7 Certification and Endorsement.pdf

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Understanding the STCW

Convention and CodeCertification and Endorsement

Lisbon / 23-26 June 2015

Antonio Hevia Rodriguez / Senior Project OfficerMircea Udrea / Senior Project Officer

Department: Safety and Standards/Unit: Visits & Inspections


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Certification and Endorsement

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Article VICertificates

(1) Certificates for masters, officers or ratings shall be issued

to those candidates who, to the satisfaction of the

Administration, meet the requirements for service, age,

medical fitness, training, qualification and examinations in

accordance with the appropriate provisions of the annex tothe Convention

(2) Certificates for masters and officers issued in compliance

with this article shall be endorsed by the issuing

Administration in the form as prescribed in regulation I/2 of

the annex. If the language used is not English, theendorsement shall include a translation into that language

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Regulation I/2Certificates and endorsements

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4

CoC

issued only by the Administration

following verification of the authenticity & validity

of any necessary documentary evidence


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3 Certificates shall be in the official language or languages of

the issuing country. If the language used is not English, the text

shall include a translation into that language

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Certificatesfor tankers

to masters and officers issued only by the Administration


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4 In respect of radio operators, Parties may:

.1 include additional knowledge …

.2 issue a separate certificate …

5 The endorsement required by article VI of the Convention toattest the issue of a certificate shall only be issued if all the

requirements of the Convention have been complied with

6 … format of the endorsement … in paragraph 2 of section A-

I/2 of the STCW Code

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7 An Administration which recognizes under regulation I/10:

.1 a certificate of competency; or

.2 a certificate of proficiency issued to masters and officersin accordance with the provisions of regulations V/1-1

and V/1-2shall endorse such certificate to attest its recognition only after ensuring the authenticity and validity of thecertificate

the endorsement shall only be issued if all

requirements of the Convention have been compliedwith

… form of the endorsement … in paragraph 3 of section A-I/2 of the STCW Code

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Types of endorsements:

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Certificate Endorsement

attesting the issue

(EaI)

Endorsement attesting

the recognition (EaR)


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8 The endorsements referred to in paragraphs 5, 6 and 7:

.1 may be issued as separate documents;

.2 shall be issued by the Administration only;

.3 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 number is unique;

.4 shall expire as soon as the certificate endorsed expires or

is withdrawn, suspended or cancelled by the Party whichissued it and, in any case, not more than five years after

their date of issue

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Distinct documents:

Merged documents

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Certificate EaI EaR

Certificate EaI EaRCertificate with EaI

included


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Section A-I/2 Certificates and endorsements

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Section A-I/2 Certificates and endorsements

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9 … capacities … identical to those used in the applicable safe

manning requirements of the Administration

10 Administrations may use a different format …:

Roman characters and Arabic figuresvariations permitted under section A-I/2

11 … any certificate required by the Convention must be kept

available in its original form on board the ship …

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Section A-I/2Certificates and endorsements

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4 … in using formats which may be different …, Parties shallensure that in all cases:

.1 all information relating to the identity and personaldescription of the holder , including name, date of birth,

photograph and signature, along with the date on whichthe document was issued, shall be displayed on thesame side of the documents

.2 all information relating to the capacity or capacities in

which the holder is entitled to serve, in accordance with theapplicable safe manning requirements of the Administration, as well as any limitations, shall beprominently displayed and easily identified


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12 Each Party shall ensure that certificates are issued only to

candidates who comply with the requirements of this regulation

13 Candidates for certification shall provide satisfactory proof:

.1 of their identity

.2 that their age is not less than that prescribed …

.3 that they meet the standards of medical fitness …

.4 of having completed the seagoing service and any

related compulsory training …

.5 that they meet the standards of competence ...

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Section A-I/2Certificates and endorsements

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App roval of seagoing serv ice

5 In approving seagoing service required by the Convention,

Parties should ensure that the service concerned is relevant

to the qualification being applied for , bearing in mind that,apart from the initial familiarization with service in seagoing

ships, the purpose of such service is to allow the seafarer to be

instructed in and to practice, under appropriate supervision,

those safe and proper seagoing practices, procedures and

routines which are relevant to the qualification applied for


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Section B-I/2 Guidance regarding certificates and endorsements

Revalidation of an endorsement

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Regulation Doc EaR Registr. Revalidation

II/1, II/2, II/3, III/1, III/2,

III/3, III/6, IV/2, VII/2CoC

II/4, II/5, III/4, III/5, III/7,

VII/2CoP

V/1-1, V/1-2 (officers) CoP

V/1-1, V/1-2 (ratings) CoP

V/2 DE

Refresher training (at intervals not

exceeding five years) on ‘crowd

management’, ‘crisis management

and human behaviour’ and

‘passenger safety, cargo safetyand hull integrity’

VI/1, VI/2, VI/3 CoP Evidence of maintaining the

required standards of competence

every five years

VI/4, VI/5, VI/6 CoP


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General guidance on how to complete (fill-in) the fields in thetemplates provided by Section A-I/2

Content of the CoP:.1 names of the issuing Party and authority

.2 number assigned to the certificate by the issuing authority

.3 full name and date of birth of the seafarer

.4 title of the certificate

.5 number, or numbers, of the Convention regulation(s) or of the STCWCode section(s) under which the seafarer has been found qualified

.6 dates of issue and expiry of the certificate

.7 limitations, if applicable

.8 name and signature of the authorized person who issues the certificate;.9 photograph of the seafarer

.10 if the certificate is intended to be revalidated, then the date of revalidation,extension of the validity, name and signature of the authorized person

.11 the contact details of the issuing Authority

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Regulation I/3Principles governing near-coastal voyages

3 With respect to ships entitled to fly the flag of a Party regularly

engaged on near-coastal voyages off the coast of another Party:

prescribe training, experience and certification requirements

for seafarers serving on such ships at least equal to thoseof the Party off whose coast the ship is engaged

seafarers serving on a ship which extends its voyage

beyond what is defined as a near-coastal voyage by a Party

… shall fulfill the appropriate competency requirements of

the Convention

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4 A Party may afford a ship which is entitled to fly its flag the

benefits of the near-coastal voyage provisions of the Convention

when it is regularly engaged off the coast of a non-Party on

near-coastal voyages as defined by the Party

5 The certificates of seafarers issued by a Party for its defined

near-coastal voyages limits may be accepted by other Parties for

service in their defined near-coastal voyages limits, provided the

Parties concerned enter into an undertaking specifying the

details of involved trading areas and other relevant conditionsthereof

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6 Parties defining near-coastal voyages, in accordance with therequirements of this regulation, shall:

.1 meet the principles governing near-coastal voyagesspecified in section A-I/3;

.2 … and

.3 incorporate the near-coastal voyages limits in theendorsements issued pursuant to regulation I/2,paragraphs 5, 6 or 7.

7 Nothing in this regulation shall, in any way, limit the jurisdiction of any State, whether or not a Party to theConvention

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Section A-I/3Principles governing near-coastal voyages

1 When a Party defines near-coastal voyages …, account shall

be taken of the following factors …:

.1 type of ship and the trade in which it is engaged;

.2 GT of the ship and the propulsion power in kW of the main

machinery;

.3 nature and length of the voyages;

.4 maximum distance from a port of refuge;

.5 adequacy of the coverage and accuracy of navigational

position-fixing devices;

.6 weather conditions normally prevailing in the near-coastal

voyages area;

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S /


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Section A-I/3Principles governing near-coastal voyages

.7 provision of shipboard and coastal communication facilities

for search and rescue; and

.8 the availability of shore-based support, regarding

especially technical maintenance on board.

2 … do not extend worldwide the voyages of ships engaged on

near-coastal voyages …

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S ti B I/3


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Section B-I/3 Guidance regarding near-coastal voyages

Coastal States may adopt regional “near -coastal voyage

limits” through bilateral or multilateral arrangements

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R l ti I/15


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Regulation I/15Transitional provisions

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Validity

R l ti I/8


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Regulation I/8Quality standards

1 Each Party shall ensure that

.1 … all training, assessment of competence, certification,

including medical certification, endorsement and

revalidation activities carried out by non-governmental

agencies or entities under its authority are continuouslymonitored through a quality standards system to

ensure achievement of defined objectives, including those

concerning the qualifications and experience of instructors

and assessors

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S ti A I/8


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Section A-I/8Quality standards

2 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 a Party and the qualifications and

experience required of instructors and assessors, having regardto the policies, systems, controls and internal quality

assurance reviews established to ensure achievement of the

defined objectives.

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7 Certification and Endorsement.pdf