REPUBLIC OF THE PHILIPPINESDEPARTMENT OF TRANSPORTATION AND COMMUNICATIONSMARITIME INDUSTRY AUTHORITY
MARINA CIRCULAR NO. 2013-06
Series of 2013
TO:

ALL MARITIME EDUCATION AND TRAINING INSTITUTIONS(METIs), ASSESSMENT CENTERS, GOVERNMENT AGENCIESINVOLVED, MARITIME INDUSTRY STAKEHOLDERS, AND
OTHER PARTIES CONCERNEDSUBJECT :RULES ON THE MONITORING OF MARITIME EDUCATIONPROGRAMS, TRAINING COURSES AND ASSESSMENT OFCOMPETENCE OF SEAFARERS CARRIED OUT BY METIs AND
ASSESSMENT CENTERS----------------------------------------------------------Pursuant to Presidential Decree No. 474, Executive Order No. 125/ 125-A, Executive
Order No. 75 and its Implementing Rules and Regulations (IRR), the Memoranda ofAgreement of the Maritime Industry Authority (MARINA) with the Commission on
Higher Education (CHED), Technical Education and Skills Development Authority(TESDA),
Professional
Regulation
Commission
(PRC)
and
National
Telecommunications Commission (NTC) and the 1978 International Convention on
Standards of Training, Certification and Watchkeeping (STCW), as amended, thefollowing rules are hereby adopted:
I. OBJECTIVES
1. To prescribe policies, rules and procedures on the monitoring of maritime
education programs, training courses and assessment of competence of
seafarers carried out by METIs and assessment centers;
2. To implement the requirements under Regulation I/6 “Training andAssessment” and Regulation I/8 “Quality Standards” of the STCW
Convention, on the monitoring of maritime education training, and assessmentof competence of seafarers, among others;
3. To verify the compliance of the maritime education programs, training courses
and assessment of competence of seafarers carried out by METIs andassessment centers with the minimum program and course requirements
pursuant to the 1978 STCW Convention, as amended and the existing
Philippine laws, rules and regulations; and,4. To check how the defined program or course objectives and the competenceoutcomes are achieved.
II. COVERAGE
This Circular shall apply to all maritime education programs, training courses andassessment of competence of seafarers carried out by METIs and assessment
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centers, both government and private, as required under the following Chaptersof the STCW Convention:
1. Chapters II and III – Master, Deck and Engine Department;
2. Chapter IV – Radio Communication;
3. Chapter V – Special training requirements for personnel on certain types ofships; and,
4. Chapter VI – Emergency occupational safety, security, medical care, andsurvival functions.
III. DEFINITION OF TERMS
For purposes of this Circular, the following terms and such other terms defined
herein shall be construed as follows:
1. Administration or STCW Administration – shall refer to the Department ofTransportation and Communications (DOTC), through the Maritime Industry
Authority (MARINA), as the single government agency mandated to
implement and enforce the 1978 STCW Convention, as amended;
2. Assessment Center – shall refer to an entity, public or private, recognizedby the relevant member agency to conduct competence assessment ofseafarers for the purpose of issuance of appropriate certificate required
under the 1978 STCW Convention, as amended;
3. Evaluator – shall refer to a duly authorized person who possesses therequired qualifications to effectively conduct monitoring of maritime
education programs, training courses and assessment of competence of
seafarers carried out by METIs or assessment centers;
4. Maritime Higher Education Institutions (MHEIs) – shall refer to all higher
education institutions, public or private, duly authorized by CHED and by
the respective Governing Boards in case of State Universities and Colleges(SUCs) to conduct maritime education programs in accordance with the
STCW Convention and the applicable laws rules and regulations of thePhilippines;
5. Maritime Training Institutions (MTIs) – shall refer to the duly establishedinstitutions, public or private, duly authorized by the Administration to offer
maritime training courses in accordance with the 1978 STCW Convention, as
amended and the applicable laws, rules and regulations;
6. Maritime Education and Training Institutions (METIs) – shall refer to both
maritime higher education institutions and maritime training institutions;
7. Maritime Education Programs – shall refer to the approved education andtraining for Marine Officers in-Charge of navigational or engineering watch
covered under Chapters II and III of the 1978 STCW Convention, as
amended or more popularly known as the Bachelor of Science in Marine
Transportation (BSMT) and Bachelor of Science in Marine Engineering(BSMarE) programs;
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8. Member Agency – shall refer to the Commission on Higher Education(CHED), Technical Education and Skills Development Authority (TESDA),
Professional Regulation Commission (PRC) or to the National
Telecommunications Commission (NTC) which the MARINA has entered intoa Memorandum of Agreement pursuant to Executive Order (EO) No. 75;
9. Monitoring – shall refer to the series of evaluations carried out to verify theextent of compliance with a formulated standards or degree of deviation froman expected norm and ultimately, to ensure the achievement of definedprogram and course objectives in accordance with the prescribed standardsof competence;
10. Monitoring Team – shall refer to a group of evaluators duly constituted to
conduct monitoring of maritime education programs, training courses andassessment of competence of seafarers carried out by METIs or assessment
centers;
11. Quality Standards System – shall refer to the documented policies,
procedures, controls and internal quality assurance system, relating but notlimited to training, assessment of competence and revalidation activities,
designed to ensure the achievement of defined objectives of the training
course in accordance with the requirements of the STCW Convention;
12. STCW Convention – shall refer to the International Convention on
Standards of Training, Certification and Watchkeeping for Seafarers of 1978
(1978 STCW Convention), as amended and its associated Code;
13. Training Course – shall refer to the series of lessons composed ofcomponent modules to teach an individual the skills, knowledge andproficiency to acquire the required competences and be certified inaccordance with the 1978 STCW Convention, as amended.
IV. GENERAL PROVISIONS:
1. Regulation I/8 of the 1978 STCW Convention, as amended, requires that all
education, training and assessment of competence of seafarers, among
others, shall be continuously monitored through a quality standard system inorder to ensure that the defined objectives are achieved. It is therefore theduty of the STCW Administration to ensure that such monitoring shall be
continuously undertaken by qualified persons who are not themselves
involved in the activities of or connected to the METIs or assessment centers
concerned.
2. The monitoring herein provided shall be conducted using an Outcomes-BasedMonitoring Instrument and shall be implemented following an outcomesbased approach, which:
2.1 Focuses on the competence outcome of the education, training andassessment – the students/trainees;

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2.2 Looks on core processes and procedures that are instrumental to thecompetence outcome of maritime education programs, training
courses and assessment of competence of seafarers; and,2.3 Intends to make METIs and assessment centers as well as allacademic, training personnel and support staff responsible for the
program, training course or assessment they carry out.
3. The STCW Office shall utilize qualified persons to conduct the monitoring who
are not themselves involved in the activities of or connected to the METIs andassessment centers concerned.
4. Pursuant to the Memoranda of Agreement of MARINA with CHED, TESDA,PRC and NTC, the monitoring of maritime education programs, training
courses and assessment of competence of seafarers carried out by METIs
and assessment centers under the jurisdiction of the said agencies shall bedone jointly by the member agency concerned with the Administration.
5. Only the duly authorized personnel shall be allowed to conduct monitoring
activities.
6. The Quality Standards System Manual of the METI or assessment center andrelated audit reports shall be made available upon request of the monitoringteam during such activity.
V. QUALIFICATIONS AND COMPOSITION OF THE MONITORING TEAM:
1. Every person who shall be assigned to join as member of the monitoring teamshall meet the following general qualifications:
1.1 Must not be involved in the activities of or connected to the METI or
assessment center concerned;
1.2 Has knowledge and understanding of the maritime education
program(s), training course(s) and/or competence assessment to bemonitored;
1.3 Attended the orientation(s) conducted by the Administration and themember agency concerned on the policies, rules and procedures on
the monitoring of maritime education programs, training courses
and/or assessment of competence of seafarers;
1.4 Must have experience in conducting monitoring activities for at least
three (3) times as under study;
1.5 In addition to the foregoing, evaluators must:
1.5.1 have appropriate work-related experience corresponding to
the training course or program to be monitored;
1.5.2 if the training course or program involves the use ofsimulator, should have gained practical operational
experience and appreciation on the use of simulators.
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2. Every monitoring team shall be headed by a Lead Evaluator who must meetthe following requirements:
2.1 Have experienced conducting monitoring activities for at least five (5)times as a member;
2.2 Should pass the evaluation by the Administration or the member
agency concerned; and,2.3 Have completed an auditor’s course.
The monitoring team leader and member(s) shall be duly assigned andspecified in the document authorizing the conduct of a monitoring activity.
3. The minimum composition of a monitoring team shall be as follows:
3.1 For the monitoring of training courses carried out by maritime training
institutions:3.1.1 One (1) MARINA – STCW Office personnel;
3.1.2 One (1) personnel and one (1) Evaluator who has thetechnical knowledge and experience on the training course
to be monitored in the case of training courses under thejurisdiction of TESDA or NTC;
3.1.3 One (1) MARINA – STCW Office Evaluator who has thetechnical knowledge and experience on the training course
to be monitored.
3.2 For the monitoring of maritime education programs carried out by
maritime education institutions:3.2.1 One (1) CHED - Office of Programs and Standards (OPS)maritime education personnel;
3.2.2 One (1) MARINA – STCW Office personnel;
3.2.3 One (1) CHED maritime education Evaluator who has thetechnical knowledge and experience on the maritime
education program to be monitored; and,3.2.4 One (1) MARINA – STCW Office Evaluator who has thetechnical knowledge and experience on the maritime
education program to be monitored.
3.3 For the monitoring of assessment of competence of seafarers carriedout by assessment centers:
3.3.1 One (1) personnel from the government agency concerned;
3.3.2 One (1) MARINA – STCW Office personnel;
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3.3.3 One (1) Evaluator from the government agency concerned
who has the technical knowledge and experience relevantto the competence assessment to be monitored, and,3.3.4 One (1) MARINA – STCW Office Evaluator who has thetechnical knowledge and experience relevant to thecompetence assessment to be monitored.
3.4 A maximum of two (2) observers (as under study) may also beallowed to join a monitoring activity.
3.5 The personnel and evaluators of the STCW Administration and themember agency concerned who shall form part of the monitoringteam are the official representatives and alter ego of the
Administration and the member agency concerned during the conduct
of every monitoring activity. As such, they shall perform theirrespective roles and tasks with utmost responsibility andaccountability and shall observe confidentiality of the monitoring
findings, documents and information gathered.
VI. PROGRAMMING AND PLANNING OF MONITORING ACTIVITIES
1. Programming of monitoring activities:
1.1 As a general rule, an annual program of monitoring activities
should be prepared not later than the 15 th day of January yearly.
1.2 The Administration shall be responsible for the annual
programming of monitoring activities for the training courses under
its jurisdiction.
1.3 The respective member agencies shall be responsible for theannual programming of monitoring activities for maritime education
programs, training courses and assessment of competence of
seafarers carried out by METIs and assessment centers under theirrespective jurisdictions.
1.4 The annual monitoring program shall indicate the following:
1.4.1 Name of METIs and/or assessment centers and themaritime education programs, training courses orcompetence assessment to be monitored;
1.4.2 Scheduled date(s) of monitoring activities;
1.4.3 Agency’s assigned personnel and evaluator; and,
1.4.4 Name and signature of the person who prepared and theofficial who approved the annual monitoring program.

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1.5 The member agency concerned shall transmit its approved
program of monitoring activities to the STCW Administration for
concurrence and assignment of MARINA – STCW Office personnel
and Evaluator(s) who shall join each and every monitoring activity.
1.6 Upon its concurrence, the Administration shall transmit the
program of monitoring activities back to the member agency
concerned with the MARINA – STCW Office personnel andevaluator(s) assigned to join each and every monitoring activity.
1.7 The preparation of budgetary and other administrativerequirements as well as all other pre-monitoring arrangements
needed to facilitate the conduct of such activities shall be inaccordance with the concerned agency’s administrative rules andprocedures.
2. Planning the conduct of monitoring:
2.1 The agency concerned having jurisdiction of the maritime education
programs, training courses or assessment of competence of
seafarers to be monitored shall convened the monitoring team to ameeting not later than ten (10) working days before the scheduledactivity for purposes of the following:
2.1.1 Preparing the monitoring plan;
2.1.2 Identifying and assigning the areas of evaluation and othertasks to be assigned to each of the monitoring teammembers; and,2.1.3 Advance review of available documents and information on
the METI or assessment center’s results of previous
monitoring of the maritime education program(s), training
course(s) or assessment of competence of seafarers.
2.2 A monitoring plan shall indicate the following:
2.2.1
2.2.2
2.2.3
2.2.4
2.2.5

Scope and objective(s) of monitoring;
Key areas of evaluation and assigned evaluator(s);Methods of monitoring;
Date, estimated time and duration of the activity; and,Resources needed.

2.3 The approved monitoring plan shall be transmitted to the METI or
assessment center by the STCW Administration or the member
agency concerned not later than five (5) days before the scheduled
date of monitoring for information.

VII. CONDUCT OF MONITORING

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Every monitoring activity shall be conducted using the Outcomes-BasedMonitoring Instrument adopted by the STCW Administration and the member
agency concerned and shall be in accordance with the following:
1. Opening meeting – The monitoring shall start with an opening meetingpresided by the Lead Evaluator with the official(s) and responsible
personnel/staff of the METI or assessment center concerned discussing thefollowing:
1.1
1.2
1.3
1.4
1.5

Scope and objective(s) of monitoring;
Key areas of evaluation and assigned evaluator;
Methods of monitoring;
Estimated time and duration of the activity; and;Confidentiality of monitoring findings, documents and information.

2. Evaluation proper – The monitoring shall be carried out by evaluating the key
areas of evaluation through:2.1 Interview of responsible personnel/staff for the key area being
evaluated;
2.2 Checking and review of the relevant quality processes, procedures
and documentations;
2.3 Class observation;
2.4 Practical exercise / assessment of competence observation;
2.5 Random interview of students/trainees/assessees;
2.6 Testing and checking of relevant facilities and laboratory equipment;
and,2.7 Checking and gathering necessary objective evidences relevant to
the key area evaluated.
3. Deliberation of findings – Once the evaluation is completed, the monitoringteam will sit down to discuss among themselves and be aware of theirrespective findings and to resolve any doubt or confusion which may arise
thereof.
4. Closing meeting – A closing meeting will then be conducted with the official(s)and responsible personnel/staff of the METI or assessment center concerned.
During this meeting, the monitoring findings shall be presented and clearly
explained. The officials and responsible personnel/staff may be given theopportunity to ask pertinent clarification on the findings presented.
5. Preparation of the Monitoring Log and Report – After the closing meeting, themonitoring log and report shall be prepared and signed by the monitoringteam and duly countersigned by the Head of the METI or assessment center
concerned.
VIII. MONITORING FINDINGS
1. The monitoring findings shall be rated either as a “Conformance”, “Nonconformance”, or Observation. A “Non-conformance” shall be categorized into
“Major Non-conformance” or “Minor Non-conformance”.
2. The evaluator shall be guided by the following description of the said ratings
which are provided for purposes of this Circular:
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2.1 Conformance – shall refer to the compliance with the required
standards or system elements and procedures for the implementationof the maritime education program(s), training course(s) orassessment of competence of seafarers carried out by the METI or
assessment center concerned. This shall be labeled as “Satisfactory(SAT)” in the monitoring log and report as provided in the succeeding
provisions herein.
2.2 Non-conformance – shall refer to the deficiency or non-compliancewith the required standards and procedures for the implementation of
the maritime education program(s), training course(s) or assessmentof competence of seafarers carried out by the METI or assessment
center concerned, which shall be categorized into:
2.2.1 Major Non-conformance (MNC) – shall refer to theabsence of one or more of the required system elements of
the Quality Standards Systems or a situation which raises
significant doubt that the education, training or assessmentof competence meets the specified standards andrequirements and competence outcome. It can also be:A group of Minor non–conformances indicating
inadequate implementation or effectiveness of the system
relevant to an element of the standard;

A Minor non–conformance that is persistent or is notcorrected by the organization within the prescribed period
as provided in this Circular.

2.2.2 Minor Non-conformance (mNC) – shall refer to a single
system failure or lapse in conformance with a procedure
relating to the applicable standards for the implementation of
the maritime education program(s), training course(s) orassessment of competence of seafarers carried out by the
METI or assessment center concerned. This failure does notindicate a system breakdown nor raises doubt that theeducation, training, or assessment meets the specified
standards and requirements and competence outcome.
2.3 Observation (OBS) – is not a non-conformance but something that
could lead to a non-conformance if not properly addressed or afinding without clear evidence to verify that it constitutes a nonconformance.
3. The evaluator may also take note of “Noteworthy Efforts”. These are initiatives
undertaken by the institution to achieve higher level of qualitative results (e.g.
best practices that resulted towards further improvement of expected
outcomes).
4. In case of a Major Non-conformance finding to a training course orassessment of competence of seafarers, the MTI or assessment center
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concerned shall be prohibited from carrying out that particular training courseor assessment of competence until such time that evidence is submitted thatthe cause(s) of such deficiency has been rectified and verified through a reevaluation. Such re-evaluation shall be conducted within fifteen (15) working
days after the receipt of the evidence required;
5. In case of a Major Non-conformance finding to a maritime education program,
the MEI concerned shall be ordered to submit a corrective action plan within
fifteen (15) working days, after the receipt of the official result of monitoringfrom member agency concerned, to rectify such finding including the interim
measure to ensure that the required standards of learning of affected students
shall not be sacrificed. Upon approval of the corrective action plan, theinstitution shall be subjected to frequent monitoring.
If the MEI concerned fails to comply with the aforesaid conditions and/or
implementation within the agreed timeframe or based on clear evidence
during the frequent monitoring, the procedure to phase out the maritime
education program shall be initiated by the member agency concerned.
6. For a “Minor Non-conformance”, the METI or assessment center concerned
shall be required to undertake corrective action within a reasonable period oftime which shall not exceed three (3) months. Failure to undertake thecorrective action within the said period shall result in a major nonconformance.
7. For an “Observation”, the METI or assessment center concerned shalladdress such observation within a period of one (1) year.
IX. PREPARATION AND SUBMISSION OF MONITORING REPORT
1. Every monitoring report shall be prepared and entered into the “Outcomesbased Monitoring Log and Report” which must indicate, among others, acomplete description of the findings and the team’s recommendation(s). All
relevant evidences gathered, supporting each and every finding, shall be
attached as Annex to the monitoring log and report.
2. The submission of the monitoring report shall be within three (3) working days
after the completion of every monitoring activity.
X. ACTION ON THE MONITORING REPORT
1. Within seven (7) days after the submission of the monitoring report, the resultof the monitoring activity shall be officially communicated by the STCW
Administration or by the member agency having jurisdiction of the METI or
assessment center concerned.
2. Further action and processing of the monitoring report shall be carried out by
the STCW Administration or by the member agency concerned in accordancewith their respective policies, rules and procedures.
3. The STCW Administration shall be furnished with any further action(s) takenby the member agency on the monitoring report as well as the status of any
corrective action plan(s) in the case of maritime education programs.
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XI. SANCTIONS AND PENALTIES:The procedure for the imposition of the appropriate sanctions and penalties shallbe based on the provisions of this Circular and the appropriate policies, rules
and procedures issued by the member-agency.
XII. REPEALING CLAUSE:
Any provision of existing MARINA Circulars, Rules and Regulations and otherissuances pertaining to the monitoring of maritime education programs, training
courses or assessment of competence of seafarers carried out by METIs andassessment centers which are inconsistent with this Circular is hereby repealed
and/or modified accordingly.
XIII. SEPARABILITY CLAUSE:
Should any provision or part of this Circular be declared by any competentauthority to be invalid or unconstitutional, the remaining provisions or parts
hereof shall remain in full force and effect and shall continue to be valid andeffective.
XIV. EFFECTIVITY:This MARINA Circular shall take effect fifteen (15) days after its publication oncein a newspaper of general circulation.
Manila, Philippines, January 18, 2013.

BY AUTHORITY OF THE BOARD(Signed)ATTY. NICASIO A. CONTI
Officer-In-Charge
Secretary’s Certificate
This is to certify that MARINA Circular No. 2013-06 was approved by the
MARINA Board of Directors during its Regular Meeting on January.

(Signed)ATTY. VIRGILIO B. CALAG
Acting Corporate Board Secretary
Date of Publication : 26 April 2013

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