GUIDANCE FOR THE IMPLEMENTATION OF THE 2010 MANILA AMENDMENTS

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E SUB-COMMITTEE ON HUMAN ELEMENT, TRAINING AND WATCHKEEPING 2nd session Agenda item 6 HTW 2/6/1 28 November 2014 Original: ENGLISH GUIDANCE FOR THE IMPLEMENTATION OF THE 2010 MANILA AMENDMENTS

reporting and information communication obligations of Parties under Article IV, VIII, IX of the STCW Convention, and Section A-1/7 of the STCW Code from the perspectives of transparency and legal

1 E SUB-COMMITTEE ON HUMAN ELEMENT, TRAINING AND WATCHKEEPING 2nd session Agenda item 6 HTW 2/6/1 28 November 2014 Original: ENGLISH GUIDANCE FOR THE IMPLEMENTATION OF THE 2010 MANILA AMENDMENTS Differentiate STCW-related information to be communicated through GISIS based on the consideration of transparency Submitted by China SUMMARY Executive summary: This document analyses various reporting and information communication obligations of Parties under Article IV, VIII, IX of the STCW Convention, and Section A-1/7 of the STCW Code from the perspectives of transparency and legal effect. Based on the analysis, suggestions are provided on future practical application of a GISIS module, aiming to reduce the administrative burden for the implementation of the STCW Convention. Strategic direction: 5.2 High-level action: Planned output: Action to be taken: Paragraph 15 Related documents: HTW 1/5, HTW 1/21; Resolution A.1043(28), Resolution A.1074(28); Circular Letter No.3407; MSC.1/Circ.1164/Rev.13 and MSC.1/Circ.1450 Background 1 The HTW Sub-Committee at its first session (HTW 1) considered document HTW 1/5 (China) which proposed to take measures to reduce the administrative burden for the implementation of the STCW Convention, such as to develop a GISIS module for uploading Parties' national laws and relevant information. 2 For the purpose of technical cooperation, IMO has developed a GISIS CMP module (Country Maritime Profile module as explained in Circular Letter No.3407). Some of the information required in the CMP module overlaps with information that is required to be communicated in accordance with the STCW Convention.

2 Page 2 3 With the adoption of resolutions A.1074(28) and A.1043(27), China believes that by the application of modern information technologies, efficiency of information communication and information sharing can be improved, administrative burdens can be reduced, and the periodic review of the implementation of IMO instruments can be facilitated. 4 The HTW Sub-Committee (HTW 1/21, paragraph 5.19) agreed that access rights to GISIS must correspond with the recipients of the information as specified in the STCW Convention and STCW Code. HTW 1/21 (paragraph 5.3.4) also reflects some delegates' concern on network security and confidentiality. Transparency analysis 5 With the guidance provided in section B-1/7 of the STCW Code, after reviewing the reporting and information communication requirements under the STCW Convention and STCW Code, information under 25 items, which should be reported and communicated, has been identified and listed in the annex to this document. China considers that, depending on the transparency or confidentiality requirements, the reported and communicated information can be grouped into three categories, i.e. public to all, available upon request and approval, and confidential. 6 China is of the view that information submitted by Parties to IMO may fall into one of the following three categories according to its nature of transparency:.1 public to all, such as laws, regulations, administrative measures and orders, etc.;.2 available upon request and approval, such as some specific and detailed administrative documents that are available on request to relevant stakeholders; and.3 confidential, such as audit reports, evaluation reports and supporting documents that shall be kept confidential and strictly limited to the access under authorization, either by the Convention or by the approval from the concerned Party. 7 The confidentiality requirement is directly and clearly expressed in item No. 25 in the annex to this document, i.e. the competent persons shall, on a confidential basis, express their views in writing, on the comparison of the facts reported by the Party with the Convention requirements; on the evaluation report submitted by the Party under Regulation I/8; on the Party's following report of any steps taken to implement the amendments to the STCW Convention and STCW Code. 8 For the purpose of fulfilling the obligations to the STCW Convention, Parties shall conduct prudent evaluation and submit the independent evaluation reports together with relevant information to IMO. Although the Convention does not specify such information as confidential, China is of the view that only the evaluation result can be publicized by MSC, while the report per se and supporting documents shall not be available to unauthorized personnel prior to the approval of the Party who submits the report and supporting documents.

3 Page 3 Means of communication 9 In the light of HTW 1/21 (paragraphs.5.18 and 5.19), China suggests that, in addition to reporting through hard copies, three more means can be available for Parties to fulfill their information communicating obligations, in accordance with the nature of transparency as discussed in paragraph 6:.1 providing official web-links as an alternative approach of uploading documents which can be fully accessible to public;.2 inputting required information into the web-based GISIS module by designated competent persons of the Parties with assigned user names and passwords; and.3 providing IMO with the storage medium that contains information readable by the GISIS module or in the format provided by IMO Secretariat. 10 Considering that no language requirements for information communication are specified in Article IV of STCW Convention and Regulation I/7 of the STCW Code, and taking into account the potential challenges to the legal effect and judicial interpretation, China expresses the view that the information which has already been defined as public to all, including but not limited to national laws and regulations and other relevant administrative measures, should be uploaded to GISIS in both the Party's official language and English. In case of any discrepancy, the Party's official language version shall prevail. Similar module that can be used as reference 11 EMSA's web-based STCW-IS can be used as reference ( for providing information that is accessible to the public. Some screenshots of directory are shown below. If the Parties agree, that information can be linked to and shared directly by GISIS. Root Directory Country details Administration details MET information: Conclusion 12 China expresses the view that most reporting and information communication obligations under the STCW Convention of Parties can be fulfilled through the future GISIS module, and the access rights shall be restricted and allocated as per the preset transparency requirements.

4 Page 4 13 STCW Convention-related information uploaded by Parties shall be at least in their official languages and English. The information accessible to the public should cover relevant national laws and regulations, administration details, recognition, format and specimen of, verification channels and MET institutions (websites and courses offered). 14 It should be possible for the overlapped data collected by the GISIS CMP module to be shared by the future STCW module, to alleviate the burden of administrations to upload similar information to different GISIS modules. Actions requested of the Sub-Committee 15 The Sub-Committee is invited to note the information provided and take action, as appropriate. ***

5 Annex, page 1 ANNEX Reporting and information communication requirements under Article IV, VIII, IX of the STCW Convention and Section A-I/7 of the STCW Code No. Paragraph No. Description Reporting party and recipients Reporting time Type of Information Transparency Transparency Possible user of information Article IV of the STCW Convention 1 Article IV(1)(a) Text of laws, decrees, orders, regulations and instruments * All parties Public to all All Parties 2 Article IV(1)(b) Details on study courses 3 Article IV(1)(b) National examination and other requirements 4 Article IV(1)(c) Specimen As soon as possible TEXT Available on request (requirement of Article IX and X) All Parties Article VIII of the STCW Convention 5 Article VIII, para.(3) Dispensation After January 1st of each year RESULT Available on request Other Parties and companies Article IX of the STCW Convention 6 Article IX, para. (2) Equivalents all Parties As early as practical TEXT Public to all All Parties

6 Annex, page 2 part 1 of the STCW Code Information on Governmental 7 para. 2.1 organization Explanation of legal and 8 para. 2.2 administrative measures Statement of the education, training, 9 examination, assessment and para. 2.3 certification policies Summary of the courses, training 10 programmes, examinations and para. 2.4 assessments by certificate Outline of the procedures and 11 conditions for authorizations, para. 2.5 accreditations and approvals List of authorizations, accreditations 12 para. 2.5 and approvals granted Summary of procedures for 13 para. 2.6 dispensations Comparison carried out pursuant to 14 para. 2.7 regulation I/11 Outline of refresher and upgrading 15 para. 2.7 training mandated part 2, paragraph 3 of the STCW Code Description of equivalency 16 arrangements adopted pursuant to para. 3.1 article IX Summary of measures taken to ensure 17 para. 3.2 compliance with regulation I/10 Specimen copy of safe manning documents issued to ships 18 employing seafarers holding para. 3.3 alternative under regulation VII/1 Within one calendar year of enter into force of regulation I/7 With the exception that the date of amendments entering into force later than the date of scheduled date of information communication to SG Within 6 months of taking such actions RESULT/TEXT MSC.1/Circ.1164/Re v.13 or later revisions & as requested by other Parties for RESULT to all Parties; TEXT to SG & DCP & Parties for signing the MOU for Same as above Same as above Same as above

7 Annex, Page 3 part 2, paragraph 4 of the STCW Code 19 Section para. 4 A-I/7, Report of results of independent evaluations carried out pursuant to regulation I/8 part 2, paragraph 6 of the STCW Code 20 Explanation of legal and para. 6.1 administrative measures 21 Statement of the education, training, examination, assessment and para. 6.2 certification policies 22 Summary of the courses, training programmes, examinations and para. 6.3 assessments by certificate 23 Outline of refresher and upgrading para. 6.4 training mandated 24 Comparison carried out pursuant to regulation I/11 para. 6.5 Within 6 months of Parties' completion their quality standards evaluation To be included in the next cycle report pursuant to Regulation I/8, paragraph 3, following the entry into force of any subsequent mandatory amendments RESULT RESULT/ TEXT MSC.1/Circ.1164/Re v.13 or later revisions MSC.1/Circ.1164/Re v.13 or later revisions & as requested by other Parties for RESULT to all Parties RESULT to all Parties;/ TEXT to SG & DCP & Parties for signing the MOU for part 3, paragraph 11 of the STCW Code 25 para. 11 DCP's view on the evaluation report DCP**-SG N/A CONFIDENTIAL SG & DCP ONLY * ** SG: Secretary-General DCP: designated competent person

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E 4 ALBERT EMBANKMENT LONDON SE1 7SR Telephone: +44 (0)20 7735 7611 Fax: +44 (0)20 7587 3210 GUIDANCE ON THE PREPARATION, REPORTING AND REVIEW OF INDEPENDENT EVALUATIONS AND STEPS TAKEN TO IMPLEMENT MANDATORY