication may be allowed to continue to serve at sea.
4 The medical standards should also identify particular medical conditions, such as colour blindness, which might disqualify seafarers from holding particular positions on board ship.
5 Medical examinations and certification of seafarers under the standards should be conducted by one or more medical practitioners recognized by the Party. A list of medical practitioners so recognized should be made available to other Parties and to companies on request.
6 In the absence of mandatory international eyesight standards for seafarers, Parties should regard the minimum in-service eyesight standards set out in paragraphs 7 to 11 and table B-I/9 hereunder as the minimum for the safe operation of ships, and report on maritime casualties where poor eyesight has contributed to such incidents.
7 Each Administration has the discretionary authority to grant a variance or waiver of any of the standards set out in table B-I/9 hereunder, based on an assessment of a medical evaluation and any other relevant information concerning an individual's adjustment to the condition and proven ability to satisfactorily perform assigned shipboard functions. However, if the aided distant visual acuity of either eye is less than the standard, the aided distant visual acuity in the better eye should be at least 0.2 higher than the standard indicated in the table. The unaided distant visual acuity in the better eye should be at least 0.1.
8 Persons requiring the use of spectacles or contact lenses to perform duties should have a spare pair conveniently available on board the ship. Any need to wear visual aids to meet the required standards should be recorded on each certificate and endorsement issued.
9 Eyes of seafarers should be free of disease. Any permanent or progressing debilitating pathology without recovery should be cause for a determination of unfitness.
10 All tests needed to determine the visual fitness of a seafarer must be reliable and performed by a competent person recognized by the Administration.
11 Notwithstanding these provisions, the Administration may require higher standards than those given in table B-I/9 below.

Issue and registration of certificates

Approval of seagoing service

12 In approving seagoing service required by the Convention, Parties should ensure that the service concerned is relevant to the qualification being applied for, bearing in mind that, apart from the initial familiarization with service in seagoing ships, the purpose of such service is to allow the seafarer to be instructed in and to practise, under appropriate supervision, those safe and proper seagoing practices, procedures and routines which are relevant to the qualification applied for.

Approval of training courses

13 In approving training courses and programmes, Parties should take into account that the various IMO Model Courses identified by footnotes in Part A of this Code can assist in the preparation of such courses and programmes and ensure that the detailed learning objectives recommended therein are suitably covered.

Electronic access to registers

14 Where the register or registers of certificates, endorsements and other documents issued by or on behalf of a Party are maintained by electronic means, provision should be made to allow controlled electronic access to such register or registers to allow Administrations and companies to confirm:
- .1 the name of the seafarer to whom a certificate, endorsement or other qualification was issued, its relevant number, date of issue, and date of expiry;
- .2 the capacity in which the holder may serve and any limitations attaching thereto; and
- .3 the functions the holder may perform, the levels authorized and any limitations attaching thereto.

MINIMUM IN-SERVICE EYESIGHT STANDARDS

Table B-I/9

STCW Convention Regulation Category of seafarer Distance Vision* Near/immediate vision Colour vision Visual
fields Night blindness Diplopia (double vision) one eye other eye Both eyes together
Aided or unaided I/11
II/1
II/2
II/3
II/4 Masters, deck officers and ratings required to undertake look-out duties Aided: Unaided: 0.5**
0.1 0.5
0.1 Vision required for ships' navigation (e.g. chart and nautical publication reference, use of bridge instrumentation
and equipment, and identification of aids to navigation) Normal visual fields Vision required to perform all
necessary functions in darkness without compromise No significant condition evident I/11
III/1
III/2
III/3
III/4 All engineer officers and ratings forming part of an engine-room watch Aided: Unaided: 0.4
0.1 0.4
0.1 Vision required to read instruments in close proximity, to operate equipment, and to identify systems/
components as necessary Sufficient visual fields Vision required to perform all necessary functions in darkness
without compromise No significant condition evident I/11
IV/2 Radio officers and electrical/ electronic officers: Aided: Unaided: 0.4
0.1 0.4
0.1 Vision required to read instruments in close proximity, to operate equipment, and to identify
systems/components as necessary Sufficient visual fields Vision required to perform all necessary functions in
darkness without compromise No significant condition evident

*Note: Values given in Snellen decimal notation
**Note: A value of at least 0.7 in one eye is recommended to reduce the risk of undetected underlying eye disease

Section B-I/10 (back to top)

Guidance regarding the recognition of certificates

(No provisions)

Section B-I/11 (back to top)

Guidance regarding the revalidation of certificates

The courses required by regulation I/11 should include relevant changes in marine technology and recommendations concerning the safety of life at sea and the protection of the marine environment.

Section B-I/12 (back to top)

Guidance regarding the use of simulators

1 When simulators are being used for training or assessment of competency, the following guidelines should be taken into consideration in conducting any such training or assessment.*

Training and assessment in radar observation and plotting**

2 Training and assessment in radar observation and plotting should:
- .1 incorporate the use of radar simulation equipment; and
- .2 conform to standards not inferior to those given in paragraphs 3 to 17 below.
3 Demonstrations of and practice in radar observation should be undertaken where appropriate on live marine radar equipment, including the use of simulators. Plotting exercises should preferably be undertaken in real time, in order to increase trainees' awareness of the hazards of the improper use of radar data and improve their plotting techniques to a standard of radar plotting commensurate with that necessary for the safe execution of collision avoidance maneuvering under actual seagoing conditions.

4 An elementary understanding should be attained of the principles of radar, together with a full practical knowledge of:
- .1 range and bearing measurement, characteristics of the radar set which determine the quality of the radar display, radar antennae, polar diagrams, the effects of power radiated in directions outside the main beam, a non-technical description of the radar system including variations in the features encountered in different types of radar set, performance monitors and equipment factors which affect maximum and minimum detection ranges and accuracy of information;
- .2 the current marine radar performance specification adopted by the Organization;*
- .3 the effects of the siting of the radar antenna, shadow sectors and arcs of reduced sensitivity, false echoes, effects of antenna height on detection ranges and of siting radar units and storing spares near magnetic compasses, including magnetic safe distances; and
- 4 radiation hazards and safety precautions to be taken in the vicinity of antenna and open wave guides.

Detection of misrepresentation of information, including false echoes and sea returns

5 A knowledge of the limitations to target detection is essential, to enable the observer to estimate the dangers of failure to detect targets. The following factors should be emphasized:
- .1 performance standard of the equipment;
- 2 brilliance, gain and video processor control settings;
- .3 radar horizon;
- .4 size, shape, aspect and composition of targets;
- .5 effects of the motion of the ship in a seaway;
- .6 propagation conditions;
- .7 meteorological conditions; sea clutter and rain clutter;
- .8 anti-clutter control settings;
- .9 shadow sectors; and
- .10 radar-to-radar interference.
6 A knowledge should be attained of factors which might lead to faulty interpretation, including false echoes, effects of nearby pylons and large structures, effects of power lines crossing rivers and estuaries, echoes from distant targets occurring on second or later traces.
7 A knowledge should be attained of aids to interpretation, including corner reflectors and radar beacons; detection and recognition of land targets; the effects of topographical features; effects of pulse length and beam width; radar conspicuous and inconspicuous targets; factors which affect the echo strength from targets.

PRACTICE

Setting up and maintaining displays

8 A knowledge should be attained of:
- .1 the various types of radar display mode; unstabilized ship's-head-up relative motion; ship's-head-up course-up and north-up stabilized relative motion and true motion;
  - .2 the effects of errors on the accuracy of information displayed; effects of transmitting compass errors on stabilized and true motion displays; effects of transmitting log errors on a true motion display; and the effects of inaccurate manual speed settings on a true motion display;
  - .3 methods of detecting inaccurate speed settings on true motion controls; the effects of receiver noise limiting ability to display weak echo returns, and the effects of saturation by receiver noise, etc.; the adjustment of operational controls; criteria which indicate optimum points of adjustment; the importance of proper adjustment sequence, and the effects of maladjusted controls; the detection of maladjustments and corrections of:
    - .3.1 controls affecting detection ranges, and
    - .3.2 controls affecting accuracy;
  - .4 the dangers of using radar equipment with maladjusted controls; and
  - .5 the need for frequent regular checking of performance, and the relationship of the performance indicator to the range performance of the radar set.

Range and bearing

9 A knowledge should be attained of:
- .1 the methods of measuring ranges; fixed range markers and variable range markers;
- .2 the accuracy of each method and the relative accuracy of the different methods;
- .3 how range data are displayed; ranges at stated intervals, digital counter and graduated scale;
- .4 the methods of measuring bearings; rotatable cursor on transparent disc covering the display, electronic bearing cursor and other methods;
- .5 bearing accuracy and inaccuracies caused by: parallax, heading marker displacement, centre maladjustment;
- .6 how bearing data are displayed; graduated scale and digital counter; and
- .7 the need for regular checking of the accuracy of ranges and bearings, methods of checking for inaccuracies and correcting or allowing for inaccuracies.

Plotting techniques and relative motion concepts

10 Practice should be provided in manual plotting techniques, including the use of reflection plotters, with the objective of establishing a thorough understanding of the interrelated motion between own ship and other ships, including the effects of maneuvering to avoid collision. At the preliminary stages of this training, simple plotting exercises should be designed to establish a sound appreciation of plotting geometry and relative motion concepts. The degree of complexity of exercises should increase throughout the training course until the trainee has mastered all aspects of the subject. Competence can best be enhanced by exposing the trainee to real-time exercises performed on a simulator or using other effective means.

Identification of critical echoes

11 A thorough understanding should be attained of:
- .1 position fixing by radar from land targets and sea marks;
- .2 the accuracy of position fixing by ranges and by bearings;
- .3 the importance of cross-checking the accuracy of radar against other navigational aids; and
- .4 the value of recording ranges and bearings at frequent, regular intervals when using radar as an aid to collision avoidance.

Course and speed of other ships

12 A thorough understanding should be attained of:
- .1 the different methods by which course and speed of other ships can be obtained from recorded ranges and bearings including:
  - .1.1 the unstabilized relative plot,
  - .1.2 the stabilized relative plot, and
  - .1.3 the true plot; and
- .2 the relationship between visual and radar observations, including detail and the accuracy of estimates of course and speed of other ships, and the detection of changes in movements of other ships.

Time and distance of closest approach of crossing, meeting or overtaking ships

13 A thorough understanding should be attained of:
- .1 the use of recorded data to obtain:
  - .1.1 measurement of closest approach distance and bearing, and
  - .1.2 time to closest approach, and
- .2 the importance of frequent, regular observations.

Detecting course and speed changes of other ships

14 A thorough understanding should be attained of:
- .1 the effects of changes of course and/or speed by other ships on their tracks across the display;
- .2 the delay between change of course or speed and detection of that change; and
- .3 the hazards of small changes as compared with substantial changes of course or speed in relation to rate and accuracy of detection.

Effects of changes in own ship's course or speed or both

15 A thorough understanding of the effects on a relative motion display of own ship's movements, and the effects of other ships' movements and the advantages of compass stabilization of a relative display.
16 In respect of true motion displays, a thorough understanding should be attained of:
- .1 the effects of inaccuracies of:
  - .1.1 speed and course settings, and
  - .1.2 of compass stabilization data driving a stabilized relative motion display;
- .2 the effects of changes in course or speed or both by own ship on tracks of other ships on the display; and
- .3 the relationship of speed to frequency of observations.

Training and assessment in the operational use of automatic radar plotting aids (ARPA)

18 Training and assessment in the operational use of automatic radar plotting aids (ARPA) should:
- .1 require prior completion of the training in radar observation and plotting or combine that training with the training given in paragraphs 19 to 36 below;*
- .2 incorporate the use of ARPA simulation equipment; and
- .3 conform to standards not inferior to those given in paragraphs 19 to 36 below.
19 Where ARPA training is provided as part of the general training under the 1978 STCW Convention, masters, chief mates and officers in charge of a navigational watch should understand the factors involved in decision-making based on the information supplied by ARPA in association with other navigational data inputs, having a similar appreciation of the operational aspects and of system errors of modern electronic navigational systems. This training should be progressive in nature, commensurate with the responsibilities of the individual and the certificates issued by Parties under the 1978 STCW Convention.

Theory and Demonstration

Possible risks of over-reliance on ARPA

20 Appreciation that ARPA is only a navigational aid and:
- .1 that its limitations, including those of its sensors, make over-reliance on ARPA dangerous, in particular for keeping a look-out; and
- .2 the need to observe at all times the Principles to be observed in keeping a navigational watch and the Guidance on keeping a navigational watch.

Principal types of ARPA systems and their display characteristics

21 Knowledge of the principal types of ARPA systems in use; their various display characteristics and an understanding of when to use ground or sea stabilized modes and north-up, course-up or head-up presentations.

IMO performance standards for ARPA

22 An appreciation of the IMO performance standards for ARPA, in particular the standards relating to accuracy.*

Factors affecting system performance and accuracy

23 Knowledge of ARPA sensor input performance parameters - radar, compass and speed inputs and the effects of sensor malfunction on the accuracy of ARPA data.
24 Knowledge of:
- .1 the effects of the limitations of radar range and bearing discrimination and accuracy and the limitations of compass and speed input accuracies on the accuracy of ARPA data; and
- .2 factors which influence vector accuracy.

Tracking capabilities and limitations

25 Knowledge of:
- .1 the criteria for the selection of targets by automatic acquisition;
- .2 the factors leading to the correct choice of targets for manual acquisition;
- .3 the effects on tracking of "lost" targets and target fading;
- .4 the circumstances causing "target swap" and its effects on displayed data.

Processing delays

26 Knowledge of the delays inherent in the display of processed ARPA information, particularly on acquisition and re-acquisition or when a tracked target maneuvers.

Operational warnings, their benefits and limitations

27 Appreciation of the uses, benefits and limitations of ARPA operational warnings and their correct setting, where applicable, to avoid spurious interference.

System operational tests

28 Knowledge of:
- .1 methods of testing for malfunctions of ARPA systems including functional self-testing; and
- .2 precautions to be taken after a malfunction occurs.

Manual and automatic acquisition of targets and their respective limitations

29 Knowledge of the limits imposed on both types of acquisition in multi-target scenarios, and the effects on acquisition of target fading and target swap.

True and relative vectors and typical graphic representation of target information and danger areas

30 Thorough knowledge of true and relative vectors; derivation of targets' true courses and speeds including:
- .1 threat assessment, derivation of predicted closest point of approach and predicted time to closest point of approach from forward extrapolation of vectors, the use of graphic representation of danger areas;
- .2 the effects of alterations of course and/or speed of own ship and/or targets on predicted closest point of approach and predicted time to closest point of approach and danger areas;
- .3 the effects of incorrect vectors and danger areas; and
- .4 the benefit of switching between true and relative vectors.

Information on past position of targets being tracked

31 Knowledge of the derivation of past positions of targets being tracked, recognition of historic data as a means of indicating recent maneuvering of targets and as a method of checking the validity of the ARPA's tracking.

Practice

Setting up and maintaining displays

32 Ability to demonstrate:
- .1 the correct starting procedure to obtain the optimum display of ARPA information;
- .2 the selection of display presentation; stabilized relative motion displays and true motion displays;
- .3 the correct adjustment of all variable radar display controls for optimum display of data;
- .4 the selection, as appropriate, of required speed input to ARPA;
- .5 the selection of ARPA plotting controls, manual/automatic acquisition, vector/graphic display of data;
- .6 the selection of the time scale of vectors/graphics;
- .7 the use of exclusion areas when automatic acquisition is employed by ARPA; and
- .8 performance checks of radar, compass, speed input sensors and ARPA.

System operational tests

33 Ability to perform system checks and determine data accuracy of ARPA, including the trial maneuver facility, by checking against basic radar plot.

Obtaining information from the ARPA display

34 Demonstrate the ability to obtain information in both relative and true motion modes of display, including:
- .1 the identification of critical echoes;
- .2 the speed and direction of target's relative movement;
- .3 the time to, and predicted range at, target's closest point of approach;
- .4 the courses and speeds of targets;
- .5 detecting course and speed changes of targets and the limitations of such information;
- .6 the effect of changes in own ship's course or speed or both; and
- .7 the operation of the trial maneuver facility.

Application of the International Regulations for Preventing Collisions at Sea

35 Analysis of potential collision situations from displayed information, determination and execution of action to avoid close-quarters situations in accordance with the International Regulations for Preventing Collisions at Sea in force.

Recommended performance standards for non-mandatory types of simulation

36 Performance standards for non-mandatory simulation equipment used for training and/or assessment of competence or demonstration of skills are set out hereunder. Such forms of simulation include, but are not limited to, the following types:
- .1 navigation and watchkeeping;
- .2 shiphandling and maneuvering;
- .3 cargo handling and stowage;
- .4 radiocommunications; and
- .5 main and auxiliary machinery operation

Navigation and watchkeeping simulation

37 Navigation and watchkeeping simulation equipment should, in addition to meeting all applicable performance standards set out in section A-I/12, be capable of simulating navigational equipment and bridge operational controls which meet all applicable performance standards adopted by the Organization,* incorporate facilities to generate soundings and:
- .1 create a real-time operating environment, including navigation control and communications instruments and equipment appropriate to the navigation and watchkeeping tasks to be carried out and the maneuvering skills to be assessed;
- .2 provide a realistic visual scenario by day or by night, including variable visibility, or by night only as seen from the bridge, with a minimum horizontal field of view available to the trainee in viewing sectors appropriate to the navigation and watchkeeping tasks and objectives; and
- .3 realistically simulate 'own ship' dynamics in open water conditions including the effects of weather, tidal stream, currents and interaction with other ships.

Ship handling and maneuvering simulation

38 In addition to meeting the performance standards set out in paragraph 37, ship handling simulation equipment should:
- .1 provide a realistic visual scenario as seen from the bridge by day and by night with variable visibility throughout a minimum horizontal field of view available to the trainee in viewing sectors appropriate to the shiphandling and maneuvering training tasks and objectives*; and
- .2 realistically simulate 'own ship' dynamics in restricted waterways, including shallow water and bank effects.
39 Manned scale models are used to provide shiphandling and maneuvering simulation, in addition to the performance standards set out in paragraphs 37.3 and 38.2, such equipment should:
- .1 incorporate scaling factors which present accurately the dimensions, areas, volume and displacement, speed, time and rate of turn of a real ship; and
- .2 incorporate controls for the rudder and engines to the correct time scale.

Cargo handling and stowage simulation

40 Cargo handling simulation equipment should be capable of simulating cargo handling and control equipment which meets all applicable performance standards adopted by the Organization,** and incorporate facilities to:
- .1 create an effective operational environment, including a cargo-control station with such instrumentation as may be appropriate to the particular type of cargo system modelled;
- .2 model loading and unloading functions and stability and stress data appropriate to the cargo handling tasks to be carried out and the skills to be assessed; and
- .3 simulate loading, unloading, ballasting and deballasting operations and appropriate associated calculations for stability, trim, list, longitudinal strength, torsional stress and damage stability.*

GMDSS communication simulation

41 GMDSS communication simulation equipment should be capable of simulating GMDSS communication equipment which meets all applicable performance standards adopted by the Organization**, and incorporate facilities to:
- .1 simulate the operation of VHF, VHF-DSC, NAVTEX, EPIRB and watch receiver equipment as required for the Restricted Operators Certificate (ROC);
- .2 simulate the operation of INMARSAT-A, B and C ship earth stations, MF/HF NBDP, MF/HF-DSC, VHF, VHF-DSC, NAVTEX, EPIRB and watch receiver equipment as required for the General Operator's Certificate (GOC);
- .3 provide voice communication with background noise;
- .4 provide a printed text communication facility; and
- .5 create a real-time operating environment, consisting of an integrated system, incorporating at least one instructor/assessor station and at least two GMDSS ship or shore stations.

Main and auxiliary machinery operation simulation

42 Engine-room simulation equipment should be capable of simulating a main and auxiliary machinery system and incorporate facilities to:
- .1 create a real-time environment for seagoing and harbour operations with communication devices and simulation of appropriate main and auxiliary propulsion machinery equipment and control panels;
- .2 simulate relevant sub-systems that should include but not be restricted to boiler, steering gear, electrical power general and distribution systems including emergency power supplies and fuel, cooling water, refrigeration, bilge and ballast systems;
- .3 monitor and evaluate engine performance and remote sensing systems;
- .4 simulate machinery malfunctions;
- .5 allow for the variable external conditions to be changed so as to influence the simulated operations: weather, ship's draught, sea water and air temperatures;
- .6 allow for instructor controlled external conditions to be changed: deck steam, accommodation steam, deck air, ice conditions, deck cranes, heavy power, bow thrust, ship load;
- .7 allow for instructor controlled simulator dynamics to be changed: emergency run, process responses, ship responses; and
- .8 provide a facility to isolate certain processes, such as speed, electrical system, diesel oil system, lubricating oil system, heavy oil system, seawater system, steam system, exhaust boiler and turbo generator for performing specific training tasks.*

Section B-I/13 (back to top)

Guidance regarding the conduct of trials

(No provisions)

Section B-I/14 (back to top)

Guidance regarding responsibilities of companies and recommended responsibilities of masters and crew members

Companies

1 Companies should provide ship specific introductory programmes aimed at assisting newly employed seafarers to familiarize themselves with all procedures and equipment relating to their areas of responsibility.

Master

2 The master should take all steps necessary to implement any company instructions issued in accordance with section A-I/14. Such steps should include:
.1 identifying all seafarers who are newly employed on board the ship before they are assigned to any duties;
- .2.1 visit the spaces in which their primary duties will be performed,
- .2.2 get acquainted with the location, controls and display features of equipment they will be operating or using,
- .2.3 activate the equipment when possible and perform functions using the controls on the equipment, and
- .2.4 observe and ask questions of someone who is already familiar with the equipment, procedures and other arrangements, and who can communicate information in a language which the seafarer understands; and
.3 providing for a suitable period of supervision when there is any doubt that a newly employed seafarer is familiar with the shipboard equipment, operating procedures and other arrangements needed for the proper performance of his or her duties.

Crew members

3 Seafarers who are newly assigned to a ship should take full advantage of every opportunity provided to become familiar with the shipboard equipment, operating procedures and other arrangements needed for the proper performance of their duties. Immediately upon arriving on board for the first time, each seafarer has the responsibility to become acquainted with the ship's working environment, particularly with respect to new or unfamiliar equipment, procedures or arrangements.
4 Seafarers who do not promptly attain the level of familiarity required for performing their duties have the obligation to bring this fact to the attention of their supervisor or to the attention of the crew member designated in accordance with section A-I/14, paragraph 2.2, and to identify any equipment, procedure or arrangement which remains unfamiliar.

Section B-I/15 (back to top)

Guidance regarding transitional provisions

(No provisions)

(back to top)