Ref. T2/4.2 MSC/Circ.997 11 June 2001
1 TheMaritimeSafetyCommittee(MSC),atitsseventy-fourthsession(30Mayto8June2001),in ordertofacilitatethereviewofindependentevaluationsrequiredbyregulationI/8oftheSTCWConvention and sectionA-I/7, paragraph4 of the STCW Code, has agreed to the procedures as set out below.
Application
2 TherequirementsofregulationI/8enteredintoforceon1February1997andsectionA-I/8ofthe STCWCoderequiresanindependentevaluationofthequalitystandardssystemtobeconductedat intervals of not more than5 years. Under the provisions of sectionA-I/7,paragraph4,thereportofsuch evaluationshallbemadewithin6monthsofitscompletionand,asrequired byparagraph8,shallbe consideredbycompetentpersons. AssectionA-I/7,paragraph2oftheSTCWCoderequiresPartiesto communicateinformationby1August1998,orwithinonecalendaryearofentryintoforceofregulationI/7
for the Party concerned,theCommitteeagreedthatthesametimeshouldbeallowedforimplementationof thepolicies,systems,controlsandinternalqualityassurancereviewsrequiredbysectionA-I/8,paragraph2. The Committee therefore agreed that reports of independent evaluations should be made by 1 February2004 or, for Parties with an entry into force date after1 February1997,within6yearsand6
months from that date.
3 ForthosePartieswhichhavesubmittedreportsonindependentevaluationsatthesametimeasthe information communicated in accordance with sectionA-1/7oftheSTCWCode,theSecretary-General will:
.1 seekconfirmationfromtherespectivepanelchairmenthattheevaluationoftheinformation communicatedhadalsoincludedacompleteevaluationofthereportsofindependent evaluation under regulation I/8;
.2 advisethePartiesconcernedthatafreshreportofindependentevaluationwillnotbe required but advising them when the next report will be due;and
.3 report to MSC stating that he has takenthisactionandreceivedconfirmationofthe evaluation of the report required under regulation I/8.
4 InrespectofthoseParties whichhavenotsubmittedreportsofindependentevaluationorwhose reportsarenotcomplete,theSecretary-GeneralwilladvisethePartiesaccordinglyinorderforthemtotake thenecessaryactioninadvanceofthe'deadline'of1February2004or,forthosePartieswhichbecame STCWPartiesafter1February1997,totakethenecessaryactioninadvanceoftheirrespectivedeadlines.
Contents of the report
5 On completion of an independent evaluation, pursuant to paragraph2 of regulation I/8, the Party concernedshouldprepareaconsolidatedreport(individualreportswithasummary,whereaconsolidated reportisnotpossible)ontheresultsoftheevaluationforsubmissiontotheSecretary-General.Thereportis
tobesubmittedatintervalsofnotmorethanfiveyears,coveringallaspectsoftrainingandtheadministration
of the certification system, should contain, asa minimum, the following items:
.1 thequalificationsandexperienceofthosewhoconductedtheevaluationpursuanttosection
A-I/8,paragraph4;(e.g.,certificatesofcompetencyheld,experienceasaseafarerand independent evaluator, experience in the field of maritime training and assessment, experience in the administration of certification systems, or any other relevant qualifications/experiences);
.2 the terms of reference for the independent evaluation and those of the evaluators;
.3 a list of training institutions/centres covered by the independent evaluation;
.4 theresultsoftheindependentevaluation,including:
.4.1 verificationthatallinternalmanagementcontrolandmonitoringmeasuresand follow-upactionscomplywithplannedarrangementsanddocumentedprocedures andareeffectiveinensuringachievementofdefinedobjectivesinaccordancewith sectionA-I/8 paragraph 3.1;
.4.2 a brief description of:
.4.2.1 the non-conformities found, if any, during the independent evaluation;
.4.2.2 the corrective measures recommended to address the identified non-conformities;
.4.2.3 the corrective measures carried out to address the identified non-conformities; and
.5 an index of materials submitted (annex 1).
Action to be taken by competent persons in accordance with sectionA-I/7, paragraph 8.2
6 When a report is received from any Party under regulation I/8, paragraph 3 of the STCWConvention,theSecretary-Generalwilldesignatecompetentpersonsfromthelistmaintainedin accordance with sectionA-I/7paragraph5oftheSTCWCode,toconsiderthereportandprovidetheir views on whether:
.1 thereportiscompleteanddemonstratesthatthePartyhascarriedoutanindependent evaluation of the knowledge, understanding, skills and competence acquisition and assessment activities, and of the administration of the certification system, (including endorsementandrevalidation)inaccordancewithsectionA-I/8,paragraph3oftheSTCW Code;
.2 the report is sufficient to demonstrate that:
.2.1 the evaluators were qualified;
.2.2 thetermsofreferencewereclearenoughtoensurethattheimplementationof clearlydefinedobjectivesinaccordancewithregulationI/8,paragraph1ofthe STCW Conventioncouldbeverifiedoverthefullrange of relevant activities;
.2.3 theproceduresfollowedduringtheindependentevaluationwereappropriateto identifyanysignificantnon-conformitiesintheParty'ssystemoftraining,assessment ofcompetence,andcertificationofseafarers,asmaybe applicable to the Party concerned; and
.2.4 the actions being taken to correct any noted non-conformitiesaretimelyand appropriate.
7 Oncompletionoftheirconsiderationofthereport,thecompetentpersonsshall,onaconfidential basis, providetheirviewinwritingtotheSecretary-Generalintheformatgivenatannex2. Intheeventthat thecompetentpersonsareunabletoreachanaffirmativeconclusiononthecriteriainparagraph3.2above, thecompetentpersonsshouldseekadditionalinformationorclarificationsfromthePartyconcerned,through the Secretary-General, to assist them to come to their conclusion.
Action to be taken by the Secretary-General and the Maritime Safety Committee
8 TheSecretary-General, taking into account theviewsexpressedbythecompetentpersons,shall submitatimelyreporttotheMaritimeSafetyCommitteewhentheinformationreceivedfromthecompetent personsconfirmsthat`fullandcompleteeffect’isgiventotheprovisionsofregulationI/8 of the STCW Convention and sectionA-I/7, paragraph4 of the STCW Code.
9 TheMaritimeSafetyCommittee,havingreceivedthereportsoftheSecretary-General,shallatthe earliestpossibletimeidentifythosePartieswhichhavesatisfiedtherequirementsofregulationI/8 of the STCW Convention and sectionA-I/7, paragraph4 of the STCWCode.
10 MemberGovernmentsareinvitedtobeguidedaccordinglyandtobringthiscirculartotheattention of all parties concerned.
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