Understanding the STCW

Convention and Code

Certification and Endorsement
Antonio Hevia Rodriguez / Senior Project Officer
Mircea Udrea / Senior Project Officer
Department: Safety and Standards/Unit: Visits & Inspections
Lisbon / 23-26 June 2015

Certification and Endorsement

Article VI
Certificates

(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 to
the 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, the
endorsement shall include a translation into that language

Regulation I/2
Certificates and endorsements

CoC
issued only by the Administration

following verification of the authenticity & validity

of any necessary documentary evidence

Regulation I/2
Certificates and endorsements

2 Certificates

for tankers
to masters and officers issued only by the
Administration
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

Regulation I/2
Certificates and endorsements

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 to

attest 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 AI/2 of the STCW Code

Regulation I/2
Certificates and endorsements

7 An Administration which recognizes under regulation I/10:

.1 a certificate of competency; or
.2 a certificate of proficiency issued to masters and officers
in accordance with the provisions of regulations V/1-1
and V/1-2
shall endorse such certificate to attest its recognition
only after ensuring the authenticity and validity of the
certificate
the endorsement shall only be issued if all
requirements of the Convention have been complied
with
form of the endorsement in paragraph 3 of section AI/2 of the STCW Code
7

Regulation I/2
Certificates and endorsements

Types of endorsements:

Certificate

Endorsement
attesting the issue
(EaI)

Endorsement attesting
the recognition (EaR)

Regulation I/2
Certificates and endorsements

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 which
issued it and, in any case, not more than five years after
their date of issue

Regulation I/2
Certificates and endorsements

Distinct documents:

Certificate

EaI

EaR

Merged documents

Certificate

Certificate with EaI

included

EaI

EaR
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Section A-I/2
Certificates and endorsements

11

Section A-I/2
Certificates and endorsements

12

Regulation I/2
Certificates and endorsements

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 figures

variations 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/2
Certificates and endorsements

4 in using formats which may be different , Parties shall

ensure that in all cases:
.1 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 documents

.2 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 displayed and easily identified
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Regulation I/2
Certificates and endorsements

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/2
Certificates and endorsements

Approval of seagoing service

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

17

Section B-I/2
Guidance regarding certificates and endorsements

Regulation

Doc

EaR

Registr.

Revalidation

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

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

CoC

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

VII/2

CoP

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

CoP

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

CoP

DE

Refresher training (at intervals not

exceeding five years) on crowd
management, crisis management
and human behaviour and
passenger safety, cargo safety
and 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

V/2

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Section B-I/2
Guidance regarding certificates and endorsements

General guidance on how to complete (fill-in) the fields in the

templates provided by Section A-I/2
Content of the CoP:
.1
.2
.3
.4
.5
.6
.7
.8
.9
.10
.11

names of the issuing Party and authority

number assigned to the certificate by the issuing authority
full name and date of birth of the seafarer
title of the certificate
number, or numbers, of the Convention regulation(s) or of the STCW
Code section(s) under which the seafarer has been found qualified
dates of issue and expiry of the certificate
limitations, if applicable
name and signature of the authorized person who issues the certificate;
photograph of the seafarer
if the certificate is intended to be revalidated, then the date of revalidation,
extension of the validity, name and signature of the authorized person
the contact details of the issuing Authority

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Regulation I/3
Principles governing near-coastal voyages

1 Any Party defining near-coastal voyages:

not impose training, experience or certification requirements
on the seafarers serving on board the ships entitled to fly
the flag of another Party and engaged on such voyages in a
manner resulting in more stringent requirements
not impose requirements in respect of seafarers serving on
board ships entitled to fly the flag of another Party in excess
of those of the Convention for ships not engaged in nearcoastal voyages
2 A Party that, for ships afforded the benefits of the nearcoastal voyage includes voyages off the coast of other Parties
within the limits of their near-coastal definition, shall enter into an
undertaking
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Regulation I/3
Principles 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 those
of 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

21

Regulation I/3
Principles governing near-coastal voyages

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 conditions
thereof

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Regulation I/3
Principles governing near-coastal voyages

6 Parties defining near-coastal voyages, in accordance with the

requirements of this regulation, shall:
.1 meet the principles governing near-coastal voyages
specified in section A-I/3;
.2 and
.3 incorporate the near-coastal voyages limits in the
endorsements 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 the
Convention

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Section A-I/3
Principles 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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Section A-I/3
Principles 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

25

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

Coastal States may adopt regional near-coastal voyage

limits through bilateral or multilateral arrangements

26

Regulation I/15
Transitional provisions

Validity

27

Regulation I/8
Quality 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 continuously
monitored 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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Section A-I/8
Quality 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 regard
to the policies, systems, controls and internal quality
assurance reviews established to ensure achievement of the
defined objectives.

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