Industrial relations and HRD in Maritime operations 10 - STCW Convention

The 1978 STCW Convention Introduction The 1978 STCW Convention was the first to establish basic requirements on training, certification and watchkeeping for seafarers on an international level. Previously the standards of training, certification and watchkeeping of officers and ratings were established by individual governments, usually without reference to practices in other countries. As a result standards and procedures varied widely, even though shipping is the most international of all industries. The Convention prescribes minimum standards relating to training, certification and watchkeeping for seafarers which countries are obliged to meet or exceed. The Convention did not deal with manning levels: The Articles of the Convention include requirements relating to issues surrounding certification and port State control. One especially important feature of the Convention is that it applies to ships of non-party States when visiting ports of States which are Parties to the Convention. Article X requires Parties to apply the control measures to ships of all flags to the extent necessary to ensure that no more favourable treatment is given to ships entitled to fly the flag of a State which is not a Party than is given to ships entitled to fly the flag of a State that is a Party. The difficulties which could arise for ships of States which are not Parties to the Convention are one reason why the Convention has received such wide acceptance. By December 2000, the STCW Convention had 135 Parties, representing 97.53 percent of world shipping tonnage. The 1978 Convention Chapter I The technical provisions of the 1978 Convention are contained in an Annex, divided into six Chapters: The 1978 Convention - Chapter I: General provisions This chapter includes a list of definitions of terms used in the annex. Regulation I/2 deals with the content of the certificate and endorsement form. All certificates must include a translation into English, if that is not the official language of the issuing country. The 1978 Convention - Chapter II: Master-deck department The Chapter establishes basic principles to be observed in keeping a navigational watch, covering such matters as watch arrangements, fitness for duty, navigation, navigational equipment, navigational duties and responsibilities, and the duties of the look-out, navigation with a pilot on board and protection of the marine environment.
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Industrial relations and HRD in Maritime operations 10 - STCW Convention The regulations include mandatory minimum requirements for certificating masters and chief mates; for certification of officers in charge of a navigational watch; and for certification of deck ratings forming part of a navigational watch. The regulations also include basic principles to be observed in keeping watch in port and mandatory minimum requirements for a watch in port on ships carrying hazardous cargo. The 1978 Convention - Chapter III: Engine department Includes basic principles to be observed in keeping an engineering watch; mandatory minimum requirements for certification of chief engineer officers and second engineer officers; mandatory minimum requirements for certification of engineer officers in charge of a watch in a traditionally manned engine room or designated duty officers in a periodically unmanned engine room; requirements to ensure the continued proficiency and updating of knowledge for engineer officers; mandatory minimum requirements for ratings forming part of an engine room watch. The 1978 Convention - Chapter IV: Radio department Notes that mandatory provisions relating to radio watchkeeping are set forth in the ITU Radio Regulations and safety radio watchkeeping and maintenance provisions are included in the same regulations and in SOLAS. The Chapter in STCW includes mandatory minimum requirements for certification of radio officers; provisions designed to ensure the continued proficiency and updating of knowledge of radio officers; and minimum requirements for certification of radiotelephone operators. The 1978 Convention - Chapter V: Special requirements for tankers The Chapter was designed to ensure that officers and ratings who are to have specific duties related to the cargo and cargo equipment of tankers shall have completed an appropriate shore-based fire-fighting course; and have completed either an appropriate period of shipboard service or an approved familiarization course. Requirements are more stringent for masters and senior officers. Attention is paid not only to safety aspects but also to pollution prevention. The Chapter contains three regulations dealing with oil tankers, chemical tankers and liquefied gas tankers, respectively. The 1978 Convention - Chapter VI: Proficiency in survival craft The Chapter establishes requirements governing the issuing of certificates of proficiency in survival craft. An appendix lists the minimum knowledge required for the issue of certificates of proficiency. The 1995 amendments Adoption: 7 July 1995 Entry into force: 1 February 1997

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Industrial relations and HRD in Maritime operations 10 - STCW Convention The 1995 amendments, adopted by a Conference, represented a major revision of the Convention, in response to a recognized need to bring the Convention up to date and to respond to critics who pointed out the many vague phrases, such as "to the satisfaction of the Administration", which resulted in different interpretations being made. Others complained that the Convention was never uniformly applied and did not impose any strict obligations on Parties regarding implementation. The 1995 amendments entered into force on 1 February 1997. However, until 1 February 2002, Parties may continue to issue, recognize and endorse certificates which applied before that date in respect of seafarers who began training or seagoing service before 1 August 1998. One of the major features of the revision was the division of the technical annex into regulations, divided into Chapters as before, and a new STCW Code, to which many technical regulations have been transferred. Part A of the Code is mandatory while Part B is recommended. Dividing the regulations up in this way makes administration easier and it also makes the task of revising and updating them simpler: for procedural and legal reasons there is no need to call a full conference to make changes to Codes. Some of the most important amendments adopted by the Conference concern Chapter I - General Provisions. They include the following: Ensuring compliance with the Convention Parties to the Convention are required to provide detailed information to IMO concerning administrative measures taken to ensure compliance with the Convention. This represented the first time that IMO had been called upon to act in relation to compliance and implementation - generally, implementation is down to the flag States, while port State control also acts to ensure compliance. Under Chapter I, regulation I/7 of the revised Convention, Parties are required to provide detailed information to IMO concerning administrative measures taken to ensure compliance with the Convention, education and training courses, certification procedures and other factors relevant to implementation. By 1 August 1998 - the deadline for submission of information established in section A-I/7 of the STCW Code - 82 out of the 133 STCW Parties had communicated information on compliance with the requirements of the revised Convention. The 82 Parties which met the deadline represent well over 90% of the world's ships and seafarers. The information is reviewed by panels of competent persons, nominated by Parties to the STCW Convention, who report on their findings to the IMO Secretary-General, who, in turn,

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Industrial relations and HRD in Maritime operations 10 - STCW Convention reports to the Maritime Safety Committee (MSC) on the Parties which fully comply. The MSC then produces a list of Parties in compliance with the 1995 amendments. The first list of countries was approved by the MSC at its 73rd session held from 27 November to 6 December 2000 it included 71 countries and one Associate Member of IMO. Port State control The revised Chapter I includes enhanced procedures concerning the exercise of port State to allow intervention in the case of deficiencies deemed to pose a danger to persons, property or the environment (regulation I/4). This can take place if certificates are not in order or if the ship is involved in a collision or grounding, if there is an illegal discharge of substances (causing pollution) or if the ship is manoeuvred in an erratic or unsafe manner, etc. Other regulations in chapter I include: Measures are introduced for watchkeeping personnel to prevent fatigue. Parties are required to establish procedures for investigating acts by persons to whom they have issued certificates that endanger safety or the environment. Penalties and other disciplinary measures must be prescribed and enforced where the Convention is not complied with. Technical innovations, such as the use of simulators for training and assessment purposes have been recognized. Simulators are mandatory for training in the use of radar and automatic radar plotting aids (regulation I/12 and section A-I/12 of the STCW Code). Parties are required to ensure that training, certification and other procedures are continuously monitored by means of a quality standards system (regulation I/8). Every master, officer and radio operator are required at intervals not exceeding five years to meet the fitness standards and the levels of professional competence contained in Section A-I/11 of the STCW Code. In order to assess the need for revalidation of certificates after 1 February 2002, Parties must compare the standards of competence previously required with those specified in the appropriate certificate in part A of the STCW Code. If necessary, the holders of certificates may be required to undergo training or refresher courses (regulation I/11). Chapter II: Master and deck department The Chapter was revised and updated. Chapter III: Engine department The Chapter was revised and updated.

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Industrial relations and HRD in Maritime operations 10 - STCW Convention Chapter IV: Radiocommunication and radio personnel The Chapter was revised and updated. Chapter V: Special training requirements for personnel on certain types of ships Special requirements were introduced concerning the training and qualifications of personnel on board ro-ro passenger ships. Previously the only special requirements in the Convention concerned crews on tankers. This change was made in response to proposals made by the Panel of Experts set up to look into ro-ro safety following the capsize and sinking of the ferry Estonia in September 1994. Crews on ro-ro ferries have to receive training in technical aspects and also in crowd and crisis management and human behaviour. Chapter VI: Emergency, occupational safety, medical care and survival functions The Chapter incorporates the previous Chapter VI: Proficiency in survival craft and includes mandatory minimum requirements for familiarization, basic safety training and instruction for all seafarers; mandatory minimum requirements for the issue of certificates of proficiency in survival craft, rescue boats and fast rescue boats; mandatory minimum requirements for training in advanced firefighting; and mandatory minimum requirements relating to medical first aid and medical care. Chapter VII: Alternative certification Regulations regarding alternative certification (also known as the functional approach) are included in a new Chapter VII. This involves enabling crews to gain training and certification in various departments of seafaring rather than being confined to one branch (such as deck or engine room) for their entire career. Although it is a relatively new concept, the 1995 Conference was anxious not to prevent its development. At the same time, the new Chapter is intended to ensure that safety and the environment are not threatened in any way. The use of equivalent educational and training arrangements is permitted under article IX. Chapter VIII: Watchkeeping Measures were introduced for watchkeeping personnel to prevent fatigue. Administrations are required to establish and enforce rest periods for watchkeeping personnel and to ensure that watch systems are so arranged that the efficiency of watchkeeping personnel is not impaired by fatigue. The STCW Code This STCW Code contains mandatory provisions to which specific reference is made in the Annex to the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978, as amended. These provisions give in detail the minimum standards required to be maintained by Parties in order to give full and complete effect to the Convention.
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Industrial relations and HRD in Maritime operations 10 - STCW Convention Also contained in the Code are 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 this part. The scope of the function at the level of responsibility stated in a subtitle is defined by the abilities listed under it in column 1 of the table. The meaning of "function" and "level of responsibility" is defined in general terms as below. Application of STCW Convention introduced a new concept of uniform standards at the level of the administration and each country The regulations contained in the Convention are supported by sections in the STCW Code. Generally speaking, the Convention contains basic requirements which are then enlarged upon and explained in the Code. Part A of the Code is mandatory. The minimum standards of competence required for seagoing personnel are given in detail in a series of tables. Chapter II of the Code, for example, deals with standards regarding the master and deck department. Part B of the Code contains recommended guidance which is intended to help Parties implement the Convention. The measures suggested are not mandatory and the examples
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Industrial relations and HRD in Maritime operations 10 - STCW Convention given are only intended to illustrate how certain Convention requirements may be complied with. However, the recommendations in general represent an approach that has been harmonized by discussions within IMO and consultation with other international organizations. The 1997 Amendments Adoption: June 1997. Entry into force: 1 January 1999 The amendments concern training for personnel on passenger ships. The amendments include an additional Regulation V/3 in Chapter V on Mandatory minimum requirements for the training and qualifications of masters, officers, ratings and other personnel on passenger ships other than ro-ro passenger ships. Related additions are also made to the STCW Code, covering Crowd management training; Familiarization training; Safety training for personnel providing direct service to passengers in passenger spaces; Passenger safety; and Crisis management and human behaviour training. The 1998 Amendments Adoption: 9 December 1998. Entry into force: 1 January 2003 Amendments to the STCW Code are aimed at improving minimum standards of competence of crews, in particular relating to cargo securing, loading and unloading on bulk carriers, since these procedures have the potential to put undue stresses on the ship's structure. The amendments concern sections A-II/1 and A-II/2 under "Cargo handling and stowage at the operational and management levels". The 2006 amendments Adoption: May 2006, Entry into force: 1 January 2008 The amendments add new minimum mandatory training and certification requirements for persons to be designated as ship security officers (SSOs). The amendments to the STCW Convention and to parts A and B of the STCW Code include Requirements for the issue of certificates of proficiency for Ship Security Officers; Specifications of minimum standards of proficiency for ship security officers; and Guidance regarding training for Ship Security Officers. Further amendments to part A of the STCW Code add additional training requirements for the launching and recovery of fast rescue boats. The amendments have been prepared in response to reports of injuries to seafarers in numerous incidents involving the launching and recovery of fast rescue boats in adverse weather conditions.

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Industrial relations and HRD in Maritime operations 10 - STCW Convention Assessment: Assessment is an evaluation or an estimate of a Performance Measure as compared against a Performance Standard. STCW 95 determines the competency required at the various levels of operation and management. Competencies are then broken up into training outcomes or tasks for which a performance objective has been set. Against these objectives a minimum performance standard has been defined for each task and subtask. If a seafarer can prove that his/her knowledge or performance meets the minimum standard then that seafarer is deemed to be competent To acquire that outcome or to perform that particular task. When the seafarer proves to be competent in all the competencies required to be carried out by him/her under his/her function, that seafarer will be entitled to a Certificate of Competency for the given level. It is the aim of STCW95 that every in-service skill based competency should be divided into tasks and subtasks to such an extent, that the assessment of the same becomes very specific and unique, and is thus a measurable quantity leaving no element of doubt as to the seafarers competency. It is noted that till date IMO has identified the competencies for the various functions however the performance objectives, performance measures and performance standards for each competency has yet to be determined under a standard format. In order to carry out training and assessment the qualifications required by the instructors, supervisors and assessors has been adequately spelt out. On board training and assessment is necessarily to be carried out via a structured training programme approved as meeting the requirements of section AII/1 and AIII/1 under close supervision and monitoring by qualified officers aboard the ship in which the sea going service is performed. All activities must be adequately documented in a training record book or similar document, which needs to be backed up by a structured assessment package. Similar assessment must be carried out by training providers by comparing training objectives against training outcomes and evidence of the same will be maintained. Form of assessment: Right up till the recent past a sailor went on board a vessel as an apprentice and learnt the ropes and rudiments of navigation and ship handling from his seniors. He was then formally assessed and awarded a certificate of competency by a government officer far remote from his place of work, who in fact had no means except by viva voce to establish if the candidate was competent or not. In effect he set certain conditions and based his questions on the same and the answers received from the candidate had necessarily to suit a pattern. Most candidates learnt the answers to the questions by rote and gloriously passed the viva and

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Industrial relations and HRD in Maritime operations 10 - STCW Convention attained their certificates. Could or would these officers actually perform as mentioned in the answers was something the surveyor had only to hope for. Some administrations have in the recent years found it fit to insist on mandatory post sea training and assessment by approved colleges and institutes prior to Assessment by the Administration however the onboard training and assessment which STCW95 has broadly defined, has not been given its due importance. This is the point at which the use of simulators becomes most effective. Fundamentals of assessment: Assessment can be done by five different methods. The table below will enlighten us with some salient features along with the strengths and weaknesses of the individual methods. Method 1. Written examination. Strengths Valuable tool for assessment in areas where knowledge forms a key component of competent performance. Weakness Only assesses ability to write and construct written material. Key issues Danger of assumption that knowing means able to do

2.

Multiple choice Well designed questions questions can be standardized. Elicits key knowledge / understanding in short timescale. Observance of performance Provides high quality evidence of competency. Provides continuous assessment. A useful tool for generating evidence where opportunities for assessment across the full range are limited or prohibited by health, safety commercial reasons. Test conditions can be standardised for skill tests.

Always a 25% possibility of correct answer being chosen at random. (Given four choices) Opportunities to demonstrate competency across full range of activities may be limited. Removed from realistic working conditions. Individuals react differently under test conditions. Structure of assignments and projects often not adequately planned.

Time and skill needed for design, delivery and marking. Supplementary evidence only not direct evidence of actual performance. Need for trained assessors. Need for clear lines of communication and quality assurance measures. Need for planning and structure.

3.

4.

Specially set tasks: skills, tests, simulations, projects, assignments.

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Industrial relations and HRD in Maritime operations 10 - STCW Convention 5. Oral questions Viva Valuable tool for collecting evidence across full range of activities. Evidence collected by this method alone would not be sufficient to assign competency. Least likely to reflect or represent real working conditions. Need for trained assessors with effective questioning techniques. Requires largest inferential jump to assigning competency.

STCW mentions simulators as one of the means to prove competency. Chapter II, III and IV of Code-A list down the competencies in the forms of tables required by deck, engine room and radio personnel at management and operational levels. These competency tables enumerate multiple means to prove competency and approved simulator training is mentioned at numerous occasions in parallel with in-service experience and training ship experience. This parallel between real ship and simulator, puts a responsibility on the simulator instructor to ensure that simulator based training is designed and conducted in such a manner that it gives real time experiences to the trainees. Simulator training is required to put the trainee in as close a working environment, mental scenario and physical stress as onboard the real ship. The amendments replaced Chapter V on special training for crews on tankers.

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