National Maritime Center (NMC)
Mariner Licensing and Documentation (MLD)
Chapter I
Standards Regarding General Provisions
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:
Function |
Level |
Limitations Applying (if any) |
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The lawful holder of this certificate may serve in the following
capacity or capacities specified in the applicable safe manning
requirements of the Administration:
Capacity |
Limitations Applying (if any) |
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Certificate No. ....................................... issued on
......................................................
(Official Seal)
..........................................................
Signature of duly authorized official
..........................................................
Name of duly authorized official
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
The validity of this certificate is hereby extended until
...................................................
(Official seal)
....................................................................
Signature of duly authorized official
Date of revalidation ..................
Name of duly authorized
official ....................................................................
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The validity of this certificate is hereby extended until
...................................................
(Official seal)
....................................................................
Signature of duly authorized official
Date of revalidation ..................
Name of duly authorized official
....................................................................
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- 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:
Function |
Level |
Limitations Applying (if any) |
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The lawful holder of this certificate may serve in the following
capacity or capacities specified in the applicable safe manning
requirements of the Administration:
Capacity |
Limitations Applying (if any) |
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Endorsement No. ....................................... issued on
......................................................
(Official Seal)
..........................................................
Signature of duly authorized official
..........................................................
Name of duly authorized official
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
The validity of this certificate is hereby extended until
...................................................
(Official seal)
....................................................................
Signature of duly authorized official
Date of revalidation ..................
Name of duly authorized
official ....................................................................
|
The validity of this certificate is hereby extended until
...................................................
(Official seal)
....................................................................
Signature of duly authorized official
Date of revalidation ..................
Name of duly authorized official
....................................................................
|
- 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:
Function |
Level |
Limitations Applying (if any) |
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The lawful holder of this certificate may serve in the following
capacity or capacities specified in the applicable safe manning
requirements of the Administration:
Capacity |
Limitations Applying (if any) |
|
|
Endorsement No. ....................................... issued on
......................................................
(Official Seal)
..........................................................
Signature of duly authorized official
..........................................................
Name of duly authorized official
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
The validity of this certificate is hereby extended until
...................................................
(Official seal)
....................................................................
Signature of duly authorized official
Date of revalidation ..................
Name of duly authorized
official ....................................................................
|
The validity of this certificate is hereby extended until
...................................................
(Official seal)
....................................................................
Signature of duly authorized official
Date of revalidation ..................
Name of duly authorized official
....................................................................
|
- 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
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 programs, 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 programs 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
programs, 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 behavioral 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
program 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)
Section A-I/15 (back to top)
Transitional provisions
(No provisions)
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