E MARITIME SAFETY COMMITTEE 89th session Agenda item 10 8 March 2011 Original: ENGLISH TRAINING AND WATCHKEEPING Follow-up actions to the 2010 Manila Conference Submitted by the United States SUMMARY Executive summary: This document highlights issues associated with the implementation of the 2010 amendments to the STCW Convention and Code that requires urgent clarification and interpretation in order to avoid different understandings among administrations and to ensure a uniform implementation of the requirements Strategic direction: 12.5 High-level action: 12.5.1 Planned output: No related provisions Action to be taken: Paragraph 13 Related documents: STCW/CONF.2/33, STCW/CONF.2/34 and STW 42/14 Introduction 1 Pursuant to the decisions of the Assembly at its twenty-sixth session, the Council at its hundredth session and the Maritime Safety Committee at its eighty-fourth session, and in accordance with article XII(1)(b)(i) of the Convention, a diplomatic conference was convened in Manila, the Philippines, from 21 to 25 June 2010, to adopt amendments to the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers (STCW), 1978, and the Seafarers' Training, Certification and Watchkeeping Code. 2 In accordance with article XII(1)(a)(vii) of the STCW Convention, the amendments adopted by the Conference shall be deemed to have been accepted on 1 July 2011, unless, prior to that date, more than one-third of Parties to the Convention or Parties the combined merchant fleets of which constitute not less than 50% of the gross tonnage of the world's merchant shipping of ships of 100 gross register tons or more have notified the Secretary-General that they object to the amendments. Furthermore, in accordance with article XII(1)(a)(ix) of the Convention, the said amendments shall enter into force on 1 January 2012 upon being deemed to have been accepted in accordance with the provisions above.
Page 2 3 The 2010 amendments to the STCW Convention and Code contain a number of implementation dates applicable to both certification requirements (e.g., engineering requirements under chapter III) and non-certification requirements (e.g., rest periods, familiarization, etc.). Based upon information received from international and national outreach programmes, the various dates have been the subject of a range of interpretations. Therefore, there is a need to develop a unified understanding of the implementation dates, so as to facilitate an orderly transition and avoid complications which could otherwise undermine full and effective implementation of the amendments. 4 During the discussions of the dates for the forty-third session of the Sub-Committee meeting, STW 42 expressed the need for consistency in the implementation and monitoring of the Manila Amendments in a timely manner. Discussion 5 The United States is concerned that there is no common understanding among countries on the implementation dates of the various amendments and the application of the transitional provisions. Furthermore, the United States believes that this situation will be exacerbated once the amendments enter into force on 1 January 2012 and port State control officers start implementing the requirements without appropriate guidance. Transitional Provisions 6 The new amendments contain a number of transitional provisions throughout the Convention. The main transitional provisions contained in regulation I/15, are as follows:.1 until 1 January 2017 a Party may continue, to issue, recognize and endorse certificates in accordance with the provisions of the Convention which applied immediately prior to 1 January 2012 in respect of those seafarers who commenced approved seagoing service, an approved education and training programme or an approved training course before 1 July 2013; and.2 until 1 January 2017 a Party may continue, to renew and revalidate certificates and endorsements in accordance with the provisions of the Convention which applied immediately prior to 1 January 2012. 7 The transitional provisions in regulation I/15 relate to the "certification of seafarers" in chapter I, regulation I/9, chapters II, III, IV, V, VI and VII; and should be construed to mean that the transitional arrangements only relate to the provisions of the Convention which applied immediately prior to 1 January 2012. Therefore, it is expected that full implementation of these requirements will take place on 1 January 2017. Regulation I/15 transitional provisions do not apply to regulations II/5, and III/5, III/6, III/7 and section A-VI/6 since these requirements have their own built-in transitional provisions. 8 The 2010 amendments also include requirements that do not clearly relate to the certification of seafarers (such as some amendments to chapter I and all amendments to chapter VIII) that should come into effect on 1 January 2012. The interrelated nature of the various STCW regulations means that certain requirements that can be phased in up to 1 January 2017 will have implications for provisions that should be complied with by 1 January 2012. For example, to comply with the new requirements in section A-I/4, paragraph 6 (control provisions on security certificates), administrations will need to issue certificates or endorsements in accordance with regulation VI/6 by 1 January 2012.
Page 3 Revalidation of Certificates 9 Another issue that is currently the subject of various interpretations is the revalidation of certificates. Regulation I/15 provides that a Party may, until 1 January 2017, continue to renew and revalidate certificates and endorsements in accordance with the provisions of the Convention which applied immediately prior to 1 January 2012. Conversely, regulation I/11, paragraph 4, requires Member States to compare the standards of competence which it required of candidates for certificates issued before 1 January 2017 with those specified for the appropriate certificate in part A of the Code and determine the need for the holders to undergo appropriate refresher and updating training or assessment. During the outreach programmes, questions have been raised as to whether a certificate revalidated in accordance with regulation I/15 should be valid beyond 1 January 2017. 10 Taking into account that resolution 4 of the STCW Conference encourages the orderly transition to full and effective implementation of the amendments and recognizes the need for full implementation of the amendments, regulation I/15 should be applied in such a way that certificates and endorsements issued in accordance with the provisions of the Convention which applied immediately prior to 1 January 2012, could be revalidated for up to five years at any time until 1 January 2017, provided that the requirements of regulation I/11 are taken into account. Recommendation 11 Bearing in mind resolution 4 of the STCW Conference, encouraging the orderly transition to full and effective implementation of the amendments and in order to reduce the possibility of different interpretations among member countries, including port State control authorities, the United States proposes that the Committee issues a STCW circular containing the following clarifications:.1 regulation I/15 should be applied in such a way that certificates issued in accordance with the provisions of the Convention which applied immediately prior to 1 January 2012 could be revalidated until 1 January 2017 or up to five years at any time, provided that the requirements of the 2010 amendments are met; and.2 that all Convention amendments, except for regulations II/5, III/5, III/6, III/7 and section A-VI/6, follow the transitional provisions in regulation I/15. Therefore all amendments should be fully implemented by 1 January 2017. The draft circular is included in the annex. 12 In addition, to reduce the possibility of any misunderstanding among port State control officers, the United States recommends that the Committee issues a circular for port State control authorities containing information on the dates of implementation of the requirements. Action requested of the Committee 13 The Committee is invited to consider the discussions and proposal in this document and take action, as appropriate. ***
Annex, page 1 ANNEX INTERNATIONAL CONVENTION ON STANDARDS OF TRAINING, CERTIFICATION AND WATCHKEEPING FOR SEAFARERS (STCW), 1978 Clarification of regulations 1 Pursuant to resolution 4 of the STCW Conference, encouraging the orderly transition to full and effective implementation of the 2010 amendments to the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers (STCW), 1978, and the Seafarers' Training, Certification and Watchkeeping Code, the eighty-ninth session of the Maritime Safety Committee (MSC) considered a series of issues that required urgent clarification and urgent interpretation. 2 MSC 89 considered the following matters requiring urgent clarification and interpretations:.1 regulation I/15 concerning transitional provisions:.1.1 implementation of the provisions of the 2010 amendments; and.1.2 revalidation of certificates issued in accordance with the provisions of the Convention in force prior to 1 January 2012; and.2 transitional provisions which do not relate to certification issues (such as the requirements in chapter VIII, regulations I/4, I/14). 3 To assist Parties with the implementation of the 2010 amendments, MSC 89 prepared a number of clarifications given in the annex. 4 Member Governments and Parties to the STCW Convention are invited to take full account of the annexed documents when implementing the 2010 amendments. 5 As recommended in paragraph 1 of resolution 4 of the STCW Conference, any difficulties encountered in implementing requirements of the 2010 amendments to the STCW Convention should be brought to the attention of the Maritime Safety Committee. This should be done as soon as possible to allow the Committee to respond to urgent needs for technical assistance or to develop additional guidance.
Annex, page 2 ANNEX CLARIFICATIONS Revalidation of certificates and endorsements issued in accordance with the provisions of the Convention which applied immediately prior to 1 January 2012 1 Regulation I/15 provides that a Party may, until 1 January 2017, continue to renew and revalidate certificates and endorsements in accordance with the provisions of the Convention which applied immediately prior to 1 January 2012. Conversely, regulation I/11, paragraph 4, requires Member States to compare the standards of competence which it required of candidates for certificates issued before 1 January 2017 with those specified for the appropriate certificate in part A of the Code and determine the need for the holders to undergo appropriate refresher and updating training or assessment. This may raise the question of whether a certificate revalidated in accordance with regulation I/15 should be valid beyond 1 January 2017. 2 Bearing in mind resolution 4 of the STCW Conference, which recognizes the need for full compliance to be achieved by 1 January 2017, and in order to promote uniform implementation of the 2010 amendments to the STCW Convention and Code, regulation I/15 should be applied in such a way that certificates issued in accordance with the provisions of the Convention which applied immediately prior to 1 January 2012 could be revalidated until 1 January 2017 or up to five years at any time, provided that the requirements of regulation I/11 are taken fully into account. 3 The implications of the interpretation in paragraph 2 above are as follows:.1 seafarers holding certificates issued in accordance with the provisions of the Convention which applied immediately prior to 1 January 2012 and those holding certificates revalidated in accordance with the provisions of the Convention which applied immediately prior to 1 January 2012, should meet the standard of competence required by the 2010 amendments; otherwise a certificate should not be revalidated for service after 1 January 2017; and.2 when exercising control under the provisions of article X and regulation I/4 on certificates revalidated before 1 January 2017 for service after 1 January 2017, Parties to the Convention may expect full account to be taken of the provisions of the 2010 amendments. Port State control authorities should accept the certificate issued as prima facie evidence that the seafarer has met the standard of competence required by the 2010 amendments in accordance with the control provisions of article X and regulation I/4. 4 This clarification does not apply to regulations II/5, III/5, III/6, III/7 and VI/6 and the associated parts of the Code. Transitional provisions which do not relate to certification issues (such as the requirements in chapter VIII, regulations I/4, I/14). 5 Regulation I/15 should be construed to apply to the certification of seafarers. Therefore, any amendments to chapters I, VI and VIII that do not directly involve certification of seafarers, under regulation I/15, should be implemented by 1 January 2012.
Annex, page 3 6 Considering the interrelated nature of the various STCW regulations, this clarification will have practical implications for Parties when implementing some of the provisions in chapters I, VI and VIII. Certain certification requirements (such as chapters II, and III) that can be phased in up to 2017 will have implications for provisions that should be complied with by 1 January 2012. For example, to comply with the new requirements in section A-I/4, paragraph 6 (control provisions on security certificates), administrations will need to issue certificates or endorsements in accordance with regulation VI/6 by 1 January 2012. 7 Bearing in mind resolution 4 of the STCW Conference, which recognizes the need for full compliance to be achieved by 1 January 2017, and considering the interrelated nature of the various STCW regulations amendments to chapters I, VI and VIII that do not directly involve certification of seafarers, under regulation I/15, should be implemented by 1 January2017. This implementation date will promote uniform implementation of the 2010 amendments to the STCW Convention and Code. 8 This clarification does not apply to regulations II/5, III/5, III/6, III/7 and VI/6 and the associated parts of the Code.