Proposal for a COUNCIL DIRECTIVE amending Directive 94/58/EC on the minimum level of training of seafarers
Date: 1996-10-01
Institutions: European Commission
Subjects: crew, maritime transport, professional qualifications, transport staff, vocational training

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 01.10.1996 
COM(96) 470 final 

96/0240 (SYN) 

Proposal  for a 

COUNCIL DIRECTIVE 

amending  Directive  94/58/EC 

on the minimum  level of training  of  seafarers 

(presented  by the Commission) 

EXPLANATORY  MEMORANDUM 

GENERAL  INTRODUCTION 

Council  Directive  94/58/EC 

1. Council Directive 94/58/EC on the minimum level of training of seafarers  adopted on 22 
November  1994 is based on the internationally agreed training rules as contained in the IMO 
Convention on Standards of Training, Certification and Watchkeeping for seafarers  (STCW) 
1978. 

In  addition,  the  Directive  introduced  requirements  (Article  8)  relating  to  on  board 
communication between all members of the ship's company and communication between the 
ship  and  the  shore-based  authorities.  For  ro-ro  passenger  vessels  specific  requirements 
concerning communication between personnel nominated on muster lists and passengers  are 
laid down. Regarding oil, chemical and liquefied  gas tankers the Directive stipulates that the 
master,  officers  and ratings are able to communicate with each other in (a) common working 
language(s). 

The Directive enables also Member States by means of  port State control provisions (Article 
10 and  11) to check seafarers  on board  ships flying  the flag  of a third  country,  in order  to 
verify  whether  the  level  of  training  and  competence  meet  the  standards  of  the  STCW 
Convention  and  whether  they  are  able to  communicate  between themselves  in  accordance 
with Article  8.  In case of non compliance Member  States may proceed  to the detention of 
the ship. 

IMO  1995 Conference  on the revision  of STCW Convention. 

2.  At the  IMO  Conference  which  took place  in London  from  26 June  to  7 July  1995 the 
STCW  1978 Convention was substantially  revised.  One of the new elements introduced  in 
the  revised  STCW  was  that  IMO  obtained  the  right  to  verify  that  contracting  Parties  are 
giving the new training requirements  full  and complete effect.  It was decided that IMO will 
draw  up  and  publish  a  list  of  Parties  which  will  comply  with  all  requirements  of  STCW 
1995. 

Obligations under  Directive  94/58/EC 

3. Article  12 § 2 of Directive 94/58 provides that the Council, acting on a proposal from the 
Commission  shall  decide  on  the  detailed  arrangements  for  ratifying  new  instruments  or 
protocols  to  the  STCW  Convention  while  ensuring  that  they  are  applied  uniformly  and 
simultaneously  in the Member States. 

Article  9  § 3 of  (a) the Directive provides  that the Council,  acting  in accordance  with the 
conditions  of  the  Treaty  will  adopt  before  1 July  1995  a  set  of  common  criteria  for  the 
recognition of types of certificates  issued by institutes or administrations  of third countries. 

It is mentioned that Member  States shall notify  the Commission  and the other Member  States 
of  the  types  of  certificates  they  have  recognised  or  intend  to  recognise  in  compliance  with 
If,  within  a  period  of  three  months  following  this  notification,  an 
the  common  criteria. 
objection  is  raised  by  a  Member  State  or  the  Commission  on  the  basis  of  the  common 
criteria,  the matter shall be submitted by the Commission to the Committee established  under 
Article  13 of  the  Directive. 

In the context  of  the  revision  of the STCW  Convention,  the Commission  has  followed  very 
closely  and taken part  in the discussions  and developments  in IMO related,  inter  alia,  to  the 
regulations  concerning  the proper  implementation  of  the  Convention. 

In its Communication  on Safe  Seas  COM  (93)  66 Final  (2) the  Commission  has  announced 
that  actions  to  be  taken  at  Community  level,  in  the  field  of  maritime  safety,  should  be 
consistent  with  IMO  rules  and  standards. 

In the light of this objective  and  in order  to examine together  the issues  raised  in Articles  12 
§ 2 and  9  § 3,  the  Commission  considered  it  appropriate  to  wait  for  the  final  approval  by 
the IMO  Conference  of  the revised  1995 STCW  Convention  before  sending  to  the  Council 
formal  proposals  for  the  common  criteria  and  the  adaptation  of  Directive  94/58/EC. 

SPECIAL  CONSIDERATIONS 

Content  of  the  Directive 

4.  The  present  proposal  to  adapt  Directive  94/58  concerns  a)  the  new  STCW  training  and 
certification  requirements  including  watchkeeping  provisions  which  deal,  inter  alia,  with 
mandatory  minimum  rest  period  for  watchkeeping  personnel  and  b)  the  introduction  of 
common criteria  for  the recognition  of seafarers'  certificates  issued  by third  countries.  The 
proposal does not change the Articles of Directive 94/58 concerning on board  communication 
and  port  State  control.  However,  concerning  the  latter  question,  the  Commission  is  of  the 
opinion that provisions  should  be proposed  in addition to the existing  Articles  10 and  11 in 
order  to take  into  account  the  requirements  of  Regulation  1/4 of  STCW  95. 

The  proposal  therefore  amends  the  Directive  as  follows  : 

a) 

b) 

Article 4  is amended  to take account of changes  in existing definitions  and  introduce 
certain  new  STCW  95  definitions. 

A new Annex replaces the existing Annex to the Directive containing,  as appropriate, 
the  revised  STCW  Chapters. 

The new STCW Code which upgrades  and replaces  the Appendices  to the  regulations 
of  STCW  1978  is  taken  up  in  the  proposed  Directive  by  making  the  appropriate 
references  to the Code which  completes  the provisions  of  Chapters  I to VIII  of  the 
Annex. 

c) 

New Articles  are  inserted  to deal with  the STCW  95  principles  contained  mainly 
in Chapters  I and VIII and the associated  sections  of Part  A of  the Code. 
These  Articles  concern  in particular  : 

certificates  and endorsements  (Article  3a) corresponding  to STCW new Regulation 

1/2, 

near-coastal  voyages  (Article  5a) corresponding  to STCW new Regulation 1/3 

national provisions  (Article 5b) corresponding  to STCW new Regulation 1/5, 

quality  standards  (Article  5c) corresponding  to STCW new Regulation  1/8, 
medical  standards  - issue  and registration  of certificates  (Article  5d) corresponding 
to STCW  new Regulation 1/9, 

revalidation of certificates  (Article 5e) corresponding  to STCW new Regulation 1/11, 

use of  simulators  (Article  5f)  corresponding  to STCW new Regulation 1/12, 

responsibilities  of  companies  (Article  5g)  corresponding  to  STCW  new  regulation 
1/14, 

transitional  provisions  (Article  5h) corresponding  to STCW  new Regulation 1/15, 

fitness  for  duty  (Article  5i) corresponding  to STCW  new Regulation  VIII/1. 

d) 

e) 

f) 

g) 

Article  7  is  amended  in  order  to conform  with  the  STCW  new  Regulation  1/6 on 
training  and  assessment. 

Article 9 (3)(a), is replaced in order to define the common criteria for the recognition 
of  seafarers'  certificates  issued  by  third  countries.  The  criteria  proposed  are  in 
conformity  with STCW  1995 provisions,  in particular  Regulation 1/10 . 
Detailed  analysis  with regard  to this important  area  of action is presented  below. 

New articles  10a and  11a are  inserted  to reflect  the requirements  of  Regulation 1/4 
on port  State control. 

Article  12 is amended  in order to make possible that  amendments to the  Directive 
which will be required  because of future  changes in the STCW Code can be decided 
in accordance  with the procedure  laid down in Article  13 (Comitology  procedure). 

Object,  purpose  and effectiveness  of the STCW Convention 

5. The object and purpose of the STCW Convention when adopted in 1978 (STCW 78) was 
to  establish  in  common  agreement  international  standards  of  training,  certification  and 
watchkeeping  for  seafarers  in order  to promote  safety  of  life  and property  at  sea  and  the 
protection  of the marine  environment.  Certificates  bearing  or  accompanied  by  an agreed 
endorsement  are required  to be issued  to seafarers  who have attained the agreed  standards 
and such certificates  are to be accepted by all other Parties  as proof  that the lawful  holders 
have met these standards. 

Unfortunately  confidence  in the credibility  of  STCW  78 certificates  has been undermined 
through  poor compliance  and the lack of effective  monitoring  and enforcement  provisions 
in the  Convention.  This  led to complete revision  of the Convention  annex  in  1995.  The 
resulting amendments enter into force on 1 February  1997 and include transitional provisions 
which allow Parties to continue to issue, endorse and recognize certificates  under STCW 78 
provisions until 1 February 2002, but only in respect of those seafarers  who commence their 
approved  seagoing  service  or approved  training prior  to  1 August  1998. 

Standards  of individual  Parties 

6. Each  Party to the Convention may require, in respect of ships entitled to fly its own flag, 
standards  higher  than  those  internationally  agreed  upon.  This  right  to  establish  national 
standards at a higher level has been exercised to some degree by various Parties.  However, 
such national  standards  cannot be applied to seagoing  ships  of other Parties. 

Diplomas issued  by maritime training  institutes 

7. Diplomas are generally  issued on the basis of scholastic achievement demonstrated  while 
attending  a  pre-sea,  sandwich  or,  in  some  cases,  pre-certification  training  courses  at  a 
maritime training institute or academy.  One of the major weaknesses seen in STCW 78 was 
that  its  standards  are  knowledge  based  and  incorporate  very  few  practical  competency, 
ability, proficiency  or skill requirements.  However, where an integrated training programme 
is involved which incorporates  in-service training on board ship, the on-board training may 
be  monitored  through  a  training  record  book  which  under  STCW  95  will  have  to  be 
expressly  approved by the Party which is to issue the certificates.  The entries and projects 
contained  in this training  record  book may,  in some cases  in the past,  have been reviewed 
by the student's supervising instructor at the training institute after completion of all seagoing-
service requirements.  The practical knowledge and skills acquired during service at sea may 
also be tested by the supervising  instructor  or other assessor  through oral,  practical  and/or 
simulator  based  examinations. 

In some countries an appropriate  STCW certificate  may be issued on behalf of the Party by 
the training institute in addition to the diploma.  Alternatively, the diploma may be presented 
to the government department responsible for administration of the STCW Convention which 
may then issue an appropriate STCW certificate  without further  examination or assessment. 

Approval  of maritime  education and training 

8.  Under  STCW  78,  masters  and  deck  officers  are  not  specifically  required  to  have 
completed  any  education  or  training  other  than to have attended  an approved  fire-fighting 
course. 

Practice under STCW 78 has varied from Party to Party but in general, approval of training 
for  deck  officers  has  been  required  only  when  the  institution  has  applied  to  the 
Administration for  a reduction in the length of seagoing service required of their graduates. 

On the other hand marine engineer officers  are required under STCW 78 to have completed 
not  less  than  three  years  of  approved  education  or  training.  This  is  not  as  strict  as  the 
revised  STCW 95 requirement  to have completed both education and ..training. 

Factors which may affect  the quality of education and training provided at maritime training 
institutions 

9. The quality of education and training provided at a maritime training  institution depends 
upon a number of  factors  including : 

the  entry  standards  applied  by  the  institution,  the  standard  of  general  education 
prevailing within the country and the levels of supply and demand in respect  of well 
educated  persons; 

the  priority  accorded  to  the  maritime  training  sector  by  the  Government  and  the 
relative  attractiveness  of  sea life  and shore life to the population; 

the  quality  of  the  teaching  staff  that  the  institution  can  attract  and  retain  and  the 
adequacy  of  facilities  and training equipment and aids provided; 

whether  or  not the institution  has been accredited  or approved  and is monitored  by 
the  maritime  administration  or  department  of  education  and  whether  or  not  an 
effective  quality  system  is in place. 

whether or  not the institution has received the particular  assistance  and attention  of, 
or  has  been  sponsored  by  a  donor  government  or  agency,  shipping  company  or 
shipping  companies  directly  or through  an agency. 

All of the above  factors  may  apply  to training  institutes  located  in countries  which supply 
labour  to  international  shipping  and  in  such  cases,  the  receipt  of  assistance  or  attention 
mentioned above is of particular relevance.  The motivation and management skills of those 
in authority  must  also be kept in mind. 

Role  of  education  and  training  in  recognition  of  certificates 

10. If  little credence  can be placed  in the certificates  issued  by  or  on behalf  of  a Party,  then 
there  is  equally  no  reason  to  place  much  credence  in  any  approval  or  accreditation  of  a 
training  institute  granted  by  the  maritime  administration  of  that  Party.  However,  factors 
such  as  the  involvement  of  another  governmental  department  or  agency  dealing  wuh 
education  must  be  taken  into  account. 

In some  labour  supplying  countries  a small  number  of  good  quality  training  institutions  are 
known to operate in direct competition with others of poor quality.  However,  the  certificates 
issued  under  STCW  78  to  those  seafarers  who  receive  a  good  standard  of  education  and 
training  do  not differ  in any  way  from  those  issued  to  poorly  trained  seafarers.  While  the 
situation  under  STCW  95  could  show  early  improvement  through  closure  of  inadequate 
training  institutes,  it will take some years for  standards to be raised  at all remaining  institutes 
to  more  than  marginally  meet  the  minimum  standards  and  yet  many  more  to  meet  the 
standards  attained  by  institutes  located  in EU  Member  States. 
The  quality  of  training  provided  at  any  institution  can  only  be  reliably  established  through 
inspection  of  facilities  and  procedures  as provided  for  under  regulation  1/10 of  STCW  95. 
The  procedure  followed  should,  as  a  minimum,  be  based  on  the  provisions  of  the  STCW 
articles  and  STCW  95  regulations  1/6, to 1/12 inclusive  and  all  relevant  sections  of  parts  A 
and  B of  the  STCW  Code,  including  section  B 1/9, paragraph  13, and  take  into  account  all 
information  provided  by  the  issuing  Party. 

Such  an  inspection  may  indicate  that  one  or  more  of  the  training  institutes  approved  or 
accepted  by  the  issuing  Party  provide  maritime  education  and  training  of  such  poor  quality 
that  it  does  not  meet  the  minimum  standards  requires  by  STCW  95.  A  flag  State  Party 
which  reaches  that  conclusion  cannot  recognize  any  certificate  issued  by  the  other  Party. 
However,  recognition  of  any  or  all  certificates  issued  by  or  on  behalf  of  the  other  Party 
becomes  possible  if,  pursuant  to  the  provisions  of  STCW  95,  the  issuing  Party; 

approves  only  the  education  and  training  provided  at those  training  institutes 
which  meet  the  minimum  standards  of  STCW  95. 

lesser 
establishes  and  requires  the  holders  of  certificates  which  reflect  a 
standard  of  competence  to  successfully  complete  appropriate  refresher  and 
updating  training  or  assessment;  and 

meets  all  other  requirements  of  the  revised  Convention. 

STCW  95 prescribes  minimum  standards  for  certificates  that are  to be  recognized  by  a  flag 
State Party under Regulation 1/10.  As noted under  § 6  on  "Standards of individual Parties", 
this  does  not  prevent  a  flag  State  Party  from  requiring  the  holders  of  certificates  issued  by 
another  Party  to meet higher  standards  of competence before  they are authorized  to serve  on 
ships  of  its  flag,  by  issue  of  an  appropriate  endorsement  attesting  recognition  of  their 
certificate.  Shipping  companies  themselves  can  and  occasionally  do  demand  of  their 
prospective  employees  even  higher  standards  than  their  Administration  requires.  On  that 
basis,  some  shipping  companies  already  recruit  only  those  seafarers  who  graduate  from 
institutes  which  meet  or  exceed  the  shipping  company's  own  higher  standards  of  maritime 
education  and  training  and  competence. 

7 

Authentication  of documents 

11. Given the ease with which documents can be forged  or altered today, there is a need for 
access  to reliable  records  so that at  least any  suspicious  documents  may be  authenticated. 
The simplest method of achieving this is to require,  as part of the accreditation process,  the 
provision of computerized records of all seafarers  who have graduated from the academy or 
training  institution.  Sufficient  detail should be incorporated  in these records  to reasonably 
ensure  reliable  identification  of each graduate.  Records  of those graduating  in  successive 
years can then be progressively  added. 

Institute  accreditation  criteria  and process 

12.  Establishment  of  a  training  institute  based  recognition  system  would  necessitate  the 
development  and  uniform  application  of  precise  criteria  upon  which  recognition  is  to  be 
based.  These  criteria  should  reflect  the  requirements  of  STCW  95.  It  should  also  take 
account  of all decisions  of IMO relevant  to STCW 95.  Additional requirements  over  and 
above those of STCW 95 are possible to be applied in the case of recognition of  certificates 
for  service  on board  ships of  a Member State. 

The procedures  followed  to confirm that STCW 95 standards are fully  met should comprise 
two  parts,  the  first  being  the  communication  of  documentary  evidence  regarding  the 
standards  and quality  of education and training provided by the institute.  If review  of such 
documentary evidence confirms that minimum standards of STCW 95 are met, it would then 
be necessary  for  the institute concerned  to be visited  and assessed. 

STCW 78 standards  and their  comparison 

13. Given that STCW 95 enters into force  on 1  February  1997, attention should be focused 
on that  instrument  alone.  STCW  95 Regulation 1/11 requires  each Party  to  compare  the 
standards  it  previously  applied  under  STCW  78  with  those  specified  in  STCW  95. 
Assessment  of  the  outcome  of  this  comparison  should  be  incorporated  in  the  E.U. 
recognition process.  While the date of 1  February 2002 is employed in the Regulation 1/11 
so as to ensure that all certificates  that may be issued under STCW 78 are covered,  it is in 
the interests of each Party that it should complete the required comparisons prior to 1 August 
1998, by which time it must communicate all information  required under Regulation 1/7 and 
section A-I/7 of the STCW Code. Any arrangements deemed necessary to upgrade or update 
the knowledge  skills  and competence of seafarers  certificated  under  STCW  78 should  also 
be in place by that time although an orderly  process of upgrading may take up to five years-
to complete.  Access  to employment on board  ships of Member  States provides  a  powerful 
incentive to Governments,  training  institutes,  and seafarers  alike. 

Port  State  control  aspects 

14.  As  previously  noted  under  "Standards  of  individual  Parties"  only  STCWL-minimum 
requirements  concerning  education and training  should  be applied  to ships entitled  to fly the 
flag  of  other  Parties. 

The  control  provisions  of  regulation  1/4 have been  broadened  to  include  : 

the  production  of  documentary  proof  that  application  has  been  made  for  an 
endorsement  attesting  recognition; 

verification  that the  numbers  and certificates  of  seafarers  serving  on board  conform 
to  safe  manning  requirements  of  the  Administration;  and 

assessment  of  ability  to  maintain  watchkeeping  standards  if  the  ship  is  operated  in 
such  a manner  as  to  pose  a danger  to persons,  property  or  the  environment. 

Detention  of  the  ship  in case  of  : 

failure  to  comply  with  safe  manning  requirements  of  the  Administration, 
failure  to comply  with the watchkeeping  requirements  of the  Administration, 
absence  in a watch of persons  qualified  to operate equipment essential  to  safe 
navigation,  safety  radiocommunications  or the prevention of marine pollution, 
and 
inability to provide watchkeepers  who are sufficiently  rested  and otherwise  fit 
for  duty. 

Language  aspects 

15.  Ability  to  communicate  orally  and  to understand  orders,  instructions  and  advice  in  all 
circumstances  is  essential  to  ensure  proper  co-ordination  of  the  activities  of  a  ship's 
complement.  Careful  attention must therefore  be paid to the language capabilities  of  holders 
of  certificates  which  are  to  be  recognised. 

Knowledge  of  flag  State  legislation  relevant  to  duties 

* 

16.  Although  a  number  of  alternative  approaches  are  available,  knowledge  of  the  Member 
State  legislation  could  be  ensured  through  distribution  of  a  summary  of  key  relevant 
legislative provisions  and some form  of written test to be completed and forwarded with each 
application  for  recognition  of  a  certificate  or  for  revalidation  of  an  endorsement  attesting 
recognition.  This requirement  concerns seafarers  to serve on board at the management  level. 

Endorsements  attesting  recognition 

17.  A  format  for  the  endorsements  attesting  recognition  of  certificates  is  prescribed  under 
Regulation  1/2 of  the  revised  STCW  Convention  and  in  section  A-I/2  of  the  STCW  Code. 
However,  Regulation  1/2,  § 8 states  that  "Administrations  may  use  a format  different  from 
the  format  given  in  section  A-I/2  of  the  STCW  Code,  provided  that,  as  a  minimum,  the 
required  information  is provided  in Roman characters and Arabic figures,  taking into account 
the  variations  permitted  under  section  A-I/2. 

Conclusions 

18,  It  is  entirely  feasible  for  Member  States  to  recognize,  by  endorsements  issued  in 
accordance  with Regulation 1/2 of  STCW  95, certificates  issued  by other  Parties  and thus 
authorize  the  employment  of  the  holders  on  board  ships  entitled  to  fly  their  flag.  The 
conditions  governing  the  issue  of  such  endorsements  can  include  proof  of  completion  of 
approved  maritime  education  and  training  at  an accredited  institute,  within  or  beyond  the 
jurisdiction  of the other Party  concerned. 

The advantages  of such a system  include : 

assurance  that  the  holder  of  each  individual  certificate  recognized  has  completed 
education  and  training  considered  to be  equivalent  to  that  approved  by  a Member 
State under  STCW 95 and including,  at least  in the future,  approved  monitoring of 
in-service training and assessment  activities and their supervision  and monitoring on 
board  ships flying its  flag. 

the ability to initiate corrective action in respect of any weakness in the education and 
training of endorsement holders which may become apparent through their in-service 
performance  and 

upgrading of the education and training provided at the selected training institutes in 
labour  supplying  countries  to fully  meet STCW 95 standards; 

The disadvantages  of  such a system  include : 

the significant  human and financial  resource  demands  involved; 

the necessity  to obtain the co-operation  of each Party  whose certificates  are 
to  be  recognised  in  this  particular  manner  which  could  be  viewed  as 
undermining the value of certificates  otherwise  issued by or on behalf of that 
Party. 

Entry  into Force 

19.  The revised  STCW  Convention  is foreseen  to enter  into force  on  1 February  1997. 
The entry into force  of the Convention is done under the tacit approval  laid down in Article 
XII of the Convention. It is stipulated that "an amendment to the annex shall enter into force 
with respect  to all Parties,  except those which have objected  to the amendment under  sub^ 
paragraph  (a)(vii) and which have not withdrawn such objections,  six months  after  the date 
on which it is deemed  to have been accepted. 

It is expected that all Member  States apart Austria which is not yet contracting Party  to the 
1978 STCW Convention,  will accept the revised  STCW Convention. 

Under  these  circumstances  the  Commission  believes  that  the present  proposal  should  not 
raise  particular  difficulties  for  Member  States  and  it would  therefore  urge  the  Council  to 
adopt  as  soon  as  possible  the  proposal  in  view  of  making  possible  that  the  amended 
Directive  will come into force  in 1997. 

10 

Proposal  for a 

Council  Directive  amending  Directive  94/58/EC 
on  the  minimum  level  of  training  of  seafarers 

THE  COUNCIL  OF  THE  EUROPEAN  UNION, 

Having regard  to the Treaty  establishing  the European Community,  and  in particular  Article 
84(2)  thereof, 

Having  regard  to  the  proposal  from  the  Commission,  (1) 

Having  regard  to  the  opinion  of  the  Economic  and  Social  Committee,  (2) 

Acting  in accordance  with  the  procedure  referred  to  in Article  189c  of  the  Treaty  (3) 

Whereas  Council  Directive  94/58/EC  on the  minimum  level  of  training  of  seafarers  (4)  in 
Article  12 paragraph  2 provides  that following  the adoption of new instruments  or  protocols 
to the STCW Convention referred  to in Article 4 (v), the Council,  acting on a proposal  from 
the  Commission,  shall  decide,  taking  into  account  the  Member  States'  parliamentary 
procedures,  as well as the relevant procedures  within IMO,  on the detailed  arrangements  for 
ratifying  those new instruments  or protocols,  while ensuring that they are applied  uniformly 
and  simultaneously  in  the  Member  States; 

Whereas  Article  9  paragraph  3  (a)  of  this  Directive  provides  that  a  set  of  criteria  for  the 
recognition  of  types  of  certificates  issued  by  institutes  or  administrations  of  third  countries 
will  be  defined  by  the  Council,  acting  in accordance  with  the  conditions  of  the  Treaty; 

Whereas  in its Communication  on Safe  Seas the Commission  (5) has  announced  that  actions 
to  be  taken  at  Community  level  in  the  field  of  maritime  safety  and  pollution  prevention  at 
sea should be, where appropriate,  in line with the internationally  agreed  rules  and  standards; 

Whereas  the  IMO  Conference  of  26  June  -7 July  1995  adopted  the  revised  Convention  on 
Standards  of  Training,  Certification  and  Watchkeeping  for  Seafarers,  1978  (STCW 
Convention)  and  the  Seafarers'  Training,  Certification  and  Watchkeeping  ( STCW  )  Code; 

Whereas  the provisions  of the revised  STCW Convention should be properly  reflected  in the 
Directive  as  soon  as  possible  in order  to ensure  that  Member  States  act  in consistency  with 
their  obligations  at  international  level; 

Whereas  in order  to  prepare  the proposal  required  under  Article  9 paragraph  3  of  Council 
Directive  94/58/EC,  it was  appropriate  to  wait for  the approval  by  IMO  Conference  of  26 
June  -  7  July  1995  of  the  revised  STCW  Convention  which  ,  inter  alia,  introduces 
provisions  dealing  with  the  recognition  of  certificates  at  international  level; 

1) 
2) 
3) 
4)  O.J.  no  L  319/28  of  12.12.1994 
5)  COM  (93)  66  final  (2) 

11 

Whereas  the establishment  of the common criteria  for  the  recognition  by  Member  States  of 
certificates  issued  by  institutes  or  administrations  of  third  countries  should  be based  on  the 
training  and  certification  requirements  as  agreed  in  the  framework  of  the  revised  STCW 
Convention; 

Whereas  the common criteria  for  recognition of certificates  for  service on board  ships  flying 
the  flag  of  a Member  State  should  be  based  on  the  capacity  of  maritime  training  institute 
attended  by  the  seafarer;  whereas  criteria  for  the  approval  by  Member  States  of  maritime 
training  institutes  in third  countries  and  criteria  for  the approval  of maritime  education  and 
training  programmes  and  courses  of  these  institutes  should  be  therefore  be  established; 

Whereas  for  the  enhancement  of  maritime  safety  and  pollution  prevention  at  sea  the 
watchkeeping requirements  of the STCW Convention including the provisions on rest periods 
for  watchkeeping  personnel  should  be  introduced  in  the  present  Directive; 

Whereas port State control provisions  should be broadened  as the revised  STCW  Convention 
requires; 

HAS  ADOPTED  THIS  DIRECTIVE: 

Article  1 

Directive  94/58/EC  is  hereby  amended  as  follows: 

1.  The  following  Article  is  inserted: 

'Article  3a 

Certificates  and  endorsements 

1.  Certificates  shall  be  in  the  official  language  or  languages  of  the  issuing  Member  State. 
If  the  language  used  is  not  English,  the  text  shall  include  a translation  into  that  language. 

2.  In  respect  of  radio  operators,  Member  States  may  : 

1) 

2) 

include  the  additional  knowledge  required  by  the  relevant  regulations  in  the 
examination  for  the  issue  of  a certificate  complying  with the Radio  Regulations; 
or 

issue a separate  certificate  indicating that the holder has the additional  knowledge 
required  by  the  relevant  regulations. 

12 

3.  The endorsement required  by article VI of the STCW Convention to attest the issue of a 
certificate  issued by a third country  shall only be issued  if all the requirements  of Article 9 
paragraph  3(a)  have been complied  with. 

4.  At the discretion  of a Member  State endorsements  may be incorporated  in the format of 
the  certificates  being  issued  as  provided  for  in  section  A-I/2  of  the  STCW  Code.  If  so 
incorporated  the form used shall be that set forth  in section A-I/2, § 1.  If issued otherwise, 
the form  of endorsements  used  shall be that set forth  in  paragraph  2 of that section. 

5. A member State which recognizes a certificate under the procedure of Article 9 paragraph 
3(a)  shall  endorse  such  certificate  to  attest  its  recognition.  The  form  of  the  endorsement 
used  shall be that  set forth  in paragraph  3 of section A-I/2 of the STCW Code. 

6.  The endorsements  referred  to in paragraphs  3, 4 and 5 : 

1)  may be issued  as separate documents; 

2)  shall each be assigned  a unique number,  except that endorsements  attesting 
the issue of a certificate  may be assigned  the same number  as the  certificate 
concerned,  provided  that that number  is unique; and 

3)  shall  expire  as  soon  as  the  certificate  endorsed  expires  or  is  withdrawn, 
suspended or cancelled by the third country which issued it and, in any case, 
not more than five  years  after  their date of issue. 

7. The capacity in which the holder of a certificate  is authorized to serve shall be  identified 
in the form  of endorsement  in terms  identical to those used  in the applicable safe manning 
requirements  of the Member  State. 

8. Member States may use a format  different  from  the format  given in section A-I/2 of the 
STCW Code, provided that, as a minimum, the required  information  is provided  in Roman 
characters and Arabic figures, taking account of the variations permitted under section A-I/2. 

9.  Any certificate  required  by the Directive  must be kept available  in its original  form  on 
board  the ship on which the holder  is serving.' 

2.  In Article 4: 

- paragraph  (c)  is replaced  by the following  text: 

"(c) 

'deck  officer'  means  an  officer  qualified  in accordance  with  the  provisions  of 
chapter  II of the Annex.  " 

- paragraph  (d)  is replaced  by the following  text: 

"(d) 

'chief  mate'  means  the  officer  next  in  rank  to the  master  and  upon  whom  the 
command  of the ship will fall  in the event of the incapacity  of  the master. 

13 

- paragraph  (e) is replaced  by the following  text: 

"(e) 

'engineer officer'  means an officer  qualified  in accordance with the provisions of 
chapter  III of the Annex. " 

-paragraph  (f)  is replaced  by the following  text: 

"(f) 

'chief  engineer  officer'  means  the  senior  engineer  officer  responsible  for  the 
mechanical propulsion  and the operation and maintenance of the mechanical and 
electrical  installations  of the ship." 

-paragraph  (g) is replaced  by the following  text: 

"(g) 

'second  engineer  officer'  means  the  engineer  officer  next  in  rank  to  the  chief 
engineer officer  and upon whom the responsibility  for the mechanical propulsion 
and the operation  and maintenance of the mechanical and electrical  installations 
of the ship will fall  in the event of the incapacity of the chief  engineer  officer. " 

-paragraph  (i)  is replaced  by the following  text: 

"(i) 

'radio  operator'  means  a  person  holding  an  appropriate  certificate  issued  or 
recognised  by  the  competent  authorities  under  the  provisions  of  the  Radio 
Regulations." 

-paragraph  (o)  is replaced  by the following  text: 

"(o) 

'propulsion  power'  means the total maximum continuous  rated  output  power in 
kilowatts of all the ship's main propulsion machinery which appears on the ship's 
certificate  of registry  or other official  document. " 

-paragraph  (q) is replaced  by the following  text: 

"(q) 

'chemical tanker'  means a ship constructed  or adapted and used  for  the carriage 
in  bulk  of  any  liquid  product  listed  in  chapter  17  of  the  International  Bulk 
Chemical  Code as in force  at [1997] (6)." 

-paragraph  (r)  is replaced  by the following  text: 

"(r) 

'liquefied  gas  tanker'  means  a  ship  constructed  or  adapted  and  used  for  the 
carriage  in bulk of any liquefied  gas or other product  listed  in chapter  19 of the 
International  Gas Carrier  Code as in force  at [1997] (6)." 

(6) 

Date of entry  into force  of this Directive. 

14 

-paragraph  (v)  is  replaced  by  the  following  text: 

"(v) 

International  Convention  on  Standards  of 
'STCW  Convention'  means  the 
Training,  Certification  and  Watchkeeping  for  Seafarers 
as  it  applies  to  the 
matters concerned taking into account the transitional provisions of article VII and 
regulation 1/15 of the Convention and including, where appropriate,  the applicable 
provisions  of  the  STCW  Code,  all  being  applied  as  in  force  at  [1997]  (6)." 

-the  following  paragraphs  are  inserted: 

"(w) 

'Radio  duties'  include,  as  appropriate,  watchkeeping  and  technical  maintenance 
and repairs  conducted  in accordance with the Radio Regulations, the International 
Convention  for  the  Safety  of  Life  at  Sea  and,  at  the  discretion  of  each 
Administration,  the  relevant  recommendations  of  the  Organization; 

(x) 

(y) 

(z) 

(ab) 

(ac) 

(ad) 

(ae) 

'Ro-ro passenger  ship'  means a passenger  ship with ro-ro  cargo spaces or  special 
category  spaces  as defined  in the International  Convention  for  the Safety  of  Life 
at  Sea,  1974,  as  in  force  at  [1997]  (6)"; 

'STCW  Code'  means  the  Seafarers'  Training,  Certification  and  Watchkeeping 
(STCW)  Code as adopted by the IMO Conference  resolution  2 of 26 June - 7 July 
1995,  as  in  force  at  [1997]  (6)"; 

'Function'  means  a group  of tasks,  duties  and responsibilities,  as specified  in the 
STCW  Code,  necessary  for  ship  operation,  safety  of  life  at  sea  or  protection  of 
the  marine  environment; 

'Company'  means the owner of the ship or any other organization  or person  such 
as the manager,  or the bareboat charterer,  who has assumed  the responsibility  for 
the  shipowner  and  who,  on  assuming  such 
operation  of  the  ship  from 
responsibility,  has  agreed  to take over  all the duties  and  responsibilities  imposed 
on  the  company  by  these  regulations; 

'Appropriate  certificate'  means  a  certificate  issued  and  endorsed  in  accordance 
with  the  provisions  of  this  Directive  and  entitling  the  lawful  holder  thereof  to 
serve  in  the  capacity  and  perform  the  functions 
involved  at  the  level  of 
responsibility  specified  therein  on a ship  of  the type,  tonnage,  power  and  means 
of  propulsion  concerned  while  engaged  on  the particular  voyage  concerned; 

'Seagoing  service'  means  service  on  board  a  ship  relevant  to  the  issue  of  a 
certificate  or  other  qualification. 

'Accredited  training  institute'  means  a  maritime  training  academy,  college, 
training  institute  or  other  entity  approved  by  a Member  State  for  the purpose  of 
providing  approved  maritime  education  and  training; 

(6) 

Date  of  entry  into  force  of  this  directive. 

15 

(af) 

"Approved"  means  approved  by  a  Member  State  as  meeting  the_ maritime 
education  and  training  requirements  for  service  on board  ships  flying  its  flag; 

(ag) 

"Third  country"  means  the  country  which  is  not  a Member  State." 

3.  The  following  Articles  are  inserted: 

Article  5 a 

Principles  governing  near-coastal  voyages 

1.  Member  States  may  introduce  standards  of  education  and  training  lower  than  those 
provided  in  this  Directive  in  respact  of  near-coastal  voyages.  In  so  doing  they  shall  not 
impose  training,  experience  or  certification  requirements  on the  seafarers  serving  on  board 
the  ships  entitled  to  fly  the  flag  of  another  Member  State  and  engaged  on  such  voyages  in 
a  manner  resulting  in  more  stringent  requirements  for  such  seafarers  than  for  seafarers 
serving  on board  ships  entitled  to  fly  its own  flag.  In no case  Member  States  shall  impose 
requirements  in  respect  of  seafarers  serving  on  board  ships  flying  the  flag  of  another 
Member  State  in  excess  of  those  of  the  Directive  in  respect  of  ships  not  engaged  on  near-
coastal  voyages. 

2.  With respect  to ships entitled to fly the flag of a Member  State regularly  engaged  on near-
coastal voyages off  the coast of another Member  State, the Member  State whose flag the ship 
is  entitled  to  fly  shall  prescribe  training,  experience  and  certification  requirements  for 
seafarers  serving  on  such  ships  at least  equal to those  of  the Member  State off  whose  coast 
the  ship  is  engaged,  provided  that  they  do  not  exceed  the  requirements  of  the  Directive  in 
respect  of  ships  not  engaged  on  near-coastal  voyages.  Seafarers  serving  on  a  ship  which 
extends  its voyage  beyond  what  is defined  as a near-coastal  voyage by  a Member  State and 
enters  waters  not  covered  by  that definition  shall  fulfil  the  appropriate  requirements  of  the 
Directive. 

3.  A Member  State may afford  a ship which is entitled to fly its flag  the benefits  of the near-
coastal  voyage  provisions  of  the  Directive  when  it  is  regularly  engaged  off  the  coast  of  a 
non-Party to the STCW Convention on near-coastal  voyages as defined  by the Member  State. 

4.  Member  States  before  deciding  on  the  definition  of  near-coastal  voyages  and  the 
conditions  of education  and training  required  therof  in accordance  with the requirements  of 
this  Article  shall  communicate  to  the  Commission  the  details  of  the  provisions  intended  to 
be adopted.  Such conditions  may  only be adopted by Member  States  if they  are  approved  in 
accordance  with  the  procedure  laid  down  in Article  13. 

16 

Article  5b 

Penalties  or  disciplinary  measures 

1.  Member  States  shall establish  processes  and procedures  for  the  impartial  investigation  of 
any  reported  incompetency,  act  or  omission,  that  may  pose  a direct  threat  to  safety  of  life 
or  property  at  sea  or  to  the  marine  environment,  by  the  holders  of  certificates  or 
endorsements  issued  by  that  Member  State  in connection  with  their  performance  of  duties 
related  to  their  certificates  and  for  the  withdrawal,  suspension  and  cancellation  of  such 
certificates  for  such  cause  and  for  the prevention  of  fraud. 

2.  Each  Member  State  shall prescribe  penalties  or disciplinary  measures  for  cases  in which 
the provisions  of  its  national  legislation  giving effect  to the Directive  are  not complied  with 
in  respect  of  ships  entitled  to  fly  its  flag  or  of  seafarers  duly  certificated  by  that  Member 
State. 

3.  In particular,  such  penalties  or disciplinary  measures  shall  be prescribed  and enforced  in 
cases  in  which  : 

1)  a company  or  a master  has  engaged  a person  not holding  a certificate  as required  by 

the  Directive. 

2)  a master  has allowed any function  or service in any capacity required  by the Directive 
to  be  performed  by  a person  holding  an  appropriate  certificate,  to  be  performed  by 
a  person  not  holding  the  required  certificate,  a  valid  dispensation  or  having  the 
documentary  proof  required  by  Article  9,  paragraph  3(a),  or 

3)  a person  has  obtained  by  fraud  or  forged  documents  an engagement  to perform  any 
function  or  serve  in any  capacity  required  by the Directive  to be performed  or  filled 
by  a person  holding  a certificate  or  dispensation. 

4.  Member  States  within  whose  jurisdiction  there  is  located  any  company  which,  or  any 
person  who,  is believed  on clear  grounds to have been responsible  for  or to have knowledge 
of,  any  apparent  non-compliance  with  the  Directive  specified  in paragraph  3,  shall  extend 
co-operation  to  any  Member  State  or,  subject  to  reciprocity,  third  country  which  advises 
them  of  its  intention  to  initiate  proceedings  under  its  jurisdiction.' 

'Article  5c 

Quality  standards 

1.  Member  States  shall  ensure  that  : 

1)  all  training,  assessment  of  competence,  certification,  endorsement  and  revalidation 
activities  carried  out  by  non-governmental  agencies  or  entities  under  their  authority 
are continuously  monitored  through a quality  standards  system to ensure  achievement 
of defined  objectives,  including those concerning  the qualifications  and experience  of 
instructors  and  assessors;  and 

17 

2)  where  governmental  agencies  or  entities  perform  such  activities,  there  shall  be  a 

quality  standards  system. 

~~ 

3) 

4) 

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  STCW 
Convention.  The objectives  and related quality standards  may be specified  separately 
for  different  courses  and  training  programmes  and  shall  cover  the  administration  of 
the  certification  system. 

the  field  of  application  of  the quality  standards  shall  cover  the  administration  of  the 
certification  system,  all  training  courses  and  programmes,  examinations  and 
assessments  carried  out  by  or  under  the  authority  of  the  Member  State  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. 

2.  Member  States  shall  also  ensure  that  an  independent  evaluation  of  the  knowledges, 
understanding',  skills  and  competence  acquisition  and  assessment  activities,  and  of  the 
administration  of  the  certification  system,  is  conducted  at  intervals  of  not  more  than  five 
years  by  qualified  persons  who  are  not  themselves  involved  in  the  activities  concerned  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. 

3.  A  report  relating  to  the  evaluation  required  by  paragraph  2  shall  be  communicated  by 
Member  States  to  the  Commission  within  6  months  from  the  date  the  evaluation  has  been 
carried  out.' 

4.  In  applying  the  provisions  of  this  Article,  Member  States  shall  take  into  account  the 
provisions  of  section  B-I/8  of  the  STCW  Code. 

'Article  5d 

Medical  Standards  -  Issue  and  registration  of  certificates 

1.  Member  States  shall  establish  standards  of  medical  fitness  for  seafarers,  particularly 
regarding  eyesight  and  hearing. 

2. Member States shall ensure that certificates  are issued only to candidates who comply with 
the  requirements  of  this  Article. 

18 

3.  Candidates  for  certification  shall  provide  satisfactory  proof. 

1)  of  their  identity 

2)  that  their  age  is  not  less  than  that  prescribed  in the  regulation  of  the  Annex  to  this 

Directive  relevant  to  the  certificate  applied  for. 

3)  that  they  meet  the  standards  of  medical  fitness,  particularly  regarding  eyesight  and 
hearing,  established  by the Member  State and hold a valid document attesting to  their 
medical  fitness,  issued  by  a  duly  qualified  medical  practitioner  recognized  by  the 
competent  authorities  of  Member  States. 

4)  of  having  completed  the  seagoing  service  and  any  related  compulsory  training 
required  by  the regulations  of  the Annex to this  Directive  for  the certificate  applied 
for;  and 

5)  that they meet the standards  of competence prescribed  by the regulations of the Annex 
for  the capacities,  functions  and  levels  that are to be  identified  in the endorsement  to 
the  certificate. 

4.  Member  States  undertake  to  : 

1)  maintain  an  electronic  register  or  registers  of  all  certificates  and  endorsements  for 
masters  and  officers  and,  as  appropriate,  ratings,  which  are  issued,  have  expired  or 
have  been  revalidated,  suspended,  cancelled  or  reported  lost  or  destroyed  and  of 
dispensations  issued;  and 

2)  make  available  information  on  the  status  of  such  certificates,  endorsements  and 
dispensations  to  other  Member  States  or,  subject  to  reciprocity,  third  countries  and 
companies  which  request  verification  of  the  authenticity  and  validity  of  certificates 
produced  to  them  by  seafarers  seeking  recognition  of  their  certificates  under  the 
provisions  of  Article  9  or  employment  on board  ship.' 

5.  Member  States  in  applying  the  provisions  of  this  Article  shall  take  into  account  the 
recommended  guidance  given  in  section  B-l/9  of  the  STCW  Code. 

'Article  5e' 

Revalidation  of  certificates 

1. Every  master,  officer  and  radio  operator  holding a certificate  issued  or  recognized  under 
any  chapter  of the Annex  other  than chapter  VI who is serving  at sea  or  intends to return  to 
sea  after  a  period  ashore  shall,  in  order  to  continue  to  qualify  for  seagoing  service,  be 
required  at  intervals  not  exceeding  five  years  to: 

1)  meet  the  standards  of  medical  fitness  prescribed  by  Article  5d  and 

2)  establish  continued  professional  competence in accordance  with section A-I/ll  of the 

STCW  Code. 

19 

2.  Every  master,  officer  and  radio  operator  shall,  for  continuing  seagoing  service_on board 
ships  for  which  special  training  requirements  have  been  internationally  agreed  upon, 
successfully  complete  approved  relevant  training. 

3.  Member  States  shall  compare  the  standards  of  competence  which  they  required  of 
candidates  for  certificates  issued  before  1  February  2002  with  those  specified  for  the 
appropriate  certificate  in  part  A  of  the  STCW  Code,  and  shall  determine  the  need  for 
requiring  the  holders  of  such  certificates  to  undergo  appropriate  refresher  and  updating 
training  or  assessment. 

The  refresher  and  updating  courses  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. 

4.  Member  States  shall,  in  consultation  with  those  concerned,  formulate  or  promote  the 
formulation  of a structure  of refresher  and updating courses as provided for  in section  A-I/ll 
of  the  STCW  Code. 

5.  For  the  purpose  of  updating  the  knowledge  of  masters,  officers  and  radio  operators, 
Member  States  shall  ensure  that  the  texts  of  recent  changes  in  national  and  international 
regulations  concerning  the  safety  of  life  at sea and the protection  of the marine  environment 
are  made  available  to  ships  entitled  to  fly  their  flag.' 

'Article  5f 

Use  of  simulators 

1. The performance  standards  and other provisions  set forth  in section A-I/12 of the  STCW 
Code  and  such  other  requirements  as  are  prescribed  in part  A  of  the  STCW  Code  for  any 
certificate  concerned  shall  be  complied  with  in respect  of. 

1)  all  mandatory  simulator-based  training; 

2)  any assessment  of competency  required by part A of the STCW Code which is carried 

out  by  means  of  a  simulator;  and 

3)  any  demonstration,  by  means  of  a  simulator,  of  continued  proficiency  required  by 

part  A  of  the  STCW  Code. 

2.  Simulators  installed  or  brought  into use prior  to  1 February  2002 may  be exempted  from 
full  compliance  with  the performance  standards  referred  to in paragraph  1, at the  discretion 
of  the  Member  States.' 

20 

'Article  5g' 

Responsibilities  of  companies 

1.  Member  States  shall,  in  accordance  with  the  provisions  of  paragraphs  2  and  3  hold 
companies responsible for the assignment  of seafarers  for service in their ships in accordance 
with the provisions  of the present  Directive,  and shall require  every  such company  to ensure 
that  : 

1)  each  seafarer  assigned  to  any  of  its  ships  holds  an  appropriate  certificate 

in 

accordance  with  the provisions  of  the  Directive; 

2)  its ships  are manned  in compliance  with the applicable safe  manning  requirements  of 

their  Administration; 

3)  documentation  and  data  relevant  to  all  seafarers  employed  on  their  ships  are 
maintained  and  readily  accessible,  and 
to, 
documentation and data on their experience,  training, medical fitness  and competency 
in  assigned  duties; 

include,  without  being 

limited 

4)  seafarers  on  being  assigned  to  any  of  its  ships  are  familiarized  with  their  specific 
duties  and  with  all  ship  arrangements,  installations,  equipment,  procedures  and  ship 
characteristics  that  are  relevant  to  their  routine  or  emergency  duties,  and 

5)  the  ship's  complement  can  effectively  co-ordinate  their  activities  in  an  emergency 
situation and  in performing  functions  vital to safety  or to the prevention  or  mitigation 
of  pollution. 

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

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

1)  allocation of  a reasonable  period  of time during  which each newly employed  seafarer 

will  have  an  opportunity  to  become  acquainted  with  : 

1.1. 

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

1.2. 

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

21 

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

'Article 5h 

Transitional  provisions 

1.  Until  1 February  2002,  Member  States  may  continue  to  issue,  recognize  and  endorse 
certificates  in accordance with the provisions  which applied prior to the date for  transposai 
into national  law of  the provisions  of  Directive  97/- (7) in respect  of  those  seafarers  who 
commenced approved seagoing service, and approved education and training programme or 
an approved  training course before  1 August 1998. 

2.  Until  1 February  2002, Member  States may continue to renew and revalidate  certificates 
and  endorsements  in  accordance  with  the  provisions  which  applied  prior  to  the  date  for 
transposai  into national  law of the provisions  of Directive  97/- (7). 

3.  Where  a  Member  State,  pursuant  to  Article  5e  reissues  or  extends  the  validity  of 
certificates  originally  issued  by  it under the provisions  which applied prior  to the date  for 
transposai  into national law of the provisions of Directive 97/- (7), the Member  State may, 
at its discretion,  replace tonnage limitations appearing on the original certificates  as follows: 

1)  "200 gross  registered  tons"  may be replaced by  "500 gross  tonnage"; and 

2)  "1.600 gross  registered  tons" may be replaced  by  "3.000 gross  tonnage".' 

'Article 5i 

Fitness  for  duty 

1.  Member  States  shall,  for  the  purpose  of  preventing  fatigue  establish  and  enforce  rest 
periods for watchkeeping personnel and require  that watch systems are so arranged that the 
efficiency  of  all  watchkeeping  personnel  is not  impaired  by  fatigue  and  that  duties  are  so. 
organized  that  the first  watch  at the commencement  of  a voyage  and  subsequent  relieving 
watches  are  sufficiently  rested  and otherwise  fit  for  duty. 

2. All persons  who are assigned duty as officer  in charge of a watch or as a rating  forming-
part  of a watch shall be provided  a minimum of  10 hours  of rest  in any 24-hour  period. 

3.  The hours of rest may be divided  into no more than two periods,  one of which shall be 
at least  6 hours  in length. 

4. The requirements  for rest periods laid down in paragraphs  1  and 2 need not be maintained 
in the case of an emergency  or drill  or  in other, overriding  operational  conditions. 

(7) 

This  amending  Directive. 

22 

5.  Notwithstanding  the  provisions  of paragraphs  2 and  3,  the minimum  period  often  hours 
may  be  reduced  to  not  less  than  6 consecutive  hours  provided  that  any  such  redoction  shall 
not extend beyond  two  days  and  not less  than 70 hours  of  rest  are provided  each  seven  day 
period. 

6.  Member  States  shall  require  that  watch  schedules  be  posted  where  they  are  easily 
accessible.' 

7.  In  applying  the  provisions  of  this  Article,  Member  States  shall  take  into  account  the 
provisions  referred  to  in  section  B-VIII/1  of  the  STCW  Code. 

4.  In  Article  7  : 

the  existing  text  should  be  described  as paragraph  1, 

in  the  second  indent  of  paragraph  1 the  words  "Member  States  shall  ensure  that  all 
examiners  are  properly  qualified"  shall  be  deleted, 

the  following  paragraph  shall  be  added: 

"2.  Member  State  shall  ensure  the  following  : 

Training  and  assessment 

a)  All  training  and  assessment  of  seafarers  is: 

1) 

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

2)  conducted,  monitored,  evaluated  and  supported  by  persons  qualified  in  accordance 

with  paragraphs  (d),  (e)  and  (f). 

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

Qualifications  of  instructors,  supervisors  and  assessors 

c)  Instructors,  supervisors  and  assessors  are  appropriately  qualified  for  the particular  types 
and  levels  of  training  or  assessment  of  competence  of  seafarers  either  on board  or  ashore. 

23 

In - service  training 

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

1)  have an appreciation of the training programme and an understanding  of the  specific 

training  objectives  for  the particular  type of training being conducted; 

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

3) 

if conducting training using  a simulator: 

3.1 

3.2 

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

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

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

Assessment  of competence 

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

1) 

2) 

3) 

4) 

5) 

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

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

have received  appropriate  guidance in assessment  methods  and practice; 

have gained practical  assessment  experience; and 

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

Training  and assessment  within an institution 

g)  When  a  Member  State  recognizes  a  course  of  a training  institution,  or  a  qualification 
granted by a training institution,  as part of its requirements for the issue of a certificate,  the 
qualifications  and experience of instructors  and assessors  are covered  in the application of 
the quality standard provisions  of Article 5e. Such qualification,  experience and application 
of  quality  standards  shall  incorporate  appropriate  training  in instructional  techniques,  and 
training  and assessment  methods  and practice  and comply  with all applicable requirements 
of paragraphs  (b) to  (f)." 

24 

5.  Article  9  (3)(a)  is  replaced  by  the  following  : 

'(a) A Member  States may only recognise seafarers'  certificates  issued by third countries  for 
service  on board  ships  flying  its  flag  if  all of  the  following  conditions  are  fulfilled: 

1) A  certificate  must  : 

1.1 have been  issued  by  a Party  to the  STCW  Convention  that: 

1.1.1 

1.1.2. 

information  before  1  August  1998  on 

has  communicated 
the 
implementation  of  the  STCW  Convention  to  the  Secretary  General  of 
the  International  Maritime  Organisation  which  has,  within  a  fixed 
period  of  time  to  be decided  under  the  procedure  of  Article  13,  been 
identified  by  the  Maritime  Safety  Committee  of  the  International 
Maritime  Organisation  as having  given full  and  complete  effect  to the 
provisions  of  the  STCW  Convention. 

within  each  five  year  period  following  1  August  1998,  has  been 
identified  by  the  Maritime  Safety  Committee  of  the  International 
Maritime  Organisation  as  having  complied  with  STCW  Convention 
requirements  for  periodic 
independent  evaluation  of  the  quality 
standards 
it  applies  to  all  training,  assessment  of  competence, 
certification,  endorsement  and  revalidation  activities  carried  out  or 
performed  under the Convention and has provided  a satisfactory  report 
thereon, 

1.1.3. 

has been recognized  through the procedure  of Article  13 as  complying 
fully  with all STCW Convention requirements  concerning  standards of 
competence,  the  issue  and  endorsement  of  certificates  and  record 
keeping,  and 

1.1.4. 

has  undertaken  to  give  prompt  notification  to  the  Member  State 
concerned  of  any  significant  change  made  in  its  arrangements  for 
STCW  Convention  related  training  and  certification; 

1.2. 

bear,  be accompanied  by,  or  incorporate  in its wording  an endorsement  attesting 
its  issue  by  the  above  Party; 

1.3. 

be  suitable  for  service  on  ships  engaged  on  voyages  extending  beyond  near*. 
coastal  voyages  as  may  be  defined  by  the  above  Party; 

1.4. 

have  a  remaining  validity,  including  that  of  the  endorsement  attesting  its  issue, 
of  not  less  than  one  calendar  year;  and 

1.5. 

be  accompanied  by  documentary  evidence  that  demonstrates 

the  holder  has  : 

1.5.1. 

completed  maritime  education  and  training  conducted  at  a  training 
institute  complying  with the conditions  set out in sub-subparagraphs  2 
and  3, 

25 

1.5.2. 

completed  an  approved  radar  simulator  course, 

^ 

1.5.3. 

1.5.4. 

1.5.5. 

1.5.6. 

completed  an  approved  Automatic  Radar  Plotting  Aid  (ARPA) 
simulator course,  if the endorsement  attesting  recognition  is to be valid 
for  service  on  ARPA  equipped  ships, 

completed  such  refresher  and  updating 
training  or  assessment, 
additional  to the above,  as has been determined  to be necessary  by the 
issuing  Party,  if  the  certificate  was  issued  under  provisions  of  the 
STCW Convention  in force at any time prior to  1  February  1997 under 
the  provisions  of  regulation  1/15  of  the  STCW  Convention  as 
amended, 

the  ability  to  communicate  orally  and  to  understand  written  and  oral 
instructions,  orders  and  advice relevant  to the functions  that he  or  she 
is  to  be  authorized  to perform,  and 

appropriate  knowledge of the maritime legislation of the Member  State 
relevant  to  the  functions  at  the  management  level  that  he  or  she  is  to 
be  permitted  to  perform. 

2)  Criteria  for  approval  of  maritime  training  institutes. 

For  approval  as  a  maritime  training  institute  authorized  to  conduct  education  and  training 
programmes  and  courses  accepted  by  a  Member  State  as  meeting  the  requirements  for 
service  on board  ships  flying  its  flag,  a maritime  training  institute  must  : 

2.1. 

be provided  with  : 

2.1.1. 

2.1.2. 

2.1.3. 

accommodation  and  facilities  which  establish  a  teaching,  study  and 
learning  environment  suited  to  the  conduct  of  approved  maritime 
education  and  training  programmes  and  courses, 

all  equipment  and  such  control  engineering,  electrical,  electronic, 
hydraulic,  navigational  aid,  pneumatic  and 
radiocommunication 
laboratory  and  workshop  facilities  and  teaching  aids  as  are  identified 
in  the  written  programmes  of  the  maritime  education  and  training  or 
courses  to  be  conducted,  and 

in  adequate  variety  and 
indexed  up-to-date  reference  material 
in  the 
incorporated 
sufficiency  of  copies,  covering  all  subjects 
approved  maritime  education  and  training  programmes  or  courses 
which  the  training  institute  is  to  be  accredited  to  conduct; 

2.2. 

have appointed instructors,  in sufficient  numbers to adequately serve the approved 
training programmes  and courses to be conducted,  who have received  appropriate 
training  in  instructional  techniques  and  training  and  assessment  methods  and 
practice  and  : 

26 

2.2.1. 

have  an  appreciation  of  the  training  programme  and  an  understanding 
of  the  specific  training  objectives  for  the  particular  type  oRraining  to 
be  conducted, 

2.2.2. 

are  qualified  in the  task  for  which  the  training  is  to  be  conducted, 

2.2.3. 

if  using  a  simulator  : 

2.2.3.1. 

have  received  appropriate  guidance  in  instructional  techniques 

involving  the  use  of  simulators,  and 

2.2.3.2. 

have gained practical  operational  experience  on the particular  type of 

simulator  to  be  used; 

2.3. 

have  appointed  training  supervisors,  appropriate 
training 
programmes  and  courses  to  be  conducted  at  the  institute,  who  have  a  full 
understanding  of  each  approved  training  programme  and  course  they  are  to 
supervise  including  its  specific  objectives. 

to  the  approved 

2.4. 

have  appointed  assessors  who  have  received  appropriate  training  in  assessment 
methods  and  practice  and  : 

2.4.1. 

have  an  appropriate  level  of  knowledge  and  understanding  of  the 
competence  to  be  assessed, 

2.4.2. 

are  qualified  in  the  task  for  which  the  assessment  is  to  be  made, 

2.4.3. 

have  received  appropriate  guidance 
practice, 

in  assessment  methods  and 

2.4.4. 

have  gained  practical  assessment  experience,  and 

2.4.5. 

if they are  to conduct assessment  involving  the use of  simulators,  have 
type  of 
gained  practical  assessment  experience  on  the  particular 
simulator  that  is  to  be  employed,  under  the  supervision  and  to  the 
satisfaction  of  an experienced  assessor; 

2.5.  maintain records  of all students who complete their maritime education -or training, 
at the  institute,  incorporating  details  of  the  education  and  training  received,  the 
dates  concerned,  their  training  record  books  as  completed  and  the  diploma 
granted,  together  with  their  full  name  and  date  and  place  of  birth; 

2.6. 

provide  the  Member  State  with  a  computerized  copy  of  the  above  records 
covering  the maritime education and training programmes  and courses  previously 
conducted  by  the  institute  that  are  to  be  recognized  as  meeting  the  requirements 
for  service  on board  ships  flying  its flag  and  a sample  or  samples  of  the  formats 
of  the  diplomas  and  certificates  of  attendance  granted; 

27 

2.7. 

2.8. 

update  the  above  records  at  appropriate  and  mutually  agreed  intervals  by 
providing  a  computerized  copy  of  similar  information  on  recently  graduated 
students; 

continuously  monitor  its  training  and  assessment  activities  through  a  quality 
standards  system  to ensure  achievement  of  its  defined  objectives  including  those 
concerning  the qualifications  and experience  of  its  instructors  and  assessors;  and 

2.9.  undergo  evaluation at intervals of not more than five  years,  by  suitably  qualified 
persons  who  are  not themselves  involved  in the training  or  assessment  activities 
concerned,  so  as  to  verify  that  the  administrative  and  operational  procedures  at 
all levels within the institute are managed,  organized, undertaken,  supervised  and 
monitored  internally  in order  to ensure their  fitness  for  purpose  and  achievement 
of  stated  objectives. 

3)  Criteria  for  approval  of  maritime  education  and  training  programmes  and  courses. 

For  approval  as  meeting  the  maritime  education  and  training  requirements  for  service  on 
board  ships  flying  the  flag  of  a  Member  State,  a training  programme  or  course  must  : 

3.1. 

be  structured  in accordance  with  written  programmes  which  : 

3.1.1. 

3.1.2. 

3.1.3. 

follow  the  format  used  in the relevant  IMO  model  courses  or  provide 
equivalent  detail  of the course  structure  and  the  training  objectives  or 
outcomes, 

take  full  account  of  the  guidance  given  in  the  IMO  document 
"Guidance  on the  Implementation  of  IMO  Model  Courses"  (8),  and 

include  such  methods  and  media  of  delivery,  procedures,  and  course 
material  as  are  necessary  to  achieve  the  prescribed  standard  of 
competence; 

3.2. 

be  conducted,  monitored,  evaluated  and  supported  by  persons  qualified  in 
accordance  with  paragraphs  2.2.,  2.3.  and  2.4.; 

3.3. 

3.4. 

incorporate  the education and training objectives  and the competence,  knowledge, 
understanding  and proficiency  specified  in STCW 95 for  the functions  and levels* 
of  responsibility  concerned  or  the tasks,  duties  and  responsibilities  involved; 

provide  in  a  structured  teaching  sequence,  the  detailed  syllabus  or  syllabi  to  be 
followed  in  conducting  the  training  programme  or  course,  written  in  learning 
objective  or  training  outcome  format; 

3.5. 

identify  the textbooks,  documents,  technical material  and other publications  to be 
used  in  association  with  the training  programme  or  course; 

(8) 

London-IMO  -  1988  - 096/88. 

28 

3.6. 

indicate the time allocated  to the delivery  of  each subject  area  to be covered  and 
a  planned  timetable  for  the  guidance  of  instructors  and  students;  and 

3.7. 

if conducted  at a training  institute prior  to the date of its approval,  have provided 
a  level  of  maritime  education  and  training  considered  by  the  Member  State  as 
equivalent  to  education  and  training  provided  in  accordance  with  the  above 
criteria. 

4)  Certificates  and  endorsements  issued  by  a  Member  State  under  the  provisions  of  this 
Article  in  recognition  of,  or  attesting  the  recognition  of,  a  certificate  issued  by  a  third 
country,  may  not  be  used  as  the basis  for  further  recognition  by  another  Member  State. 

5)  Notwithstanding  the  provisions  of  paragraph  5  of  Article  3a  a  Member  State  may,  if 
circumstances  require,  allow  a  seafarer  to  serve  in  a  capacity,  other  than  radio  officer  or 
radio  operator,  except  as  provided  by  the  Radio  Regulations,  for  a  period  not  exceeding 
three  months  on  board  a  ship  flying  its  flag,  while  holding  an  appropriate  and  valid 
certificate  issued  and  endorsed  as  required  by  a  third  country  but  which  has  not  yet  been 
endorsed  for  recognition  so as to render  it appropriate  for  service  on board  a ship  flying  its 
flag.  Documentary  proof  shall  be readily  available  that application  for  an endorsement  has 
been  submitted  to  the  competent  authorities.' 

6.  The  following  Articles  are  inserted: 

'Article  10a 

Port  State  control 

1.  The  priority  control  provisions  of  ArticlelO  shall,  inter  alia,  cover  inspections  of  the 
following  : 

-  seafarers  who  are  required  to  be  certificated  in  accordance  with  STCW  95  hold  an 
appropriate  certificate  or  a valid  dispensation,  or  provide  documentary  proof  that  an 
application  for  an  endorsement  attesting  recognition  has  been  submitted  to  the 
authorities  of  the  country  whose  flag  the  ship  flies. 

-  verification  that  the numbers  and certificates  for  the seafarers  are  in conformity  with 

the  safe  manning  requirements. 

2.  Priority  controls,  as  described  in  Article  10,  shall  also  provide  that  the  seafarer 
demonstrates  his  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. 
In  the assessment,  the methods  for  demonstrating  competence  together  with  the criteria  for 
its  evaluation  and  the  scope  of  the  standards  given  in  part  A  of  the  STCW  Code  shall  be 
used. 

29 

3. Assessment  of the ability of the seafarers  as described in paragraph 2 shall alsQjake place 
if any of the following  have occurred  : 

- 

the ship has been involved  in a collision,  grounding  or  stranding,  or 

- 

- 

- 

there has been a discharge  of substances  from  the ship when underway,  at anchor or 
at berth which is illegal under any international  convention,  or 

the  ship  has  been  manoeuvred  in  an  erratic  or  unsafe  manner  whereby  routeing 
measures  or  safe  navigation practices  and procedures  have not been followed,  or 

the ship is otherwise being operated in such a manner as to pose a danger to persons, 
property  or the environment.' 

'Article  11a 

Detention of the ship shall,  inter  alia,  take place in cases of : 

-  failure  of seafarers  to hold an appropriate certificate,  to have a valid dispensation  or 
to  provide  documentary  proof  that  an  application  for  an  endorsement  has  been 
submitted  to the authorities  of the country  whose flag  the ship flies. 

-  failure  to comply  with the applicable safe  manning requirements. 

-  failure  of  navigational  or  engineering  watch  arrangements  to  conform  to  the 

requirements  specified  for  the ship. 

-  absence  in  a  watch  of  a  person  qualified  to  operate  equipment  essential  to  safe 
navigation,  safety  radiocommunications  or the prevention  of marine pollution;  and 

- 

inability  to  provide  for  the  first  watch  at  the  commencement  of  a  voyage  and  for 
subsequent relieving watches persons who are sufficiently  rested and otherwise fit for 
duty.' 

7.  In Article  12 (1) the words  "and (s)" are replaced  by the words  "(s) and (y)". 

8.  The Annex is replaced  by the Annex to this Directive. 

Article 2 

1. Member  States shall bring into force the laws, regulations and administrative  provisions 
necessary  to comply  with this Directive  no later than  {1 June  1997}. 

2.  When  Member  States  adopt  these  provisions  they  shall  contain  a  reference  to  this 
Directive  or  shall  be announced  by such reference  at the time of their  official  publication. 
The methods  of making  such a reference  shall be laid down by the Member States. 

30 

3.  Member  States  shall  lay  down  the  system  of  penalties  for  breaching  the  national 
provisions  adopted  pursuant  to  this  Directive  and  shall  take  all  tha  measures  necessry  to 
ensure  that those penalties  are  applied.  The penalties  thus provided  for  shall be  effective, 
proportionate  and dissuasive. 

4. The Member States shall immediately communicate to the Commission the texts of all the 
provisions which they adopt in the field governed by this Directive.  The Commission shall 
inform  the other member  States thereof. 

Article 3 

This  Directive  is addressed  to the Member States. 

Article 4 

This  Directive  shall enter  into force  on the day of  its publication  in the Official  Journal of 
the European  Communities. 

Done at Brussels, 

For the Council 

The President 

31 

ANNEX 

CHAPTER  I 

GENERAL  PROVISIONS 

1.  The  regulations  referred  to in this Annex are  supplemented  by the mandatory  provisions 
contained  in part A of the STCW Code as adopted by the IMO Conference  of 26 June-7 July 
1995  as  in force  at  [1997]  (6). 

1)  any  reference  to  a  requirement  in  a  regulation  also  constitutes  a  reference  to  the 

corresponding  section  of  part  A  of  the  STCW  Code; 

2) 

in  applying  the  regulations,  the  related  guidance  and  explanatory  material  contained 
in part B of the STCW Code shall be taken into account to the greatest  degree possible 
in  order  to  achieve  a more  uniform  implementation  of  the  Directive  provisions. 

2.  The  part  A  of  the  STCW  Code  contains  standards  of  competence  required  to  be 
demonstrated  by  candidates  for  the  issue  and  revalidation  of  certificates  of  competency 
under  the  provisions  of  the  STCW  Convention.  To  clarify  the  linkage  between  the 
alternative certification  provisions  of chapter  VII and the certification  provisions  of  chapters 
II,  III  and  IV,  the  abilities  specified  in  the  standards  of  competence  are  grouped  as 
appropriate  under  the  following  seven  functions: 

1) 
2) 
3) 
4) 
5) 
6) 
7) 

Navigation 
Cargo  handling  and  stowage 
Controlling  the  operation  of  the  ship  and  care  for  persons  on  board 
Marine  engineering 
Electrical,  electronic  and  control  engineering 
Maintenance  and  repair 
Radiocommunications 

at  the  following  levels  of  responsibility  : 

1) 
2) 
3) 

Management  level 
Operational  level 
Support  level. 

Functions  and  levels  of  responsibility  are  identified  by  subtitle  in the tables  of  standards  of 
competence  given  in chapters  II,  III  and  IV  of  the  part  A  of  the  STCW  Code. 

(6)  Date of entry  into force  of this Directive. 

32 

CHAPTER II 

_ 

MASTER AND DECK DEPARTMENT 

Regulation 11/1 

Mandatory  minimum  requirements  for  certification  of  officers  in  charge  of  a 
navigational  watch on ships of 500  gross tonnage or more. 

1. Every  officer  in charge of a navigational watch serving  on a seagoing  ship of 500 gross 
tonnage or more  shall hold an appropriate  certificate. 

2.  Every  candidate  for  certification  shall : 

.1  be not less than  18 years  of age; 

.2  have  approved  seagoing  service  of  not  less  than  one  year  as  part  of  an  approved 
training programme  which includes on-board  training  which meets the  requirements 
of section A-II/1 of the STCW Code and is documented in an approved training record 
book,  or otherwise  have approved  seagoing  service  of not less than three years; 

.3  have  performed,  during  the  required  seagoing  service,  bridge  watchkeeping  duties 
under the supervision  of the master or a qualified  officer  for a period of not less than 
six months; 

.4  meet the applicable requirements of the regulations  in chapter IV, as appropriate,  for 
performing  designated  radio duties  in accordance  with the Radio Regulations;  and 

.5  have completed approved education and training and meet the standard of competence 

specified  in section  A-II/1 of the STCW Code. 

Regulation II/2 

Mandatory  minimum  requirements  for certification  of masters and chief mates on 
ships of 500 gross tonnage or more 

Master  and chief  mate on ships of 3,000 gross tonnage or more 

1. Every master and chief mate on a seagoing ship of 3,000 gross tonnage or more shall hold 
an appropriate  certificate. 

2.  Every  candidate  for  certification  shall : 

. 1  meet the requirements for certification  as an officer  in charge of a navigational watch 
on ships  of  500 gross  tonnage  or  more  and  have approved  seagoing  service  in that 
capacity: 

.1.1 

for  certification  as chief  mate, not less than  12 months, and 

33 

.1.2 

for certification  as master,  not less than 36 months; however,  this period may 
be  reduced  to  not  less  than  24  months  if  not  less  than  12 months  of  such 
seagoing  service  has been served  as chief  mate; and 

.2  have completed approved education and training and meet the standard of competence 
specified  in section  A-II/2 of the STCW Code for  masters  and chief  mates on ships 
of  3,000 gross  tonnage or more. 

Master and chief  mate on ships of between 500 and 3,000 gross tonnage 

3.  Every master and chief mate on a seagoing ship of between 500 and 3,000 gross tonnage 
shall hold  an appropriate  certificate. 

4.  Every  candidate for  certification  shall : 

. 1  for  certification  as  chief  mate,  meet  the  requirements  of  an  officer  in  charge  of  a 

navigational  watch on ships of 500 gross  tonnage or more; 

.2  for  certification  as  master,  meet  the  requirements  of  an  officer  in  charge  of  a 
navigational watch on ships of 500 gross tonnage or more and have approved seagoing 
service  of  not  less  than  36  months  in  that  capacity;  however,  this  period  may  be 
reduced to not less than 24 months if not less than 12 months of such seagoing service 
has been served  as chief mate, and 

.3  have completed  approved  training  and meet the standard  of competence  specified  in 
section  A-II/2  of the STCW  Code  for  masters  and chief  mates  on  ships  of between 
500 and  3,000  gross  tonnage. 

Regulation II/3 

Mandatory minimum  requirements  for certification  of officers  in charge of a 
navigational watch and of masters on ships of less than 500 gross tonnage 

Ships not engaged on near-coastal  voyages 

1.  Every  officer  in charge  of a navigational  watch  serving  on a seagoing  ship of  less than 
500 gross  tonnage not engaged on near-coastal voyages shall hold an appropriate .certificate 
for  ships  of 500 gross  tonnage or more. 

2.  Every  master  serving  on a seagoing  ship of less than 500 gross  tonnage not engaged on 
near-coastal  voyages  shall  hold an appropriate  certificate  for  service  as master  on ships of 
between 500 and 3,000  gross  tonnage. 

Ships engaged on near-coastal  voyages 

Officer  in charge of  a navigational watch 

3.  Every  officer  in charge of a navigational watch on a seagoing ship of less than 500 gross 
tonnage engaged  on near-coastal  voyages shall hold an appropriate  certificate. 

34 

4. Every candidate for certification as officer  in charge of a navigational watch ona seagoing 
ship of  less than 500 gross  tonnage engaged on near-coastal  voyages  shall ; 

.1  be not less than  18 years  of age; 

.2  have completed; 

.2.1 

special training,  including an adequate period of appropriate seagoing service 
as required  by the Administration,  or 

.2.2 

approved seagoing service in the deck department of not less than three years; 

.3  meet the applicable requirements  of the regulations in chapter IV, as appropriate,  for 
performing  designated  radio duties  in accordance with the Radio Regulations;  and 

.4  have completed approved education and training and meet the standard of competence 
specified  in section A-II/3 of the STCW Code for officers  in charge of a navigational 
watch on ships  of less than 500 gross  tonnage engaged on near-coastal  voyages. 

Master 

5. Every master serving on a seagoing ship of less than 500 gross tonnage engaged on near-
coastal  voyages  shall hold  an appropriate  certificate. 

6.  Every  candidate  for  certification  as  master  on a  seagoing  ship  of  less  than  500  gross 
tonnage engaged  on near-coastal  voyages shall : 

.1  be not less than 20 years  of age; 

.2  have approved  seagoing  service  of not less than  12 months as officer  in charge  of a 

navigational  watch; and 

.3  have completed approved education and training and meet the standard of competence 
specified  in section A-II/3 of the STCW Code for  masters  on ships  of less than 500 
gross  tonnage engaged  on near-coastal  voyages. 

7.  Exemptions 

The  Administration,  if it considers  that a ship's  size and the conditions  of  its  voyage are 
such as to render the application of the full requirements of this regulation and section A-II/3 
of the STCW Code unreasonable or impracticable, may to that extent exempt the master and 
the officer  in charge of a navigational watch on such a ship or class of ships from  some of 
the requirements,  bearing in mind the safety of all ships which may be operating in the same 
waters. 

35 

Regulation  II/4 
Mandatory  minimum  requirements  for  certification  of  ratings  forming  part  of  a 
navigational  watch 

1. Every  rating forming  part of a navigational  watch on a seagoing ship of 500 gross  tonnage 
or  more,  other  than  ratings  under  training  and  ratings  whose  duties  while  on  watch  are  of 
an unskilled  nature,  shall  be  duly  certificated  to perform  such  duties. 

2.  Every  candidate  for  certification  shall  : 

.1  be  not  less  than  16 years  of  age; 

.2  have  completed  : 

.2.1 

.2.2 

approved  seagoing  service  including  not  less  than  six  months  training  and 
experience,  or 

special training, either pre-sea or on board ship, including and approved  period 
of  seagoing  service  which  shall  not  be  less  than  two  months;  and 

.3  meet  the  standard  of  competence  specified  in  section  A-II/4  of  the  STCW  Code. 

3.  The seagoing service,  training and experience required  by sub-paragraphs  2.2.1 and  2.2.2 
shall  be  associated  with  navigational  watchkeeping  functions  and  involve  the  performance 
of duties  carried  out under  the direct  supervision  of  the master,  the officer  in charge  of  the 
navigational  watch  or  a qualified  rating. 

4.  Seafarers  may  be  considered  by  a  Member  State  to  have  met  the  requirements  of  this 
regulation  if  they  have  served  in a relevant  capacity  in the  deck  department  for  a period  of 
not  less  than  one  year  within  the  last  five  preceding  the  entry  into  force  of  the  STCW 
Convention  for  that  Member  State. 

36 

CHAPTER  III 

ENGINE  DEPARTMENT 

Regulation  III/l 

Mandatory  minimum  requirements  for  certification  of  officers  in  charge  of  an 
engineering  watch  in  a manned  engine-room  or  designated  duty  engineers  in  a 
periodically  unmanned  engine-room 

1.  Every  officer  in charge  of  an engineering  watch  in a manned  engine-room  or  designated 
duty  engineer  officer  in  a periodically  unmanned  engine-room  on a  seagoing  ship  powered 
by  main  propulsion  machinery  of  750  kW  propulsion  power  or  more  shall  hold  an 
appropriate  certificate. 

2.  Every  candidate  for  certification  shall  : 

.1  be  not  less  than  18 years  of  age; 

.2  have completed  not less than  six months  seagoing  service  in the engine department  in 

accordance  with  section  A-III/1  of  the  STCW  Code;  and 

.3  have completed  approved  education and training  of at least 30 months which  includes 
on  board  training  documented  in  an  approved  training  record  book  and  meet  the 
standards  of  competence  in  section  A-III/1  of  the  STCW  Code. 

Regulation  III/2 

Mandatory  minimum  requirements  for  certification  of  chief  engineer  officers  and 
second  engineer  officers  on  ships  powered  by  main  propulsion  machinery  of 
3,000  kW  propulsion  power  or  more 

1.  Every  chief  engineer  officer  and  second  engineer  officer  on a seagoing  ship  powered  by 
main propulsion machinery  of 3,000 kW propulsion power or more shall hold an appropriate 
certificate. 

2.  Every  candidate  for  certification  shall  : 

. 1  meet the requirements  for  certification  as an officer  in charge of an engineering  watch 

and  : 

.1.1 

.1.2 

for  certification  as  a  second  engineer  officer,  shall  have  not  less  than  12 
months  approved  seagoing  service  as  assistant  engineer  officer  or  engineer 
officer,  and 

for  certification  as  chief  engineer  officer,  shall  have  not  less  than  36 
months'approved  seagoing  service of which not less than  12 months  shall  have 

37 

been  served  as  an  engineer  officer  in  a  position  of  responsibility  while 
qualified  to  serve  as  second  engineer  officer;  and 

— 

.2  have completed  approved  education and training and meet the standard  of  competence 

specified  in  section  A-III/2  of  the  STCW  Code. 

Regulation  III/3 

Mandatory  minimum  requirements  for  certification  of  chief  engineer  officers  and 
second  engineer  officers  on  ships  powered  by main  propulsion  machinery  of  between 
750 kW  and  3,000  kW  propulsion  power 

1. Every  chief  engineer  officer  and second  engineer  officer  on a sea-going  ship powered  by 
main  propulsion  machinery  of  between  750  and  3,000  kW  propulsion  power  shall  hold  an 
appropriate  certificate. 

2.  Every  candidate  for  certification  shall  : 

. 1  meet the requirements  for  certification  as an officer  in charge of an engineering  watch 

and  : 

.1.1 

.1.2 

for certification  as second engineer officer,  shall have not less than  12 months' 
approved  seagoing service as assistant engineer officer  or engineer or engineer 
officer,  and 

for  certification  as chief  engineer  officer,  shall  have not  less  than 24 months' 
approved  seagoing  service  of  which  not  less  than  12 months  shall  be  served 
while  qualified  to  serve  a  second  engineer  officer;  and 

.2  have completed  approved  education and training  and meet the standard  of  competence 

specified  in  section  A-III/3  of  the  STCW  Code. 

3.  Every  engineer  officer  who  is  qualified  to  serve  as  second  engineer  officer  on  ships 
powered  by main propulsion  machinery  of 3.000 kW propulsion  power  or more,  may  serve 
as chief engineer  officer  on ships powered  by main propulsion  machinery  of less than  3,000 
kW  propulsion  power,  provided  that  not  less  than  12  months'  approved  seagoing  service 
shall have been served  as an engineer officer  in a position of responsibility  and the  certificate 
is  so  endorsed. 

Regulation  III/4 

Mandatory  minimum  requirements  for  certification  of  ratings  forming  part  of  a 
watch  in  a manned  engine-room  or  designated  to  perform  duties  in  a  periodically 
unmanned  engine-room 

1.  Every  rating  forming  part  of an engine-room  watch or  designated  to perform  duties  in a 
periodically  unmanned  engine-room  on  a  seagoing  ship  powered  by  main  propulsion 
machinery  of  750  kW  propulsion  power  or  more,  other  than  ratings  under  training  and 
ratings  whose  duties  are  of  an  unskilled  nature,  shall  be  duly  certificated  to  perform  such 
duties. 

38 

2.  Every  candidate  for  certification  shall : 

.1  be not less than  16 years  of age; 

.2  have completed  : 

.2.1 

.2.2 

approved  seagoing  service  including  not  less  than  six  months  training  and 
experience, 

special training, either pre-sea or on board ship, including an approved period 
of  seagoing  service  which shall not be less than two months; and 

.3  meet the standard  of competence  specified  in section A-III/4 of the STCW Code. 

3. The seagoing service, training and experience required by sub-paragraphs 2.2.1 and 2.2.2 
shall  be associated  with engine-room  watchkeeping  functions  and involve  the  performance 
of duties carried out under the direct supervision of a qualified engineer officer  or a qualified 
rating. 

4.  Seafarers  may  be  considered  by  a Member  State  to  have  met the  requirements  of  this 
regulation  if they  have served  in a relevant capacity  in the engine department  for  a period 
of  not  less  than  one  year  within  the  last  five  years  preceding  the  entry  into  force  of  the 
STCW Convention  for  that Member  State. 

39 

CHAPTER IV 

RADIOCOMMUNICATION  AND RADIO PERSONNEL 

Explanatory  note 

Mandatory provisions  relating to radio watchkeeping are set forth  in the Radio Regulations 
and  in  the  International  Convention  for  the  Safety  of  Life  at  Sea,  1974,  as  amended. 
Provisions for radio maintenance are set forth in the International Convention for the Safety 
of Life  at Sea,  1974, as amended, and the guidelines adopted by the International  Maritime 
Organization. 

Regulation IV/1 

Application 

1. Except as provided in paragraph 3, the provisions of this chapter apply to radio personnel 
on ships operating in the global maritime distress and safety  system (GMDSS) as prescribed 
by the International  Convention for  the Safety  of Life  at Sea, 1974,  as amended. 

2.  Until  1 February  1999,  radio  personnel  on ships  complying  with the provisions  of  the 
International  Convention for  the Safety  of Life  at Sea,  1974, in force  immediately prior to 
1  February  1992  shall  comply  with  the  provisions  of  the  International  Convention  on 
Standards  of  Training,  Certification  and Watchkeeping  for  Seafarers,  1978, in force  prior 
to  1 December  1992. 

3.  Radio personnel  on ships  not required  to comply with the provisions  of  the GMDSS in 
chapter IV of the SOLAS Convention are not required to meet the provisions of this chapter. 
Radio  personnel  on  these  ships  are,  nevertheless,  required  to  comply  with  the  Radio 
Regulations.  The Administration  shall ensure that the appropriate certificates  as prescribed 
by the Radio Regulations  are  issued  to or recognized  in respect  of  such radio personnel. 

Regulation IV/2 

Mandatory  minimum  requirements for certification  of  GMDSS radio personnel 

1. Every  person  in charge  of or performing,  radio duties on a ship  required  to participate 
in  the  GMDSS  shall  hold  an  appropriate  certificate  related  to  the  GMDSS,  issued  or 
recognized  by the Administration  under the provisions  of the Radio Regulations? 

2.  In addition,  every  candidate  for  certification  under  this regulation  for  service  on a ship 
which  is  required  by  the  International  Convention  for  the  Safety  of  Life  at  Sea,  1974, as 
amended,  to have a radio  installation  shall : 

1.  be not less  than  18 years  of age, and 

2.  have completed approved education and training and meet the standard  of competence 

specified  in section A-IV/2 of the STCW Code. 

40 

CHAPTER  V 

SPECIAL  TRAINING  REQUIREMENTS  FOR  PERSONNEL 
ON  CERTAIN  TYPES  OF  SHIPS 

Regulation  V/l 

Mandatory  minimum  requirements  for  the  training  and  qualification  of  masters, 
officers  and  ratings on  tankers 

1. Officers  and ratings  assigned  specific  duties and responsibilities  related to cargo  or cargo 
equipment  on tankers  shall  have  completed  an approved  shore-based  fire-fighting  course  in 
addition  to  the  training  required  by  regulation  VI/1  and  shall  have  completed: 

. 1  at  least  three  months  of  approved  seagoing  service  on  tankers  in  order  to  acquire 

adequate  knowledge  of  safe  operational  practices;  or 

.2  an approved  tanker  familiarization  course  covering  at least the syllabus  given  for  that 

course  in  section  A-V/l  of  the  STCW  Code. 

so  however  that,  the  Administration  may  accept  a  period  of  supervised  seagoing  service 
shorter  than  that  prescribed  by  sub-paragraph  1,  provided  : 

.3  the  period  so  accepted  is  not  less  than  one  month; 

.4  the  tanker  is  of  less  than  3,000  gross  tonnage; 

.5  the duration  of each voyage on which the tanker  is engaged during  the period  does not 

exceed  72  hours;  and 

.6  the  operational  characteristics  of  the  tanker  and  the  number  of  voyages  and  loading 
and  discharging  operations  completed  during  the  period,  allow  the  same  level  of 
knowledge  and  experience  to  be  acquired. 

2.  Masters,  chief  engineer  officers,  chief  mates,  second  engineer  officers  and  any  person 
with  immediate  responsibility  for  loading,  discharging  and  care  in  transit  or  handling  of 
cargo  shall,  in  addition  to  meeting  the  requirements  of  sub-paragraphs  1.1  or  1.2,  have  : 

1.  Experience  appropriate  to their  duties  on the type of tanker  on which they  serve;  and" 

2.  completed  an  approved  specialized  training  programme  which  at  least  covers  the 
subjects  set  out  in  section  A-V/l  of  the  STCW  Code  that  are  appropriate  to  their 
duties  on the  oil  tanker,  chemical  tanker  or  liquefied  gas tanker  on which  they  serve. 

41 

3.  Within two years  after  the entry  into force  of the STCW  Convention for  a Member  State, 
seafarers  may be considered  to have met the requirements  of sub-paragraph  2.2  if they have 
served  in a relevant  capacity  on board  the type of tanker  concerned  for  a period  of  not  less 
than  one  year  within  the  preceding  five  years. 

4. Administration shall ensure that an appropriate certificate  is issued to masters  and  officers, 
who  are  qualified  in  accordance  with paragraphs  1 or  2  as  appropriate,  or  that  an  existing 
certificate  is  duly  endorsed.  Every  rating  who  is  so  qualified  shall  be  duly  certificated. 

Regulation  V/2 

Mandatory  minimum  requirements  for  the training  and  qualifications  of  masters, 
officers,  ratings  and  other  personnel  on  ro-ro  passenger  ships 

1. This regulation  applies  to masters,  officers,  ratings  and other personnel  serving  on board 
ro-ro  passenger  engaged  on  international  voyages.  Administrations  shall  determine  the 
applicability  of  these  requirements 
to personnel  serving  on ro-ro  passenger  ships  engaged 
on  domestic  voyages. 

2.  Prior  to being  assigned  shipboard  duties  on board  ro-ro  passenger  ships,  seafarers  shall 
have  completed  the  training  required  by  paragraphs  4  to  8 below  in  accordance  with  their 
capacities,  duties  and  responsibilities. 

3.  Seafarers  who are  required  to be trained  in accordance  with paragraphs  4,  7 and  8 below 
shall  at  intervals  not  exceeding  five  years,  undertake  appropriate  refresher  training. 

4.  Master,  officers  and  other  personnel  designated  on  muster  lists  to  assist  passengers  in 
emergency  situations  on board  ro-ro  passenger  ships  shall have completed  training  in crowd 
management  as  specified  in  section  A-V/2,  paragraph  1 of  the  STCW  Code. 

5. Masters,  officers  and other personnel  assigned specific duties and responsibilities  on board 
ro-ro  passenger  ships  shall  have  completed  the  familiarization  training  specified  in  section 
A-V/2,  paragraph  2  of  the  STCW  Code. 

6.  Personnel  providing  direct  service  to  passengers  in  passenger  spaces  on  board  ro-ro 
passenger  ships  shall  have  completed  the  safety  training  specified 
in  section  A-V/2, 
paragraph  3 of  the  STCW  Code. 

7.  Masters,  chief  mates,  chief  engineer  officers,  second  engineer  officers  and  every  person 
assigned  immediate  responsibility  for  embarking  and  disembarking  passengers,  loading, 
discharging  or  securing  cargo,  or closing hull openings on board  ro-ro  passenger  ships  shall 
have  completed  approved  training  in  passenger  safety,  cargo  safety  and  hull  integrity  as 
specified  in  section  A-V/2,  paragraph  4  of  the  STCW  Code. 

42 

8.  Masters,chief  mates,  chief  engineer  officers,  second  engineer  officers  and  any  person 
having  responsibility  for  the  safety  of  passengers  in emergency  situations  on board  ro-ro 
passenger  ships  shall,  have completed  approved  training  in crisis  management  and human 
behaviour  as specified  in section A-V/2, paragraph  5 of the STCW Code. 

9.  Administrations  shall ensure  that documentary  evidence  of the training  which has been 
completed is issued  to every person found  qualified  under the provisions  of this regulation. 

43 

CHAPTER  VI 

EMERGENCY,  OCCUPATIONAL  SAFETY,  MEDICAL  CARE 
AND  SURVIVAL  FUNCTIONS 

Regulation  VI/1 

Mandatory  minimum  requirements  for  familiarization, 
basic  safety  training  and  instruction  for  all  seafarers 

Seafarers  shall  receive  familiarization  and basic  safety  training  or  instruction  in  accordance 
with  section  A-VI/1  of  the  STCW  Code  and  shall  meet  the  appropriate  standard  of 
competence  specified  therein. 

Regulation  VI/2 

Mandatory  minimum  requirements  for  the  issue  of  certificates  of  proficiency  in 
survival  craft,  rescue  boats  and  fast  rescue  boats 

1.  Every  candidate  for  a  certificate  of  proficiency  in  survival  craft  and  rescue  boats  other 
than  fast  rescue  boats  shall  : 

.1  be  not  less  than  18 years  of  age 

.2  have  approved  seagoing  service  of  not  less  than  12  months  or  have  attended  an 
approved  training  course  and  have  approved  seagoing  service  of  not  less "than  six 
months;  and 

. 3  meet  the  standard  of  competence  for  certificates  of  proficiency  in  survival  craft  and 

rescue  boats  set  out  in  section  A-VI/2,  paragraphs  1 to  4  of  the  STCW  Code. 

2.  Every  candidate  for  a certificate  of  proficiency  in  fast  rescue  boats  shall  : 

. 1  be  the  holder  of  a  certificate  of  proficiency  in  survival  craft  and  rescue  boats  other 

than  fast  rescue  boats; 

.2  have  attended  an  approved  training  course;  and 

. 3  meet the standard  of competence  for certificates  of proficiency  in fast  rescue boats  set 

out  in  section  A-VI/2,  paragraphs  5 to  8 of  the  STCW  Code. 

^ 

44 

Regulation  VI/3 

Mandatory  minimum  requirements  for  training  in  advanced  fire-fighting 

1.  Seafarers  designated  to control  fire-fighting  operations  shall have successfully  completed 
advanced  training  in techniques  for  fighting  fire  with particular  emphasis  on  organization, 
tactics and command  in accordance with the provisions  of section A-VI/3 of the STCW Code 
and  shall  meet  the  standard  of  competence  specified  therein. 

2.  Where  training  in  advanced  fire-fighting  is  not  included  in  the  qualifications  for  the 
certificate  to be  issued,  a  special  certificate  or documentary  evidence,  as  appropriate,  shall 
be  issued  indicating  that  the  holder  has  attended  a  course  of  training  in  advanced  fire-
fighting. 

Regulation  VI/4 

Mandatory  minimum  requirements  relating  to  medical  first  aid  and  medical  care 

1.  Seafarers  designated  to provide medical first  aid on board  ship shall meet the standard  of 
competence  in medical  first  aid  specified  in section A-VI/4,paragraphs  1 to 3 of  the  STCW 
Code. 

2.  Seafarers  designated  to take charge of medical care on board  ship shall meet the  standard 
of  competence  in medical  care  on board  ships  specified  in section  A-VI/4,  paragraphs  4 to 
6  of  the  STCW  Code. 

3.  Where  training  in  medical  first  aid  or  medical  care  is  not  included  in  the  qualifications 
for  the certificate  to be issued,  a special certificate  or documentary  evidence,  as appropriate, 
shall be issued  indicating that the holder has attended a course of training  in medical first  aid 
or  in medical  care. 

45 

CHAPTER VII 

-

ALTERNATIVE  CERTIFICATION 

Regulation VII/I 

Issue of  alternative  certificates 

1. Notwithstanding  the requirements  for certification  laid down in chapters II and III of this 
Annex,  Member  States  may  elect to  issue  or  authorize  the  issue  of  certificates  other  than 
those mentioned  in the regulations  of those chapters,  provided  that : 

. 1  the associated functions  and levels of responsibility  to be stated on the certificates  and 
in the endorsements  are selected from  and identical to those appearing  in sections A-
II/l,  A-II/2,  A-II/3,  A-II/4,  A-III/1,  A-III/2,  A-III/3,  A-III/4  and  A-IV/2  of  the 
STCW Code; 

.2  the  candidates  have  completed  approved  education  and  training  and  meet  the 
requirements  for  standards  of competence,  prescribed  in the relevant  sections  of the 
STCW  Code and as set forth  in section  A-VII/1 of this Code,  for  the functions  and 
levels that are  to be stated  on the certificates  and in the endorsements; 

.3  the  candidates  have  completed  approved  seagoing  service  appropriate  to  the 
performance  of the functions  and  levels that are  to be stated  on the certificate.  The 
minimum duration of seagoing service shall be equivalent to the duration of seagoing 
service  prescribed  in  chapters  II  and  III  of  this  Annex.  However,  the  minimum 
duration of seagoing service shall be not less than as prescribed  in section A-VII/2 of 
the STCW Code; 

.4 

the candidates  for  certification  who are to perform  the function  of navigation at the 

operational  level  shall meet the applicable requirements  of the regulations  in 
chapter IV,  as appropriate,  for  performing  designated radio duties  in accordance with the 
Radio Regulations;  and 

.5  the certificates  are  issued  in accordance  with the requirements  of Article  5e and the 

provisions  set  forth  in chapter  VII of the STCW Code. 

2.  No  certificate  shall  be  issued  under  this  chapter  unless  the  Member  State  has 
communicated  the information  required  by the STCW Convention to the Commission  . 

Regulation VII/2 

Certification  of  seafarers 

1. Every seafarer  who performs any function or group of functions  specified  in tables A-II/1, 
A-II/2,  A-II/3 or A-II/4 of chapter II or in tables A-III/1,  A-III/2, A-III/4 of chapter III or 
A-IV/2  of chapter  IV of the STCW Code,  shall hold an appropriate  certificate. 

46 

Regulation VII/3 

Principles governing the issue of alternative  certificates 

1. A Member State which elects to issue or authorize the issue of alternative certificates  shall 
ensure  that the following  principles  are observed  : 

. 1  no alternative certification  system  shall be implemented unless  it ensures  a degree of 
safety  at sea and has a preventive effects  as regards pollution at least equivalent to that 
provided  by the other chapters;  and 

.2  any arrangement for alternative certification issued under this chapter shall provide for 
the interchangeability  of certificates  with those  issued  under  the other chapters. 

2.  The principle  of  interchangeability  in  § 1 shall ensure  that : 

.1  seafarers  certificated  under  the  arrangements  of  chapters  II  and/or  III  and  those 
certificated  under chapter VII are able to serve on ships which have either traditional 
or other  forms  of  shipboard  organization;  and 

.2  seafarers  are not trained  for  specific  shipboard  arrangements  in such a way as would 

impair their  ability  to take their  skills elsewhere. 

3. In issuing any certificate under the provisions of this chapter the following principles shall 
be taken into account : 

. 1  the issue  of  alternative  certificates  shall not be used  in itself  : 

. 1 

.2 

.3 

to reduce  the number  of crew on board, 

to lower  the integrity  of the profession  or  "de-skill"  seafarers,  or 

to  justify  the  assignment  of  the  combined  duties  of  the  engine  and  deck 
watchkeeping officers  to a single certificate holder during any particular watch; 
and 

.2  the person  in command  shall be designated  as the master;  and the legal position and 
authority  of  the  master  and  others  shall  not  be  adversely  affected  by  the 
implementation  of any arrangement  for  alternative  certification. 

4.  The  principles  contained  in paragraphs  1 and 2 of  this  regulation  shall  ensure  that  the 
competency  of both deck  and engineer  officers  is maintained. 

47 

CHAPTER VIII 

WATCHKEEPING 

Regulation VIII/1 

Watchkeeping  arrangements  and principles to be observed 

1. Administrations  shall direct the attention of companies,  masters,  chief engineer  officers 
and all watchkeeping personnel  to the requirements,  principles  and guidance  set out  in the 
STCW  Code  which  shall  be  observed  to  ensure  that  a safe  continuous  watch  or  watches 
appropriate  to  the  prevailing  circumstances  and  conditions  are  maintained  in  all  seagoing 
ships  at all times. 

2.  Administrations  shall  require  the  master  of  every  ship  to  ensure  that  watchkeeping 
arrangements  are adequate for maintaining a safe  watch or watches, taking into account the 
prevailing  circumstances  and conditions  and that, under the master's  general  direction: 

1) 

2) 

3) 

4) 

officers  in charge of the navigational watch are responsible  for  navigating the 
ship safely  during their periods of duty, when they shall be physically present 
on the navigating bridge or  in a directly  associated  location such as the chart 
room  or bridge control  room at all times; 

radio  operators  are responsible  for  maintaining  a continuous  radio  watch on 
appropriate  frequencies  during their periods  of duty; 

officers  in charge of an engineering watch, as defined  in the STCW Code and 
under the direction of the chief engineer officer,  shall be immediately available 
and  on  call  to  attend  the  machinery  spaces  and,  when  required,  shall  be 
physically  present 
their  periods  of 
in  the  machinery  space  during 
responsibility;  and 

an appropriate  and effective  watch or watches aj;e maintained for  the purpose 
of safety  at all times, while the ship is at anchor or moored and,  if the ship is" 
carrying hazardous cargo, the organization of such watch or watches takes full 
account of the nature,  quantity,  packing and stowage  of the hazardous  cargo 
and of any special conditions prevailing  on board,  afloat  or ashore. 

48 

FINANCIAL  STATEMENT 

1.  TITLE  OF  OPERATION 

Proposal  for  a  Council  Directive  amending  Directive  94/58  on  the  minimum  level  of 
training  at  seafarers. 

2. 

BUDGET  HEADING  INVOLVED 

Part  A  (see  also  §  10) 

3. 

LEGAL  BASIS 

Achievements  to Safety  on Maritime Transport:  Article  84(2) of the Treaty  linked  with 
Article  75(1)(C). 

4.  DESCRIPTION  OF  OPERATION 

4.1.  General  objective 

The  adaptation  of  the  training  and  certification  rules  of  Directive  94/58  in  the 
light of  the revised  STCW  Convention.  Introduction  of  common criteria  for  the 
recognition  in  the  EU  of  certificates  issued  by  third  countries. 

4.2.  Period  covered  and  arrangements  for  renewal 

Indefinite. 

5.  CLASSIFICATION  OF EXPENDITURE  OF  REVENUE 

5.1.  Non-compulsory  expenditure 

5.2.  Non-differentiated  appropriations. 

6.  TYPE OF EXPENDITURE OR REVENUE 

Administrative  expenses. 

<rt 

FINANCIAL  IMPACT  ON  PART  B  (Operational-Appropriations): 

None. 

8.  FRAUD PREVENTION MEASURES 

Application  of  the  procedures  for  inviting1 Member  States'  experts. 

9. 

ELEMENTS  OF  COST-EFFECTIVENESS  ANALYSIS 

9.1. 

Specific  and  quantified  objectives:  target  population 

Enhancement  of  the  protection  of  human  live  of  European  citizens  and  marine 
environmental  protection  by  measures  reducing  the  risks  by  improving  the 
human  element  performance  on  board  vessels. 

9.2.  Monitoring  and  evaluation  of  the  operation 

Monitoring  and  evaluation  of  the  operation  will  be done  by  the  meetings  of  the 
Committee  established  under  Article  13 of  the  Directive. 

10.  ADMINISTRATIVE  EXPENDITURE 

(SECTION 

III,  PART  A  OF  THE 

BUDGET) 

Actual  mobilization  of  the  necessary  administrative  resources  will  depend  on  the 
Commission's  annual  decision  on  the  allocation  of  resources,  taking  into  account  the 
number  of  staff  and  additional  amounts  authorized  by  the  budgetary  authority. 

10.1.  Effect  on  the  number  of  posts 

i 

1 

Duration 

indefinite 

Type of Dost 

l 

Staff  to be assigned to 
managing  the operation 

Source 

Permanent 
posts 

Temporary 
posts 

Existing resources  in 
the DG or department 
concerned 

Additional 
resources 

Officials  or 
temporary 
staff 

A 
3 
C 

1 
1 

Other  resources 

xxxxxxxx 

Total 

2 

2 
2 

4 

5> 

If  additional  resources  are  required,  indicate  the  pace  at  which  they  will  have  to  be 
made  available. 

10.2.  Overall  financial  impact  of  additional  human  resources 

ECU 

Amounts 

Method  of  calculation 

Officials 
Temporary  staff 
Other  resources 
(indicate  budget  heading) 

Total 

N.B.  : The annual  cost  of the existing  resources  is estimated  to 200.000  ECU  (2 x  100.000) 
for  Titles  A/1, A/2,  A/4  and  A/5. 

{ 

10.3.  Increase  in  other  administrative  expenditure  as  a  result  of  the  operation 

ECU 

Budget  heading 

Amounts 

Method  of  calculation 

A  2510 

20,850  ECU  * 

2  meetings  (1  day)/year 
2x695  (average  cost)  x  15 
participants 

Total  rounded  figure 

21,000  ECU  * 

The  Committee  of  Maritime  Security  is  already  meeting  for  issues  related  to 
other  EC  Directives  dealing  with  maritime  safety. 
In  1997  and  1998,  two 
additional  1-day  meeting/year  are  valued  necessary  to discuss  particular  issues 
related  to  this  proposal(travel  expenses  valued  at  21,000  ECU). 

5\ 

IMPACT  ASSESSMENT  FORM 

THE  IMPACT  OF  THE  PROPOSAL  ON  BUSINESS 
with  special  reference  to  small  and  medium-sized  enterprises 

TITLE  OF  PROPOSAL  : 

Proposal  for  a Council  Directive amending Directive 94/58 on the minimum level of  training 
of  seafarers. 

The  proposal 

1. 

Taking  into  account  of  the  principle  of  subsidiarity,  why  is  Community  legislation 
necessary  in this  area  and  what  are  its  main  aims  ? 

In  the  context  of  the  common  policy  on  safe  seas  and  based  on  Article  84  (2)  on 
maritime  transport  linked  with  Article  75  (1)  (c)  on  transport  safety,  the  Council 
adopted  in  1994  a  Directive  on  the  minimum  training  requirement  for  seafarers 
recognising  therefore  the  need  for  common  EU  maritime  training  standards  in  view 
of  improving  maritime  safety  and  prevention  of  sea  pollution. 

Directive  94/58  is  based  on  the  internationally  agreed  standards  of  training  as 
contained  in  the  IMO  STCW  1978  Convention. 

In July  1995 the Convention  was revised  and from  1 February  1997 the new  STCW 
1995  Convention  will  enter  into  force.  In  accordance  with  Article  12 of  Directive 
the  Commission  should  present  a proposal  on  the  necessary  amendments  to 
94/58 
the  Directive  in the  light  of  the  revised  STCW  provisions. 

The  proposal  deals  with  two  main  issues.  To  update  education  and  training 
requirements  as  STCW  1995  provides  and  develop  common  criteria  for 
the 
recognition  in the EU of seafarers'  certificates  issued by Administrations  or  institutes 
of  third  countries. 

The  impact  on  business 

2. 

Who  will  be  affected  by  the  proposal  ? 

which  sector  of  business  ? 
which  sizes  of  business  ? 
are  there  particular  geographical  areas  of  the  Community  where  there 
businesses  are  found  ? 

51 

The  business  sector  which  will  be  involved  by  this  proposal  are  aH- shipping 
companies  operating under the flag  of a Member State irrespective  of the trade and 
the traffic  they  are  involved. 

The companies  are both large  and small and medium-sized  enterprises. 

What will businesses  have to do to comply with the proposal ? 

Shipping companies  should  take care that : 

each  seafarer  assigned  to  any  of  its  ships  holds  an  appropriate  certificate  in 
accordance with the provisions  of the Directive, 

they  maintain  documentation  and data  on experience,  training,  medical  fitness  and 
competency  relevant  to all seafarers  employed on their ships, 

seafarers  on being assigned to any of their ships, receive adequate familiarisation with 
their duties  on board;  masters  should be provided  with written  instructions, 

when they  intend  to employ  seafarers  holding certificates  issued  by a third  country 
they  should  ensure  that  such  certificates  are  duly  recognised  by  the  competent 
authoriries. 

What economic  impact is the proposal  likely to have ? 

on employment, 

on investment  and the creation  of new businesses, 

on the competitive position of businesses. 

The  proposal  is  likely  to  have  a  favourable  impact  on  the  employment  of  E.U. 
seafarers  to the extent that the recruitment  of foreign  seafarers  mainly those coming 
from  the  labour  supplying  countries  will  have  to  respond  to  a  series  of  criteria 
relating  to  the  quality  of  training  they  have  received  and  ensure  they  are  fully 
qualified  as the STCW Convention requires. 

Depending  on  the  degree  to  which  the  common  criteria  will  discourage  the 
employment  on board  EU  flagged  vessels  of  low quality  foreign  seafarers  and  the 
positive  impact  on  the  cost  of  shipping  insurances  from  engaging  crews  of  high 
standards,  the competitive position of business  may improve. 

Concerning investment and creation of new businesses the proposal does not seem to 
have an important  impact. 

Does the proposal contain measures to take account of the specific  situation of small 
and medium  sized  firms  (reduced  or different  requirements)  ? 

Si 

The  proposal  as  explained  in point  2 does  not  make  any  difference  for-small  and 
medium sized enterprises. The provisions are to apply indiscriminately to all shipping 
companies. 

Consultation 

List of the organisations which have been consulted about the proposal and outline of 
their main views. 

See enclosed list on organisations consulted.  The shipowners expressed mainly their 
view  that  the  common  criteria  for  the  recognition  of  certificates  issued  by  third 
countries  should  not be  regulated  at E.U.  level but entrust  the IMO procedure  for 
recognition under  the revised  STCW 1995. 

The unions have given their agreement that the E.U.  establishes common criteria  for 
Member States when they intend to recognise certificates  of seafarers,  for  service on 
board  EU  flagged  vessels,  issued by third countries. 

51 

LIST  INDUSTRY 

EUROPEAN  COMMUNITY  SHIPOWNERS'  ASSOCIATION  (ECSA) 
Attn.  Mr.  Marking 
rue  Ducale  45 
B-1000  BRUXELLES 

COMITE SYNDICAL DES TRANSPORTS DANS LA COMMUNAUTE EUROPEENNE 
Attn.  Mr.  de  Villèle 
rue  Pascale  22b 
B-1040  BRUXELLES 

UNION  OF GREEK  SHIPOWNERS 
Attn.  Mr.  Kolstidopoulos 
Akti  Miaouli  45 
GR-PIRAEUS 

DANISH  SHIPOWNERS  ASSOCIATION 
Attn.  Mr.  Nielsen 

B-....  BRUXELLES 

INTERNATIONAL  TRANSPORT  WORKERS'  FEDERATION 
Attn.  Mr.  Whitlow 

GB- 

LONDON 

In  the  framework  of  the  consultations  with  ECSA  and  CSTCE  (Trade  Unions)  which  took 
place  under  the  Joint  Maritime  Committee'  Rules  on  the  basis  of  a  detailed  questionnaire" 
drafted  by  DG  VII  and  DG  V  (eight  week time  was  given  to  the partners)  around  10 to  11 
national  organisations  of  shipping  companies  and  seafarers  were  consulted  on  the 
Commission's  proposal. 

55 

ISSN 0254-4475 

COM(96) 470 final 

DOCUMENTS 

EN 

07  16  11 

Catalogue number  :  CB-CO-96-481-EN-C 

ISBN 92-78-09311-4 

Office for Official  Publications of the European Communities 

L-2985 Luxembourg 

a