NVIC 03-98: Port state control of STCW on foreign vessels

Commandant 2100 Second Street, S.W. United States Coast Guard Washington, DC 20593-0001 Staff Symbol: G-MOC-2 Phone: (202) 267-2008 FAX: (202) 267-4394 COMDTPUB P16700.4 NVIC 3-98 NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 3-98 Subj: PORT STATE CONTROL GUIDELINES FOR THE ENFORCEMENT OF THE 1995 AMENDMENTS TO THE INTERNATIONAL CONVENTION ON STANDARDS OF TRAINING, CERTIFICATION AND WATCHKEEPING FOR SEAFARERS, 1978 (STCW).

Port State Control Guidelines for the Enforcement of the 1995 Amendments to the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978 (STCW). — PURPOSE. This Navigation and Vessel Inspection Circular (NVIC) provides guidance on the

enforcement of the 1995 Amendments to the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978 (STCW), under the U.S. Coast Guard’s Port State Control (PSC) Program. It is intended to be used by Coast Guard Port State Control Officers (PSCOs) during foreign vessel examinations, but may also be of use to vessel owners, operators, and flag States in ensuring compliance with the requirements under STCW 78 and its 1995 amendments.

Port State Control Guidelines for the Enforcement of the 1995 Amendments to the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978 (STCW). — ACTION.

A. Coast Guard PSCOs will refer to the enclosed guidance when conducting PSC examinations on all foreign vessels to assess compliance with the STCW 78 and its 1995 amendments. B. Enclosure (1) contains a checklist that Coast Guard PSCOs can use as an addendum to the foreign vessel examination checklist. The checklist is designed to assist PSCOs in assessing foreign vessel compliance with the STCW Convention during all PSC examinations. C. Because of the subjective nature of some of these requirements, Coast Guard PSCOs shall use discretion when considering enforcement action to correct non-conformities. PSCOs will ensure vessel personnel are provided copies of this NVIC, and should offer additional guidance as needed or requested. Deficiency reports should offer adequate time to allow for full compliance. DISTRIBUTION – SDL No. 135 a b c d e f g h I j k l m n o p q r s t u v w x y z A B 2 10 1 1 13 1 5 10 C 43 1 4 5 D 1 1 1 E 1 2 2 F 1 1 1 G H *NON-STANDARD DISTRIBUTION NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 3-98 D. Officers in Charge, Marine Inspection and Captains of the Port (OCMIs/COTPs) shall bring the enclosed guidance to the attention of appropriate individuals in the marine industry within their zones.

Port State Control Guidelines for the Enforcement of the 1995 Amendments to the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978 (STCW). — DIRECTIVES AFFECTED. None.

DIRECTIVES AFFECTED. None.

Port State Control Guidelines for the Enforcement of the 1995 Amendments to the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978 (STCW). — BACKGROUND.

A. The STCW Convention was adopted by a Conference of Parties in 1978 and entered into force on April 28, 1984. The United States did not become a Party until 1991. The final step in the United States’ implementation of the Convention was the issuance of the standard STCW Endorsement Form to U.S. mariners, which began October 1, 1996, certifying that U.S. licenses are issued in accordance with the STCW. B. By 1993, significant limitations to STCW had become apparent. They included requirements that were too vague and left too much to the discretion of the Parties; the absence of clear, uniform standards of competence; ineffective international oversight to verify compliance; limited provisions for port state control; and outdated technical references that failed to address modern shipboard systems, job descriptions and approaches to maritime training. C. In 1993, the International Maritime Organization (IMO) embarked on a comprehensive revision of STCW to establish the highest practicable standards of competence and to address human error as a major cause of maritime casualties. The amendments that were developed and eventually adopted by a Conference of Parties on July 7, 1995, are comprehensive and detailed. They concern, among other things, port state control, communication of information to IMO to allow for mutual oversight, and responsibilities of all Parties to ensure that seafarers meet objective standards of competence. The amendments entered into force on February 1, 1997. On June 26, 1997, the U. S. Coast Guard published an Interim Rule to implement the amendments for the U.S. domestic fleet. This rule became effective on July 28, 1997. The affected U.S. industry was previously informed through a Notice of Intent published in the Federal Register in advance of the Interim Rule.

Port State Control Guidelines for the Enforcement of the 1995 Amendments to the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978 (STCW). — DISCUSSION.

A. Summary of Changes to the STCW Convention. The following discussion is designed to highlight some of the major changes and new requirements added to the STCW Convention by the 1995 Amendments.

(1) STCW Code. The most notable amendment involves the creation of the STCW Code. The new Code is divided into two sections, Part A and Part B. Both sections are cross referenced directly to the articles and regulations of the Convention (for example: part A-II/1 and part B-II/1 of the Code correspond with Regulation II/1 of the Annex to the STCW Convention). Each part of the Code fulfills a different role and is designed to be used in conjunction with the Convention. NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 3-98 Part A - contains the mandatory provisions which give, in detail, the minimum standards required to be maintained by Parties in order to effectively implement the requirements of the STCW Convention. This includes the specific standards of competency to be maintained by various members of a ship’s crew (i.e. master, deck officers, engineers, radio personnel, etc.) and the methods of demonstrating and the criteria for assessing compliance with those standards of competency. Part B - contains recommended guidance to assist Parties to the STCW Convention and those involved in implementing, applying, or enforcing its measures to give the STCW Convention full and complete effect in a uniform manner. These are not mandatory; instead, they are only intended to demonstrate how certain Convention requirements may be complied with. However, the recommendations represent an approach which has been harmonized through discussions within IMO involving, where appropriate, consultation with the International Labor Organization (ILO), the International Telecommunication Union and the World Health Organization. Because this material is recommended guidance only, it is not enclosed in this NVIC.

(2) Tonnage limitations were changed from the old “200 gross registered tons” and “1,600 gross registered tons” to “500 gross tonnage” and “3000 gross tonnage” as determined under the International Convention on the Tonnage Measurement of Ships, 1969 (ITC).

(3) Certification and Endorsements.

(a) Changes made by the 1995 amendments regarding certification include 3 new types of STCW certificates and other more specific requirements for the issuance of certificates and endorsements. The new STCW certificates (1995 Endorsements) may be in any one of 3 forms as illustrated in section A-I/2 of the Code. The first variation may contain the endorsement as a separate document to accompany a national certificate. The second type of certificate may be an STCW endorsement combined with a national document in a single document. The third type of certificate encountered will have a Flag state STCW endorsement on a foreign issued certificate. These documents must be original and must expire every five years.

(b) Although the formats of the certificates may vary, all information relating to the identity and personal description of the holder, including name, date of birth, photograph and signature, along with the date on which the document was issued, shall be displayed on the same side of the STCW documents; and all information relating to the capacity or capacities in which the holder is entitled to serve, in accordance with the applicable safe manning requirements of the Administration, as well as any limitations, shall be prominently and easily identified. In addition to the above, valid endorsements issued under the 1978 Convention (1978 STCW endorsements) are also accepted until February 1, 2002. NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 3-98

(c) The 1995 Amendments also provide requirements for Flag Administrations that choose to issue alternative certificates rather than those prescribed by the Convention for masters, deck officers and engineers. In this case, the associated functions and levels of responsibility for the alternative certificates must be selected from and identical to those for masters, deck officers, and engineers as prescribed in the Convention.

(4) Rest Periods. Under regulation VIII/1 of the Convention and section A-VIII/1 of the Code, all persons assigned duty as officer in charge of a watch or as a rating forming part of a watch are to be provided a minimum of 10 hours of rest in any 24 hour period. The 10 hours may be divided into two periods, as long as one period is at least 6 hours in length. Ships may deviate from the required rest period for emergencies, drills or other overriding operational conditions that may require more people on watch. The 10 hour period may also be reduced to not less than 6 hours per day, for a two day period, as long as 70 hours of rest are provided in a 7 day period. Rest periods must be posted where they are easily accessible.

(5) English Proficiency. Prior to the 1995 Amendments, adequate knowledge of the English language was identified as one of the standards for qualification for an officer in charge of a navigational watch. The 1995 Amendments clarified that adequate knowledge includes the ability to enable the officer to:

(a) use charts and other nautical publications;

(b) to understand meteorological information and messages concerning ship’s safety and operation;

(c) to communicate with other ships and coast stations;

(d) to perform the officer’s duties with a multilingual crew; and use and understand the Standard Marine Communication Phrases or the Standard Navigational Vocabulary (encl. 1, part III). Unlicensed personnel must understand helm orders in English.

(6) Basic Safety Training. Regulation VI/1 of the Convention and A-VI/1 of the Code requires all crew members who have designated safety or pollution prevention duties to receive appropriate basic safety training or instruction in the following four areas before they are assigned to these duties (i - iv are described in section 8 of encl. 2):

(a) personal survival techniques;

(b) basic fire fighting;

(c) elementary first aid; and

(d) personal safety and social responsibilities.

(e) Some examples of crew members who shall have received appropriate basic NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 3-98 safety training or instruction include:

(i) all members of the deck and engineer departments required on the safe manning document;

(ii) crew members designated as active fire fighters on all fire fighting teams;

(iii) all crew members in charge of lifeboat and life raft muster stations;

(iv) all crew members in charge of lifeboats and life rafts;

(v) all crew members with pollution prevention duties, including those responsible for the proper disposal of garbage and cleaning materials; and

(vi) all crew members assigned duties on a muster list or station bill. On cruise ships, this includes those personnel who may be involved in the hotel services of the ship during normal operations, but who are designated to assist passengers in emergencies. In these cases, the training instruction should be related to their specific duties as assigned on the muster list or station bill. Training in firefighting or first aid that falls beyond the instruction needed to perform their tasks properly, and understanding the overall emergency response systems in which they play a part, is not required. Everyone with a safety or pollution prevention duty should also have an appropriate amount of training or instruction in the area of personal safety, social responsibility and personal survival.

(7) Vessel Familiarization. Regulation VI/1 of the Convention and section A-VI/1 of the Code require all persons employed or engaged on a seagoing ship, to receive training or instruction in vessel familiarization or personal survival techniques to be able to:

(a) communicate with other persons on board on elementary safety matters and understand safety information, symbols, signs and alarm signals;

(b) know what to do if a person falls overboard, fire or smoke is detected, or the fire or abandon ship alarm is sounded;

(c) identify muster and embarkation stations and emergency escape routes;

(d) locate and don lifejackets; raise the alarm and have basic knowledge of the use of portable fire extinguishers;

(e) take immediate action upon encountering an accident or other medical emergency before seeking further medical assistance on board; and

(f) close and open the fire, weathertight and watertight doors fitted in the particular ship, other than those for hull openings. NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 3-98

(8) Fast Rescue Boat Certification. If a ship is equipped with a fast rescue boat, those crew members assigned responsibilities/duties for its operation shall hold a fast rescue boat certificate issued under STCW regulation VI/2.

(9) Ro-Ro Passenger Ships. Regulation V/2 requires specific training, in addition to that training required for all ships, in accordance with their capacity, duties and responsibilities. This includes training in crowd management, communications, passenger safety, cargo safety, hull integrity, and crisis management.

(10) Recognition of Certificates. Prior to the 1995 Amendments, the Convention required all certificates issued by Parties to the Convention to be endorsed as meeting the requirements of the Convention. However, it did not explicitly require individual endorsements from the Flag State Administrations of the vessels the seafarers were serving on. Regulation I/10 of the Convention now requires such an endorsement. In addition, it stipulates that such an endorsement shall only be made after the vessel’s Flag State Administration has confirmed that the requirements of the Convention concerning standards of competence, the issuance and endorsement of certificates and record keeping, are complied with by the party issuing the original certificate. There is, however, a transitional period. STCW regulation I/15 permits parties to recognize certificates for foreign seafarers in accordance with the 1978 STCW convention until February 1, 2002. The 1995 STCW recognition endorsements are required first for those who begin training or sea service after August 1, 1998. Therefore, they may not become common until 1999 or 2000. In the meantime, PSCOs may still request verification from the Flag state administration that it is satisfied with a document issued by another country as is currently done.

(11) Register of Certificates. Regulation I/9 requires each Party to maintain a register of all certificates and endorsements it issues to masters, officers and qualified ratings. The register is required to track, among other things, the issue and expiration dates, revalidation dates, suspensions, and cancellations of certificates. This information is to be made available to companies and parties (Port States & Flag States) upon request for verification of the authenticity and validity of certificates. PSCOs should not expect registries to be very reliable until they start to see 1995 STCW endorsements/certificates

(12) Company Responsibility. Under Reg. I/14 and Section A-I/14 of the STCW Code, ship owners and operators are required to ensure that: (1) All newly assigned seafarers are familiar with their specific duties and with all ship arrangements, installations, equipment, procedures and characteristics relevant to their routine or emergency duties; and (2) that the ship’s complement can effectively coordinate their activities in an emergency situation, and are able to perform the vital functions necessary for safe operation and prevention or mitigation of pollution. The company shall also provide written instructions to the master of each ship (of flags that are parties to STCW) outlining the policies and procedures to be followed to ensure that all seafarers who are newly employed onboard the ship are given an opportunity to NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 3-98 become familiar with shipboard equipment, operating procedures and other arrangements needed for the proper performance of their duties, before being assigned those duties.

(13) Transitional Provisions. Regulation I/15 allows parties to STCW to continue issuing, recognizing, and endorsing certificates in accordance with the provisions of the Convention, before the 1995 Amendments entered into force, for those seafarers who commenced training/seagoing service before August 1, 1998. This transition period expires on February 1, 2002. As a result of this regulation, PSCOs can expect to see a variety of STCW endorsements and certificates until February 1, 2002. B. Procedures During Port State Control (PSC) Examinations. The following procedures and guidance are to be followed by PSCOs while conducting PSC examinations to ensure compliance with the requirements of the STCW Convention and Code. Enclosure (1) provides a checklist which may be used as an addendum to the foreign vessel examination books used during PSC examinations.

(1) General Examination. During all foreign vessel examinations, PSCOs will compare the crew certificates and endorsements with the requirements of the Safe Manning Document, check posted watch arrangements for appropriate rest periods, and examine the specific new crew-member familiarization procedures.

(2) Reasons to Expand a General Examination. If, during the general examination, the PSCO encounters a situation that establishes clear grounds that watchkeeping standards are not being maintained, the examination will be expanded. Situations encountered during a general examination that establish clear grounds are those that prevent the PSCO from completing a general examination and include:

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

(b) there has been a discharge of substances from the ship when under way, at anchor or at berth which is illegal under any international convention;

(c) the ship has been maneuvered in an erratic or unsafe manner whereby safe navigation practices and procedures have not been followed;

(d) the ship is otherwise being operated in such a manner as to pose a danger to persons, property or the environment. Items which may be deemed to pose a danger to persons, property or the environment include:

(i) failure of a crewmember to hold a certificate, to have an appropriate certificate, or to have a valid dispensation or documentary proof that an application for a recognition certificate has been submitted to the Flag State Administration within the prior three months; NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 3-98

(ii) failure to comply with the safe manning requirements of the Flag State Administration;

(iii) failure of navigational or engineering watch arrangements to conform to the requirements specified for the ship by the Flag State Administration;

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

(v) the inability to provide sufficiently rested or otherwise fit personnel for the first watch at the commencement of a voyage, and for subsequent relieving watches;

(vi) the inability of crewmember(s) to perform their assigned duties during abandon ship or fire fighting drills;

(vii) the inability of watchkeeping officer(s) to communicate with the PSCO in English;

(viii) the inability of crewmember(s) to operate shipboard equipment necessary to complete operational tests as required during the general examination;

(ix) a clear, indication, based on personal observations of performance during the boarding, that the master and/or crew are not familiar with their specific duties and with ship arrangements, installations, equipment, procedures and ship characteristics that are relevant to their routine or emergency duties out;

(x) and indications that key crew members are not able to communicate or coordinate with each other or with other persons on board.

(3) Expanded Examinations. When clear grounds are established that watchkeeping standards are not being maintained or the ship is otherwise being operated in such a manner as to pose a danger to persons, property or the environment, the examination will be expanded to focus on correcting the apparent deficiencies. The PSCO shall notify the master and provide an opportunity to correct the deficiencies at that time (e.g. allow the crew to receive instruction and repeat a fire and boat drill after failing the first time, or substitution of one crewmember by another who is qualified to hold that position). If the situation can be corrected and is corrected, the PSCO will return to completing the general examination.

(4) If the deficiency relates to a crewmember’s professional incompetence or inability to communicate in English (if required), an advanced assessment shall be conducted. An advanced assessment of professional skills shall be performed by a senior PSCO with skills similar to that being assessed (e.g. former Deck Watch Officer, Coast Guard Licensed Officer, etc.). If assessment of English speaking skills is necessary, NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 3-98 the standard marine phrases in enclosure (1) can be used to verify a watchstander’s English competence.

(5) Detention Criteria. Ships may be detained under STCW authority if the uncorrected deficiencies pose a danger to persons, property or the environment. These deficiencies are described in Reg. I/4 (paragraph B(2)(d)(i-x) above) of STCW Reg. I/4. If it is necessary to detain the ship, the flag State shall be notified. The following is an example provided to illustrate a common STCW situation.

(a) Example: Stage 1: A vessel is boarded for an annual, priority III, port state control examination. After the boarding team reviews the ship’s certificates and documents, they begin the navigation safety portion of the general examination, assisted by the ship’s second mate. Because of the mate’s apparent inability to understand English, the boarding team is unable to complete that portion of the general examination. Stage 2: Since the ability to use English is a specific requirement for an Officer in Charge of a Navigational Watch, and the general examination cannot be completed, the PSCO determines that clear grounds have been established and that an expanded examination should be pursued. The PSCO notifies the master of the situation. Stage 3: The master stipulates that the second mate will not stand navigation watches, and produces another licensed deck officer with satisfactory English proficiency. If the vessel can still meet STCW watchkeeping requirements and requirements of the ship safe manning document, the examination is completed. However, if the second mate is retained on the posted watch schedule, the PSCO should arrange for an on board assessment of watchkeeping skills (see paragraph 4 above). Stage 4: The outcome of the assessment is discussed with the master and deficiencies which posed a danger to persons, property or the environment are corrected, or the ship is detained until the deficiencies are corrected ( and appropriate reports are filed). With the situation resolved, the PSCO returns to conduct the general examination.

(6) Reporting Obligations. Officers in Charge, Marine Inspection (OCMIs) and Captains of the Port (COTPs) shall use the reporting requirements provided in Marine Safety Manual, Volume II, Chapter 24, when deficiencies with the requirements of STCW have been identified during foreign vessel examinations. When citing deficiencies with the requirements of the STCW Convention, field units shall cite the regulation in the Convention, not the section of the STCW Code. Commandant (G-MOC) will include foreign vessels detained for deficiencies with the requirements of STCW in its reports to the International Maritime Organization NAVIGATION AND VESSEL INSPECTION CIRCULAR NO. 3-98 and Flag States. R. C. NORTH Rear Admiral, U.S. Coast Guard Assistant Commandant for Marine Safety and Environmental Protection Encl: (1) STCW Addendum to Foreign Vessel Examination Books

(2) Standards of Competency, Methods of Demonstration, and Criteria for Assessment Non-Standard Distribution: C:e New Orleans (90); Hampton Roads (50); Baltimore (45); San Francisco, Puget Sound (40); Philadelphia, Port Arthur, Honolulu, (35); Miami, Houston, Mobile, Long Beach, Morgan City, Portland OR (25); Jacksonville, (20); Boston, Portland ME, Charleston, Galveston, Anchorage

(15); Cleveland (12); Louisville, Memphis, Paducah, Pittsburgh, St. Louis, Savannah, San Juan, Tampa, Buffalo, Chicago, Detroit, Duluth, Milwaukee, San Diego, Juneau, Valdez (10); Providence, Huntington, Wilmington, Corpus Christi, Toledo, Guam, Sault Ste.Marie (5). C:m New York (70); Sturgeon Bay (4). D:d Except Baltimore, Moriches and Grand Haven. D:l CG Liaison Officer MILSEALIFTCOMD (Code N-7CG), CG Liaison Officer RSPA (DHM- 22), CG Liaison Officer JUSMAGPHIL, CG Liaison Officer ABS, Maritime Liaison Office Commander U.S. Naval Forces Central Command (1). NOAA Fleet Inspection Officer (1). U S Merchant Marine Academy (1). I. General Examination