D G Guidelines For Assessment Examination and Certification of AECS

Directorate General of Shipping, Ministrv of Shipping, Govt.
of India, Mumbai
TRAINING BRANCH lS / ISO Clause
Ref.:QMS -7.O Subject-Guidelines for Assessment, Examination and File No.
Certification of Seafarers (AECS) Course TR/POL/8(11y2018
Page 1
Approved by : Circular No. : Dated 01.10.2018

Director STCW 2O1O CIRCULAR NO ,27 OF 2OI8
General of
Shippine. GOI
1. The standards of competence that have to be met by seafarers are defined in Part A of
the Seafarers' Training and Certification and Watch keeping (STCW) Code of the
Intemational Convention on Standards of Training, Certification and Watch keeping for
Seafarers (STCW), 1978, as amended.
2. This course has been developed to support the implementation ofthe Convention and
Code. It addresses the requirements of regulation V6 of the Convention and section A-V6 of
the STCW Code. The course is also relevant to the requirements of regulation I/8 of the
Convention and section A-V8 ofthe Code.
3. It
covers the legal, administrative, supervisory and operational frameworks and
processes of assessing, examining and certifoing seafarers within the context of the
Convention.
4. To specify the requirement of individuals/entities involved in these processes ;
administrators, supervisors, monitors and./or assessors of seafarers for certification, the

Directorate General of Shipping has formulated the following guidelines for the conduct of
the "Assessment, Examination and CertiJication of Seafarels (AECS/' course as profiled in
the annex to this circular.
5. The ID No. assigrred for the'Tssessment, Examination and CertiJication of Seafarets

(AECS)" Course isXlZ The duration of this course is 70 hours (10 days) and the frequency
ofthe course shall not exceed 48 in a calendar vear.
6. DGS approved training institute, eligible to conduct this course and complaining
with the details specified in the annex will be eligible to apply for the conduct of this course
along with a prescribed processing fee of Rs.75,000/-.
7. This issues with the approval of Director General of Shipping & Secretary to the
Gor4. of lndia.
,6c
(Deependra
it
Asstt. Director General of Shippirig
ANNEX
GUIDELINES FOR ASSESSMENT. EXAMINATION AND CERTIFICATION OF

SEAF'ARERS
I. AIMS-
This course is intended to meet the Mandatory minimum requirements of providing
knowledge to enhance shlls of would be examiners to administer, supervise and
monitor training, and assessment, exdmination and certiJication of seafarers in
accordance with the provisions of Regulation V6 "Training and Assessment" of the
STCW Convention 1978, as amended and section A-U6 of the STCW Code. This
course is also designed to meet the requirements of IMO Model course 3.12,
"Assessment, Examination and Certification of Seafarers (AECS)".
2. OBJECTIVES-
A trainee successfully completing this course will be able to:
2.1 Apply the provisions of the STCW Convention conceming the training, assessment,
examination and certification of Masters, officers and ratings;
2.2 Evaluate and apply the processes necessary to implement these provisions under
national law;
2.3 Analyse national assessment, examination, and certification process needs;
2.4 Determineappropriateassessmentmethods;
2.5 Organise, administer and conduct assessments / examinations; and
2.6 Demonstrate the ability to issue certificates and control the certification process.
3. INFRASTRUCTURE AI\D EOUIPMENT REOUIREMENT
3.1 Class Room - The lectures shall take place in a classroom, size and ambience
govemed as per DGS Order 5 of 2016.
3.2 A suitable classroom is required with desks or tables and chairs. It should be possible
to move the furninre around so that a variety of room arrangements can be used.
Ideally, extra breakaway rooms will be available for when the class is split into
groups, since each group should have a separate space in which to work.
3.3 The main room should be provided with a whiteboard, a flip overboard (flip chart),
writing materials, and an overhead LCD projector for computer-based presentations.
Electrical sockets should be located so that the equipment can be positioned safely.
3.4 Group rooms should be provided with tables, chairs, some form of board and writing
materials.
4. ELIGIBILITYFORMARITIMETRAININGINSTITUTE
DGS Approved training institute conducting a minimum of 5 DGS approved maritime
courses.
5. ENTRYSTANDARDS_
5.1 Every candidate qualified to conduct assessments and examinations of seafarers for
certificates of competency issued in accordance of the STCW convention, 1978, as
amended should possess a certificate of competency no lower than the certificate or
qualification, which he/she is to examine and certifu on behalf of the Directoraie
General of Shipping.
5.2 Shall hold a Certificate of Competency, issued by the Govt of India" or equivalent,
either as :
r Master (FG) or
o MEO Class I (FG) or
o ETO or
o GMDSS (GOC)
And
5.3 Hold a certificate for "Training Course for Trainers and Assessors", (TOTA);
5.4 Have Fluency (both spoken and written) in the language in which the course will be
conducted
6. COURSE INTAKE LIMITATIONS -

6.1 The course intake is limited to a maximum of 20 trainees.
6.2 The maximum trainee - instructor ratio shall be 20 to 1 for classroom lectures and 12
to 1 for Group activities.
6.3 Ideally, the trainees should include personnel from both Maritime Administrations
and training institutions, or those who conduct assessments and examinations on
behalf of the Administration.
6.4 There should also be sufficient representation in the deck department and engineering
department to make the activities in the course productive and more balanced. The
successful outcome ofthe course depends on active participation and contribution by
the trainees.
7. FACULTYREOUIREMENTS-
7.1 The qualifications and experience of Course-in-charge & Faculty:
7 .1.1 Holding Certificate of Competency as Master (FG) or MEO Class I (FG)
7 .1.2 Have successfully completed the DG approved "Assessment, Examination and
Certification of Seafarers (AECS)" cowse.
7 .1.3 Have a minimum ol 5 years experience in maritime education and training or in
the administration.
8. FACULTY/INSTRUCTORSTRENGTH-
Not less than two faculty (as appropriate) (inclusive of the course-in-charge). A
minimum of 50% of the entire portion must be covered by firll-time faculty.
9. REOUIREDATTENDAI\CE-
100% attendance is required for successful completion of the course. However, in
- exceptional circumstances, a trainee is allowed absence ofup to one day subject to his
attending the lectures missed out during the next subsequent batches at the same
institute within a period of 3 months. The institute shall keep proper records of such
cases.
Ifa trainee is absent for more than a day, he will need to repeat the entire course.
10. COURSE OUTLINE. TIME TABLE AI\{D DETAILED LEARMNG

OBJECTIVE -
10.1 Course duration: 70 hrs [10 days]
10.2 Course outline: As per Appendix -I

10.3 Course Time Table: As per Appendix - 2
10.4 Leaming Objectives- As per Appendix - 3
Note
Throughout the course, safe working practices are to be clearly defined and
emphasized with reference to current intemational requirements and regulations.
It is expected that the institution implementing the course will insert references to
national and/or regional requirements and regulations as necessary.
11. HOLIDAYS-
Sundays shall be holidays. Independence Day (l5n August) and Republic Day (26fr
January) shall be compulsory holidays.
Trainees shall normally enjoy the holidays observed by the Gor4. of the State in
which the institute is located.
12. ASSESSMENT AI\ID FEEDBACK -

Evaluation and Assessment shall be as per guidance provided in Part E of the IMO
Model course 3- 12-
Provisions shall be made by the institutes for unsuccessfirl trainees to be provided
additional hands on training and records of same shall be maintained.
Unsuccessfirl trainees shall be re-assessed on the subsequent batch assessments.
. 13. COURSECERTIFICATE-
A Course Certificate, the format of which is appended at Appendix 4 shall be-
issued by the DGS approved maritime training institute to all trainees who have
successfully completed the DGS approved "Assessment, Examination and
Certification" Course.
14. OUALITY STANDARDS - As per DGS Order No. 5 of 2016
15. INSPECTION - As per DGS Order No. 5 of 201-6
16. FEES TO GOVERNMENT - As per DGS Order No. 5 of 2016
17. COST OF INSPECTIONS - As per DGS Order No. 5 of 2016
I8. TEACHING AIDS
A1 Instructor's Manual to be prepared as per guidance provided in Part D of

the IMO Model course 3.12.
A2 Audio-visual equipment and material appropriate for classroom size and

number oftrainees.
A3 IMO Model course 3.12 - 2017 Edition
A4 IMO Model course 6.09 - 201 7 Edition
.A5 IMO Model course .30 - 201 7 Edition
1
Other equipment appropriate to the activities and elemealts described in the Detailed
Leaming Objectives listed in Appendix 3.
19. BIBLIOGRAPTTY (B)
Note: Bibliography may be used as deemed fit by the faculty.
B 1 Fletcher, Shirley, Competence-Based Assessment Techniques 2nd d.

(London, Kogan Page, 200 I ) (ISBN 97 807 49 43 4229)
B2 Holder, Len, Training and Assessment on Board 4th ed. (London, Witherby &
Co Ltd,20l l) (ISBN 978185609451l)
83 P. Race, S. Brown and B. Smith, 500 Tips on Assessment 2nd ed. (London,
Routledge Falmer, 2005) (ISBN 9780415342791)
B4 The Nautical Institute, Maritime Education and Training (London, Tlte
Nautical Institute, 1 997) (ISBN 97 81 87 007 7 41 5)
85 International Shipping Federation, ISF Gaidelines on the IMO STCW
Convention including the 2010 'Manila Amendments'3rd ed (London,
lntemational Shipping Federation, 20 12)
86 lntemational Shipping Federation, ISF On Board Training Record Bookfor
Deck Cadets 3rd ed (London, lntemational Shipping Federation,20l2)
B7 Intemational Shipping Federation, 1SF On Board Training Record Bookfor
Engine Cadets 3rd ed. (London, Intemational Shipping Federation, 2013)
B8 Intemational Shipping Federation, LSF P ersonal Training and Service Record
Booi.r (London, Intemational Shippiag Federation, 1998)
89 E. S. Ebert II, C. Ebert & M. L. Bentley, The Educator's Field Guide: An
Introduction to Everything from Organization to Assessment (New York,
Skyhorse Publishing, 20 1 4) (ISBN 978 I 62873 7479)
B 10 E. Raeng, lssess ing Seafarers' Competence (FAMEA{ARTA, Manila, 1999.
Tel: +632 635 4820;Fax: +632 638 7961)
81 I D. Kennedy, Writing and using learning outcomes: A practical guide, (Cork,
Ireland, University College Cork, 2007)
20. IMO and REGULATORY REFERENCES (R)
Note: Below books are mandatory
Rl The Intemational Convention on Standards of Training, Certification and

Watch keeping for Seafarers, 1978, as amended (STCW Convention)
(available from IMO Publications)
R2 Intemational Safety Management Code (ISM Code) (available from IMO
Publications)
R3 Intemational Convention for the Safety of Life at Se4 197 4 , as amended
(SOLAS) (available from IMO Publications)
R4 IMO Information Sources on STCW (available from IMO Knowledge Centre)
21. INTERNET WEBSITE REFERENCES (W)
Note: Some usefirl references may be:

IMO Maritime Knowledge Centre (MKC)
http ://www. imo.orgy'en/Ifu owled geCentrePaeeyDefault.asox
Wl STCW Circulars
http://www.imo.ors/erl/OwWork/HumanElement/TrainineCertification/Pagqs/
STCWCirculars.aspx
W2 ILO Sector Activities: Shipping, ports, fisheries and inland waterways sector
http ://www.ilo.org/elobal/industries-and-sectorsi shippine-ports-fisheries-
inland-waterways/lan g-er/index.htm
W3 ILO Database of Intemational Labour Standards

http://www.ilo.ors/dyr/normlex/erL{?p:NORMLEXPUB: 1 :0
W4 Marine Inquiry I I -204: Container ship MV Rena grounding on Astrolabe

Reef, 5 October 201 1.
http://www.taic.org.nzlReportsandSafetyRecs/MarineReports/tabid/87/ctyDet
aillmidL/484/lnvNumber/20 I 1 -204llanguage/en-
US/Default.aspx?SkinSrc=%5 BG%5Dskins%2FtaicMarine%2Fskin_marine
W5 Costa Concordia marine casualty on January 13, 2012: Report on the safety
technical investigation.
http ://3kbo3 02xo3le2i I rj 845 Oxj e.wpeneine.netdna-cdn.conywp-
content/uploads/2013/05/Costa_Concordia - Full Investieation_Report.pdf
APPENDIX - 1
COURSE OUTLINE (L-Lecture, A- Practical Activity)
Subject Area with Learning Objectives L A TOTAL

Time
Hours
Course Introduction 0.25 0.25
I The STCW Convention, 1978 as amended 7.75 1.0 8.75
I .1 Background to STCW
1 .2 The need for revision
l 3 Overview of the revised STCW Convention

I .4 Process overview
1.5 Intemational instruments
I .6 General objectives
1.7 Certification of fishermen and for high-speed craft
1.8 STCW certificate requirements
I .9 National legislative and administrative framework
2 Quality System 3.0 2.0 5.0
2.1 Quality standards
2.2 Quality management system
2.3 ISM Code
3 Assessing Applications 2.0 2.0 4.0
3.1 Information for applications
3.2 Procedures for assessing applications
4 Requirements in Training and Assessment 3.0 3.0
4.1 Regulation on training and assessment
4.2 Roles and responsibilities in training and assessment
4.3 On board training and assessment
5 Approving Training, Assessment and Records 2.75 1.25 4.0
5.1 Specihcation of standards
5.2 Evaluation against standards
5.3 Maintenance of standards
6 Competence-Based Standards 4.0 6.0 10.0
6. I Competence-based training
6.2 Table of competence in the STCW Code as amended
6.3 Competence-based assessment
6.4 Collecting and matching evidence to standards
6.5 Review and follow-up
6.6 Quality assurance
7 Developing Written Tests 3.75 5.0 8.75
7.1 Examination methodology
7.2 Quality of tests
7.3 Subjective-type tests
7.4 Supply-type tests
7.5 Obj ective-type tests
7.6 Calculations
7.7 Compiling tests
7.8 Simulator-based tests
Subject Area with Learning Objectives L A TOTAI-,

Time
Hours
8 Invigilation of Tests 1.5 0.5 2.0
8.1 Written tests
8.2 Publications and equipment
8.3 Communications
9 Scoring Tests 2-0 0.5 2.5
9.1 Scoring subjective tests
9.2 Scoring objective tests
9.3 Reviewing marginal cases
l0 Oral and Practical Tests 1.0 1.0 2.0
I I Shipboard Assessment 0.5 0.5
12 Maintenance of Standards 3.0 4.0 7.0
12.1 Review of test material
12.2 Failure
12.3 Appeals
12.4 Recognizing cedificates
12.5 Dispensations, exemptions and equivalents
12.6 Revalidation of certificates
12.7 Suspension and revocation
l3 Administration 1.5 3.75 5.25
13.1 Issuing and replacing certificates
I 3.2 Enforcement of standards
13.3 Upholding the responsibilities of companies
l,l Course review and practical evaluation activity 2.0 5.0 7.0
TOTAL 38.0 32.0 70.0
APPENDIX-2
TIMETABLE
TIME SUBJECT
WEEK I
DAY 1
0845 -0900 Course Entry formalities.

Introduction to the course
0900- 1 I 00 1. The STCW Convention as amended
1 .1 Background to STCW
1.2 Need for revision
1.3 Overview of the revised STCW Convention
1100-r 115 Tea Break
1115-1315 l. The STCW Convention as amended (cont'd)
1.4 Process overview
1.5 Intemational instruments
1 .6 General obiectives
1315- 1400 Lunch Break
1400- 1600 1. The STCW Convention as amended (cont'd)
1 .7 Certification of fishermen and for high speed craft
o Practical activity 1.7.l3

1615-1630 Tea Break
1630-1730 1.8 STCW Certificate requirements
DAY 2
1. The STCW Convention as amended (cont'd)
0900-1100 o Practical activity L8.8
. Practical activity 1.8.10
1.9 National leeislative and administrative framework
il00-1 tI5 Tea Break
1115-1315 2. Quality system (cont'd)
2.1 Quality standards
2.2 Quality management system
1315- 1400 Lunclt Break
1400- 1600 2, Quality system (contrd)
o Practical activity 2.2.3
1615-1630 Tea Break
1630-1730 2. Quality system (cont'd)
2.3 The ISM Code
TIME SUBJECT
3. Assessing applications
0900-1100 3.1 Information for apPlicant
o Practical activity 3.1 (a-c)
1100-1 115 Tea Break
1115-1315 3. Assessing applications
3.2 Procedures for assessing applications
1400- 1600 4. Requirements in training and assessment
4.1 Regulation on training and assessment
t6r5-1630 Tea Break
1630- 1730 4. Requirements in training and assessment

4.3 On board training and assessment
DAY 4
5. Approving training, assessment and records

0900-1100 5.1 Specification of standards
o Practical activity 5.1 .5
. Pracrical activity 5.1.14
I100-t I 15 Tea Break
1l l5-1315 5. Approving training, assessment and records
5.2 Evaluation against standards
5.3 Maintenance of standards
1315- 1400 Lunch Brcak
1400- 1600 6. Competence-based standards
6. I Competence-based training
6.2 Table of competence in the STCW Code as amended
1615-1630 Tea Break
1630-1730 6 Competence-based standards
r Practical activity 6.2.6
DAY5
6 Competence-based standards
0900-1100 6.3 Competence-based assessment
1100-1 115 Tea Break
1115-l3ls 6. Competence-based standards
1400- 1600 6 Competence-based standards
6.4 Collecting and matching evidence to standards
1615-1630 Tea Break
t0
TIME SUBJECT
1630-1730 6 Competence-based standards

6.5 Review and follow-up
6.6 Ouality asstuance
WEEK2
DAY 6
7 Developing written tests

0900-1100 7.1 Examination methodology
7.2 Quality of tests
7.3 Subjective-t1pe tests
7.4 Supply-type tests
I 100-I I I5 Tea Break
1115-1315 7 Developing written tests (cont'd)
7.5 Objective-t1pe tests
t3t5- 1400 Lunch Break
1400- 1600 7 Developing written tests (cont'd)
o Practical activity '7 .5.20
o Practical activity 7 .5.21
7.6 Calculations
o Practical activi$ 7 .6.'1
t6l5-1630 Teo Breuk
1630-1730 7.7 Compiling tests
o Practical activiry 7.7.14
DAY 7
o Practical dctivity 7.7.15
0900-1100 7.8 Simulator-based tests
8 Invigilation of tests
8.1 Written tests
8.2 Publications and equipment
1100-I I t5 Tea Break
1 1 15-1315 8.3 Communications
9 Scoring tests
9.1 Scoring subjective tests
1400-1600 9.2 Scoring objective tests
9.3 Reviewing marginal cases
10 Oral and practical tests
1615-1630 Tea Break
1630-1730 o Practical activitv 10.8
TIME SUBJECT
DAY 8 E
ll Shipboard assessment
0900-1100 12 Maintenance of standards
12. I Review of test material
1100-r I I5 Tea Breok
1115-1315 l2 Maintenance of standards (cont'd)
1 2.2 Failure
12.3 Appeals
1400- 1600 l2 Maintenance of standards (cont'd)
1 2.4 Recognizing certifi cates
e Practical activity 12.4.2
I 2.5 Dispensation, exemptions and equivalents
1615-1630 Tea Break
1630- 1730 12.6 Revalidation of certificates
12.7 Suspension and revocation
r Practical activity 72.7 .3
DAY9
13 Administration
0900-1100 13.1 Issuing and replacing certificates
r Practical activity 13. I .2
1100-t I l5 Tea Break
1115-1315 l3 Administration
I3.2 Enforcement of standards
o Praclical activity 13.2.4
1400- 1600 13 Administration
13.3 Upholding the responsibilities of companies
1615- 1630 Tea Break
1630- l 730 l3 Administration
DAY 10
0900-1100 14 Course review
1100- 5
1 il Tea Break
1115-1315 l,l Practical evaluation activitv
1400- 1600 14 Practical evaluation activity
t6t5-1630 Tea Break
t2
TIME SUBJECT
1630-1730 14 Practical evaluation activity

1730-1745 Assessment
1745-1800 Feedback
APPENDIX_3
LEARNING OBJECTIVES
The detailed teaching syllabus has been written in leaming objective format in which the
objective describes what the trainee should do to demonstrate that knowledge has been
transflerred. All objectives are understood to be prefixed by the words,."The expected leaming
outcome is that the trainee... "
Before commencing with instruction on the detailed teaching syllabus, there shall be a course
overview to introduce the leaming objectives and main topics to the trainees.
In order to assist the instructor, relerence publications are shown against the leaming
objectives in addition technical material and teaching aids, which the instructor may wish to
use when preparing course material.
The material listed in the course framework has been used to structure the detailed teaching
syllabus; in particular,
Teaching aids (indicated by A) and references indicated by
Bibliography (B),
IMO References (R), or
Intemet Website References (W)
will provide valuable information to instructors.
A description of the teaching material is Iisted at the end ol Part A (Course Framework) ol
this document.
l3
Detailed Learning IMO Textbooks, Teaching
Knowledge, Reference Bibliography Aids
Course introduction 0.25 hour) R1 A1
1) explain the scope and objectives ofthe course Reg. A-I/6
2) explain the relationship of this course to other IMO Sec. A'l/6
model courses
3) explain that use is made during the course of
individual and group activities to develop skills in
preparing assessment and examination materials
4) explain the need to supplement what is leamed on the
course with practical experiences in developing
assessmenVexamination material and conducting
assessmenVexamination, initially for lower grade
certificates
5) explain that Part D of the model course provides
guidance on the reference material necessary for the
course, arranged according to subject areas, but is also
intended to serve as a reference manual
6) Explain that the course draws on the practices of
several IMO Member States as examples of how
competence-barsed assessment and examination systems
may be conducted and emphasizes the common
fundamentals and principles
I The STCW Convention, 1978, as amended (8.75 hours) R1 B4,B5 Al&

1.1 Background to STCW (0.5 hour) Activity 1,
1) explain that IMO has, since its inception, endeavoured wt, w2

to improve the safety of ships and their equipment, as
well as to raise the training standards of seafarers
2) state that the IMO conference convened in 1978 on the
STCW Convention resulted in one ofthe most
important maritime safety conventions ever developed
3) explain that the 1978 STCW Convention was the first
attempt to establish global minimum professional
standards for seafarers, which previously were
established by individual govemments without
reference to practice in other countries
4) state that the 1978 STCW Convention prescribed
minimum standards which countries were obliged to
meet or exceed
1.2 The need for revision (0.5 hour) Rl, R7 84, Al&
l) state factors that reduced the effectiveness ofthe 1978 B5 l,
Activity
STCW Convention including: wl, w2
o changes in the structure ofthe world merchant fleet
in management and manning of ships
o reduction in crew members on board, faster tum-
round, more frequent crew changes
o mix of different education and training backgrounds
fr om multi-national manning
t4
changes in traditional organization of duties and
responsibilities on board ships
public concem regarding human related causes of
shipping disasters
2) describe the nature ofthe 1995 amendments as:
being essentially a complete revision
retaining the articles of the 1978 Convention
substantially amending the Annex (regulations) to
the Convention
Introducing a new Seafarers' Training, Certification
and Watch keeping (STCW Code)
transferring all detailed technical requirements to this
associated Code
focusing on identifiable and verifiable skills and
outcome-based competence
requiring respective Administrations to maintain
direct control and endorse the qualifications of
personnel serving their ships enhancing control
procedures
making Parties to the Convention accountable to
each other, through IMO, for proper implementation
and activities as required in the Convention and
covering three important arcas:
- responsibilities of shipping companies
- uniform standards of competence
- implementation by Parties
infioducing a new structure of the Convention
3) explain that in support ofthe above major areas, the
revised Convention included new provisions, such as:
the qualifications oftrainers and assessors
quality standards system
1.3 Overview of the the STCW Convention, 1978, as R1, R4 B5 A1

amended (0.75 hour)
I) state that the structure and goals of the Convention
and Code as amended remains the same as that of the
1995 amendments
2) state that included in the 201 0 Manila amendments are
a number of important changes to the annex to the
Convention and Code, such as:
o improved measures to prevent fraudulent practices
associated with certificates of competency and
strengthen the evaluation process (monitoring of
parties' compliance with the Convention);
o revised requirements on hours of work and rest and
new requirements for the prevention of drug and
alcohol abuse, as well as updated standards relating
to medical fitness standards for seafarers;
o new certification requirements for able seafarers;
o new requirements relating to training in modem
l5
technology such as electronic charts and information
systems (ECDIS);
new requirements for marine environment awareness
training and training in leadership and teamwork;
new training and certification requirements for
elecho-technical offi cers;
updating of competence requirements for personnel
serving on-board all types of tankers, including new
requirements for personnel serving on liquefied gas
carriers;
new requirements for security training, as well as
provisions to ensure that seafarers are properly
trained to cope iftheir ship comes under attack by
pirates;
introduction of modem training methodology
including distance leaming and web-based leaming;
new training guidance for personnel serving on-
board ships operating in polar waters; and
new training guidance for personnel operating
Dynamic Positioning Systems
new security training requirements
explicit definitions for near-coastal voyages
3) identiff key milestones in the timeline for full
implementation of the 2010 amendments
4) discuss in detail the stnrcture and parts of the STCW
Convention and Code, as amended
state the general obligations ofthe Convention
outline the articles ofthe Convention
outline the 8 chapters ofthe annex to the Convention
and discuss the regulations in them
outline the 8 chapters ofpart A ofthe STCW Code
and discuss the standards in them
reflect on the relevant guidance of part B of the
STCW Code
state the importance and purpose ofthe competence
tables in part A of the STCW Code
explain the use ofthe competence tables in part A of
the STCW Code
recall that the 2010 STCW Conference resolutions
includes the following:
- The Manila Amendments to the annex to the
lntemational Convention on Standards of
Training, Certification and Watch keeping for
Seafarers (STCW), 1978
- Verification of certificates of competency and
endorsements
- Standards of training and certification and ships'
manning levels
- Development of guidelines to implement
intemational standards of medical fitness for
l6
seafarers
Revision ofexisting model courses published by
the Intemational Maritime Organization and
development of new model courses
Attracting new entrants to, and retaining
seafarers in, the maritime profession
Future amendments and review of the STCW
Convention and Code
Day ofthe seafarer
Process overview (0.75 hour) Rl, R4 B5 Al,wl,

1) state that the assessment and certification process must w2
ensure that candidates meet all minimum national and
intemational requirements in respect of:
o experience
r medical fitness
o haining
o qualification
o assessments/examinations
o standards ofcompetence
2) state that the process must test knowledge and
competence actually used in the position concemed
3) state that the STCW Convention contains specific
criteria detailing the standards of knowledge,
understanding and proficiency to achieve for each
element of competence for the various functions
4) state that assessments/examinations must be properly
administered, supervised and monitored
5) state that the trainers, assessors and examiners must be
appropriately qualifi ed
6) state that the process must apply the same minimum
standard at all locations and at all times until standards
are changed
7) state that assessmenVexamination process must be
seen to be fair, up to date and have clear application to
the job/position to be attained by the candidate
8) states that the process should allow candidates to
appeal against decision of the assessor/examiner
9) state that the process must allow for revocation of
certificates for specified causes
l0) state that the process must provide for periodic
revalidation:
o of certificates issued
o of assessment/examination content
I1) state that process must be able to maintain security
and confi dentiality of assessment/examination content
12) state that process must ensure that approved training
courses remain up to date and valid
l3) state that the Drocess requires successful completion of
17
applicable courses which have been approved by the
Administration
l4) explain the need to ensute a colnmon standard of
training and assessment to make the qualification
process work in accordance with the STCW
Convention
1s) explain that in theory, a seafarer may receive
education, training, seagoing service, certificate, and
employment on-board, each from different States
16) sute that the qualification process will only work if
the different States involved are confident that the
education, training, assessment/examination in the
other States are implemented in accordance with the
standards specified in the STCW Convention, as
amended
17) explain that there is a need for a procedure in
recogrrizing standards to serve as a basis:
e for acceptance by the other States
r to facilitate delegation of responsibility to individual
maritime education and training institution
o for agreements on cooperation with other
States/institutions
1.5 International instruments (1.0 hour) R1. R4 Ar,wl,

1) list the principal intemational instruments goveming w2, w3,
ril/4
training and certification of seafarers as:
.the United Nations Convention on the Law of the
Sea (LINCLOS)
o the STCW Convention 1978, as amended
o the ITU Radio Regulations
o the Maritime Labour Convention, 2006
rvarious IMO assembly resolutions
2) state - for the United Nation Convention on the Larv
of the Sea (UNCLOS) - that:
o Article 94 (Duty of the Flag State) requires that Flag
States:
r effectively exercise their jurisdiction and control in
administrative, technical and social matters over
ships flying its flag
o ensure that on each the master and officers possess
appropriate qualifications, in particular in
seamanship, navigation, communications and marine
engineering, and that the crew is appropriate in
qualification and numbers for the type, size,
machinery and equipment of the shiP;
. ensure that the master, officers and, to the extent
appropriate, the crew are fully conversant with and
required to observe the applicable intemational
regulations conceming the safety of life at sea, the
prevention of collisions, the prevention, reduction
l8
and control of marine pollution, and the maintenance
of communications by radio.
conform to generally accepted international
regulations, procedures and practices and to take any
steps which may be necessary to secure their
observance.
3) state - for the ITU Radio Regulations - that:
the Intemational Telecommunication Union is the
UN specialized agency responsible for regulations
goveming the use of the radio spectrum
the provisions conceming certificates for personnel
of ship stations and ship earth stations and for
personnel of stations in the maritime mobile and
maritime mobile satellite service are set out in
articles S47 and S48, respectively, of the Radio
Regulations
as of3 October 1989, articles S47 and S48 ofthe
Radio Regulations provide for the issue and use of
GMDSS (Global Maritime Distress and Safety
System) certificates as follows:
fi rst-class radio electronic certifi cate
second-class radio electronic certifi cate
general operator's certifi cate
restricted operatorrs certifi cate
the conditions of issue and the knowledge and
experience required for each GMDSS certificate are
set forth in article S47 of the Radio Regulations
Article S48 ofthe Radio Regulations stipulates the
class and minimum number of operators or personnel
for ship stations and ship earth stations
although different, the ITU and IMO requirements
are held to be compatible
4) state - for the Maritime Labour Convention (MLC),
2006 - the inter-relation between MLC hours of work
and STCW hours of rest, and the process ofrecording
hours ofrest
5) refer to the list of IMO assembly resolutions on
training
A.703 ( 17) - Training of radio personnel in the
Global Maritime Distress and Safety System
(GMDSS)
A.771 (18) - Training requirements for crews of fast
rescue boats
-
4.921 (22) Assembly resolutions superseded by
the 1995 amendments to the 1978 STCW
Convention
A.1079 (28) - Recommendations for the training and
certification ofpersonnel on mobile offshore units
(MoUs)
6) explain the differences in and purpose of conventions,
l9
,E.otrti"ts ard adopted by the IMO
"irculars
Assembly
7) state further requirements for the training of all
personnel on ships carrying certain types of cargoes
and operating in extreme conditions per different
Codes including:
for ships carrying dangerous chemicals in bulk, the
IBC Code (Section 16.3 of20l5 Consolidated
Edition)
for ships carrying liquefied gases in bulk, the IGC
Code (Section 18.7 of2015 Consolidated Edition)
for ships falling under the IGF Code for ships falling
under the Polar Code
1.6 General objectives (0.25 hour) R1 84, 85 A1,Wl,

1)
.1 summarize that the obligations of States/contracting w2
parties in administering, supervising and monitoring
the systems and processes that support seafarer
competence, the general objectives behind these
instruments as they relate to examination ofpersonnel
as being:
o to develop and maintain a global minimal standard of
safety and pollution prevention for merchant ship
operation
. to assess and validate the competence of seafarers to
perform shipboard duties in a safe and effective
manner by means of statulory examination
o to issue an authoritative document to provide
evidence of seafarer competence that confirms the
I qualification ofa seafarer and which is subject to
I inspections by port State control
1.7 Certification of fishermen and for high-speed craft Rl, R2, T1, T4, A1,M,
(2.0 hours) R5,R7, TR4 A4,A5,
1) state the requirements to establish: R8,R10 A6, A7
r standards of qualifications for certificates
o issuing of certificates
o examinations for certificates, as required
. means of enforcement
2) state that the Intemational Convention on Standards of
Training, Certification and Watch keeping for Fishing
Vessel Personnel (STCW-F) covers the respective
requirements
3) state that the training and certification requirements of
personnel on high-speed craft are govemed by the
SOLAS Convention and the High-Speed Craft (HSC)
Code.
4) note the similarities and differences in the training
requirements for high-speed crafts and for merchant
ships
20
5) state that provisions for safety measures for high-
speed craft are incorporated in chapter X of the
SOLAS Convention
6) outline the three regulations in chapter X of the
SOLAS Convention as:
. Regulation I on Definitions
r Regulation 2 on Application
. Regulation 3 on Requirements for high-speed craft
7) state that the HSC Code means the Intemational Code
ofSafety for High-Speed Craft adopted by the
Maritime Safety Committee by Resolution MSC.36
(63), as may be amended.
8) outline chapter 18 of the HSC Code which specifies
the training and qualification requirements
9) state that, among other things, the HSC Code requires
the Administration to issue type rating certificates to
master and officers following appropriate training and
examination commensurate with the operational tasks
on board
10) list the coverage of the type rating training which
includes:
r knowledge of all on-board propulsion and control
systems
. failure mode of the systems
. handling characteristics ofthe craft and their
limitations
. bridge communication and navigational procedures
. stability and survivability of the craft in damage
conditions
e life-savingappliances
o escape routes, and evacuation procedures for
passengers
o fire protection and fire-extinguishing appliances and
systems
o damage control equipment and systems
. cargo and vehicle stowage and securement systems
. control and communications with passengers, related
to emergency
o location and use of all items listed in training
manuals
o others, such as:
o maintenance
o passenger handling for service and safety
. medical
. route / passage familiarization
1 1) list criteria for revalidation of type rating certificate
1,8 STCW certificate requirements (2.0 hours) R1 B5 wl,w2

1) describe the structue of certificates for the master and
the deck department, outlining the requirements for
21
each certificate
2) describe the structue of certificate for the engine
deparftient, outlining the requirements for each
certificate
3) identifr the mandatory training provisions
4) identifu the special requirements for personnel on
certain types of ships
5) defi ne near-coastal voYage
6) describe the applicability of delimiting near-coastal
voyages in accordance with the STCW Convention
7) explain the purpose and the intent ofestablishing what
constitutes approved sea-going service
8) generate a description of approved seagoing for
various certificates
e) describe the effects of varying the certificate structue
from that embodied in the Convention
10) generate a certificate structure to meet given needs
National legislative/administrative framework (1'0hr)

1.9 R1
1) describe generally the national legislation required to
give full effect to the STCW Convention
2) outline, in terms suitable to own country:
o enabling legislation governing the certification of
masters, ships' officers and ratings
. subsidiary legislation goveming:
o the conduct of examinations
o the issue of certificates
. the revalidation of certificates
o the suspension and cancellation of certificates
r policy and fines
3) classifr examinations as being:
o intemal if conducted by the training institution or by
personnel of such institution
. extemal if conducted solely by an Administrative
Authority independent of the training institution
4) summarize the advantages and disadvantages of the
intemal examination system
5) summarize the advantages and disadvantages of the
external examination system
6) describe the organization of an Administration, which
operates an extemal examination system
7) describe the organization of an Administration, which
delegates the examining function to training
institutions
8) detail the process to be followed to establish an
exlemal examination and certification system
9) detail the process to be followed to establish an
intemal examination and certification system
10) detail the process ofassessments for the award of
certihcates of competency by Administrations
22
2 Quality System (5.0 hours) R1 A1 & I
2.1 Quality standards (1.0 hour) Activity 2 |
1) recall the requirements of regulation V8 of the annex

to the STCW Convention, 1978, as amended
2) state that a quality st ndards system must be in place
to ensure achievement of defined objectives in areas
including:
o training
o assessment of competence
o certification
o endorsement
r revalidation
r qualification and experience of instructors and
assessors
3) state that the quality standards are applicable to:
o the Administration's system for control, approval and
certificatiotr
o maritime education and training institutions, and
their assessment/examination system
4) state that the quality standards system must include an
evaluation process, and the evaluation to be conducted
by qualified
persons not involved in the activities concemed
5) outline the scope and objectives to be covered in the
quality standards, including but not limiting to:
o the administration oftle certification system
r training programmes and courses, their objectives
and related standards of competence to be achieved
. assessments and examinations, on the appropriate
levels of knowledge, understanding and
profi ciencyiskills required
o qualifications and experience of instructors and
assessors
o controls and intemal quality assurance reviews
o an independent evaluation process
6) explain that the independent evaluation pursuant to
regulation V8 is to ensure and veriff that:
o all intemal management control, monitoring
measures and follow-up actions comply with
documented procedures and are effective in
achieving objectives as planned
r the results of each evaluation are documented, made
known to the appropriate personnel, and timely
corective actions taken
7) state that the report of the independent evaluation
should include the terms of reference for the
evaluators, and the qualification and experience of the
evaluators
8) state that the training and assessment of seafarers
required under the Convention must be administered,
23
arra -*itored, and that the trainers and
are qualified, as stipulated in regulation V6
^sessors
ofthe STCW Convention, and section A-V6 of STCW
Code
state that quality standards are stipulated in regulation
I/8 of the STCW Convention and section A-I/8 of
-"p"u."a
STCW Code
Al&
Quality standards system (3'0 hours)
2.2
Activity 2
1) state that all activities under the requirements ofthe
Convention are to be continuously monitored through
a quahty standards system whether the activities are
carried out by the Administration, within a
Govemment ministry/department/organization, or
other entities under its authority
2) outline the essential principles to ensure quality
standards as:
. establishing clear policies/objectives, standards
goveming staff quality and conduct of activities
. adopting realistic approach to ensure effective
implementation and control measures, including
adequate funding
o developing procedures which allow for achievable
performances, and result of the activities to be
monitored
. involving the participation of all affected staff at all
levels in the development, implementation and
maintenance of the system
3) generate procedures for conducting assessment of
competence-based standards for navigating
/engineering officers and ratings
4) outline the main parts in the quality standards,
including:
o clear guidelines to ensure quality assurance
. activities that are developed in a structured manner
and verified to meet requirements, for example, the
development of simulator exercises
o maintenance of operational f,rnctions, such as
identifying staff development needs and equipment
servicing
. the result phase, such as focusing on procedures to
determine assessment/examination criteria and
awarding of certificates
5) define the key elements in the quality standards
model, including:
.an expressed quality policy, means for
implementation to achieve stated aims and
objectives, and commitment so as to gain recogrr'ition
by relevant authority
o incomoration of the
and organizational structure, responsibilities,
process, resources
techniques and activities for quality control at all
levels
systematic monitoring arrangements
arrangements for periodic extemal quality evaluation
6) design a feedback form for monitoring of quality
standards
7) state that the quality standards model for assessment
of knowledge, understanding and profi ciency should
take account of the general framework of either:
o the national scheme for education and training
accreditation/quality standards, or
o an altemative model acceptable to IMO
8) state that it is recommended for the administration of
national certification system to adopt arrangements
that:
o are sufficiently flexible to take account of the
varying needs ofthe industry, as well as the
application of new technology
o cover all matters that give effect to the various
provisions of the Convention on issues related to
certificates, such as endorsements, suspensions and
' cases of fraud
. encompass responsibilities for approving training
and assessment, including from undergraduate tlpe
and upgrading courses to certificates ofcompetency
to short vocational courses
incorporate process for intemal reviews and external
evaluation
e) explain that the establishment ofquality standards for
education, training and assessment programmes
should consider the following:
utilize existing provisions for national
accreditation/education quality standards to courses
incorporating the competence requirements of the
Convention in all levels
whether to use real or simulated equipment, where
acquisition of skilVaccomplishment of task is the
primary objective, taking into account the
qualifications and experience of the assessors
the intemal quality assurance evaluations should
involve a comprehensive self-study of progftunmes,
addressing all aspects of activities, from design, to
presentation, to teaching
state that guidance regarding quality standards are
given in section B-V8 of STCW Code
2.3 ISM Code (1.0 hour) R2

1) state the purpose and obiectives ofthe ISM Code
25
Z; state that theISM Code is a requirement for
mandatory application, incorporated in chapter IX of
I
the SOLAS Convention

I
3) explain that the ISM Code fundamentally addresses

quality management systems as applied to ship
I
operation
I
management and I
4) state that compliance with other quality management I
necessarily ensure compliance with

:i:!.ffi [T"*t I
5) state that the ISM Code does not provide detailed and I
prescriptive requirements, but acts as an "umbrella" I
regulation encompassing the STCW Convention, I
Convention, SOLAS Convention' and other

ffi# I
6) state that the implementation of a training programme

by virnre of being under the requirements ofthe ISM
Code may not necessarily meet the STCW criteria
7) clarifr paragraph 2.3.6 above with examples:
o ISM Code requires newly assigned crew members to
be familiarized with the vessel
o generally familiarization training given to the crew
would satisry the requirements ofboth ISM and
STCW Convention
for certain vessels, such as tankers and passenger
ships, the ISM Code requirement for shipboard
familiarization is not suffrciently detailed to meet the
respective requirements ofthe STCW Convention, as
amended
3 Assessing Applications (4.0 hours) R1 Al&

3.1 Information for applications (2.0 hours)
Activity 3
1) generate a list of information needed on application

for the following:
o first and subsequent certificate of competency
o revalidation of certificate of competency
. endorsement of service
2) list the information about seafarer required for
application to include:
. identification
age
medical fitness
sea-service
education, training, qualification as relevant
3) state applicable conventions and guidelines as:
Intemational Convention on Standards of training,
Certification and Watch keeping, 1978, as amended
ITU Radio Regulations
IMO-ILO Guidelines on medical examination of
seafarers,2013
26
3.2 Procedures for assessing application (2.0 hours) A1 &
1) identifr a procedure for assessing applications Activity 3
2) given an application, determine the required
documentary evidence necessary to complete the
review of the application
3) explain how seafarers' documentation and sea service
may be verihed
4) explain the effect of fraudulent practices on the
certification process and its outcomes and IMO's work
in this regard
5) describe the authority required for accepting
equivalencies
4 Requirements in Training and Assessment (3.0 hours) R1

4.1 Regulation on training and assessment ( 1.0 hour)
1) state that regulation V6 covers tlre provisions on
training and assessment for seafarers for certification
2) state that relevant requirements are specified in section
A-l/6 of STCW Code, and that section B-V6 of STCW
Code provides guidance for the requirements
3) outline the requirements on training and assessment in
section A-l/6 of STCW Code as follows:
o achievement ofthe prescribed standard of
competence by ensuring structure in accordance with
written programmes including for delivery,
procedures and course material
r the prescribed qualification, experience and
knowledge of persons conducting, monitoring,
evaluating and supporting the haining and
assessment, which are carried out:
- on-board or ashore
- in-service or involving the use of simulators
- within a recognized training institution, where
quality standards are applied
o the effect on the normal operation of the ship, and
the dedication of time and attention on persons
involved in the training assessment
o explain the critical importance of having
appropriately qualified instructors, assessors and
supervisors and the associated challenges for
administrations and maritime education and training
institutions

(1.0 hour)
1) state the roles and responsibilities in the training and
assessment regime for various functions including:
. the training supervisor
. instructor
. assessor
2'.7
training and assessment on-board
intemal verifier or auditor
extemal verifier or auditor
2) state that the training and assessment regime should
ensure that the various functions are performed by
suitably qualified persons in respect ofi
the level of competence required, as specified in the
STCW tables of competence
the types of competence/characteristics required in
the functions, such as for delivery of lectures (in
haining ) and degree of objectivity (in assessment)
their motivation, attitude and understanding ofthe
roles assumed
courses attended or training/instructional techniques
received
their experience in the functions
4.3 On-board training and rss$sment (1.0 hour) R1 B2

1) state that the senior sea staff have responsibility for
ensuring the efficiency and safety of the operations
and welfare of personnel
2) state that the responsibility includes:
o familiarizing crew members with the ship and
equipment
e implementing safe procedures for routine operations
including the prevention of pollution
o providing emergency response training
. encouraging career development for all crew
members
3) state that the requirement for persons conducting on-
board training and/or assessment are specified in
section y6 ofthe STCW Code and as given in sub-
sections 4.1 and 4.2 above
4) list the considerations for on-board training and
assessment, including the following:
o time requirement
o condition of ship and environment/voyage factors
o cultural.4anguageissues
. determining specific performance outcomes
. methods to be used
r resources, such as:
- the necessary skills and qualification oftrainers
and assessors
- equipment and space
- manuals
- training aids
- the relevant forms, record sheets or training
record books
28
5 Approving Training, Assessment and Records (4.0 A1 &
hours) Activity 5
5.1 Specification of standards (2.0 hours)

I )state that a written specification should be prepared for
the approval oftraining courses leading to required
intemational or national qualifications
2)state that specifications should cover:
o facilities
o equipment
o staff qualifications and experience
. trainee entry standards
. course progranrme and syllabus
r minimum performance standards of trainees for the
issue of a certificate or other document attesting
success
3) state that trainee intake limitations should be specified
in the light of facilities and equipment available
4) state that the capabilities and performance standards of
necessary equipment should be specified
5) list the factors to consider for the use of simulators in
conducting training and assessment
6) state that the qualifications and experience of
instructors must be laid down
7) explain that the provision of support stafl and
technicians capable of servicing equipment may be
taken into account when considering course approvals
8) state that entry standards for trainees should be
prescribed
9) explain that provision to allow the admission of
trainees who do not fully meet the prescribed entry
standard can be included in the specifications on
condition that they undergo exta initial taining
10) state that guidelines on the course programme, content
of the syllabus and minimum period of training should
be specified, but the detailed course curriculum and
syllabus may be submitted by the training
establishment as part ofthe application for approval
I I ) state that the form of examination or continuous
assessment and the criteria for their successful
completion should be laid down
12) state that conditions for reassessment may be included
l3) state that the form of document attesting success
should be specified
14) draw up a specification of standards for a module of a
training and assessment programme to satisfy a given
requirement or recommendation of the STCW
Convention
15) explain that, when equipment specifications are
updated, approvals for existing equipment should be
continued for a reasonable time to allow for
replacement or updating
29
explain how IMO model courses can be used to assist
in drawing up specifications
5.2 Evaluation against standards (1.0 hour) A1 &

1) state that a formal application to the Administration
Activity 5
for approval or re-approval oftraining should be

required from a training establishment
2) state that the application should contain sufficient
information on facilities, equipment, staff and the
intended course programme to enable evaluation
against the specified standards
3) state that, before approval, a visit to the training
establishment should be made by an officer ofthe
Admini stration to:
r check the facilities and that necessary equipment is
in place and firnctioning satisfactorily
. discuss the training programme and syllabus with the
course organizer and, ifpossible, the instructors who
will be involved
. ensure that the intended assessment procedure are
satisfactory
4) explain why, in the case of intemally examined
courses for certificates of competency, it is advisable
to require submission of specimen examination
papers, model answers and marking schemes as part of
the approval procedure
5) state that specimen examination papers may be
produced by the Administration as guidance to
training establishments on the type of assessment
expected
6) state that approval for new training courses should
initially be conditional upon satisfactory completion of
the first course
state that examiner from the Administration should
monitor the first course or selected parts of it
5.3 Maintenance of standards (1.0 hour)

1) state that approvals may be granted for a limited
period, after which re-approval should be sought
2) state that approvals should:
. requhe notification of changes in courses, equipment
or instructors
o reserve the right to monitor all or part of a course
without notice
o include arangements for moderation of assessments
. stipulate the records to be kept and reports to be
made to the Admini stration
3) explain that moderation may be carried out by the
Administration or by independent moderators,
appointed either by the Administration or, subiect to
30
their approval, by the training establishment
4) state that moderators should:
approve examination papers, marking schemes and
arrangements for continuous assessment in advance
have the right to substitute a question or questions of
their own in an examination paper
scrutinize marked scripts and adjust the marks if
necessary
be a member ofthe board of examiners ifsuch a
board is established
submit reports to the Administration
5) state that the Administration has the right to inspect
assessment/examination scripts
6) explain how the Administration can use an oral test,
forming part ofthe overall assessment, as an indicator
of course standards
7) state that training establishments should refer all
proposals to accept trainees who do not meet the entry
standards to the Administration
8) state that training establishments should be asked to
comment on unusually high or low pass rates
e) explain how standards can be maintained and
improved by periodic meetings ofteachers and
examiners from the Administration
6 Competence-Based Standards (10.0 hours) R1 85, 86, B7, Al&
6.1 Competence-based training (0.75 hour) B8 Activity 6
1) state that certificates of competency have been a
feature of employment at sea for many years
2) state that traditionally, the education and training
programmes built around the requirements for the
various grades of certificates include:
o practical experience at sea
o the skills, knowledge and understanding that
underpin satisfactory performance of shipboard
duties
3) explain that the system outlined in paragraphs 6.1 .1
and 6.1.2 has been in use prior to the 2010 Manila
Amendments to the STCW Convention
4) explain that the 2010 amendments to the STCW
Convention, define the requirements ofthe
competence in more explicit terms, together with the
outcomes to be achieved, measwed and assessed
5) state that the objective is to establish a clearly defined
single set of standards of competence recognized by
all concemed
6) state that competence standards enable:
o the industry to specify its requirements and the
training to be based on them
.training to be responsive to the needs of the industry
.establishment of benchmarks for delivery of training,
3l
certification and recognition of individual capability
7) state that the broad approach to competence capability
should also reflect personal effectiveness in acquiring
general and relevant skills, knowledge and
understanding of the performance of required tasks
taking into account:
the ability to cope with the demands of the working
environment, including the ability to work with other
people
the ability to cope with emergencies and allowing for
all contingencies that may arise
8) state that the development of competence-based
qualifications for seafarers involves:
making the desired leaming outcome explicit
ensuring that assessment incorporates performance
ability and application in practice
providing a range of leaming opportunities to
individuals to facilitate access to new qualifications
and career advancement
6.2 Table of competence in the STCW Code (2.25 hours) R1 A1 &

1) state that the competence standards are grouped within Activity 6
a framework of seven functions at three levels of
responsibility
2) state the format of the table of competence as
consisting:
r the title ofa general area ofcompetence (Column I
oftable)
r the description of outcomes (Column 2 of table)
o the range of contexts and activities to which the
performance criteria for the desired outcomes apply
(Column 3 of table)
r the performance criteria (Column 4 of table)
3) construct the comparison table showing compliance
with standards
4) explain that competences may be applicable for
different functions, and this flexibility led to chapter
VII on "Altemative Certification"
5) list an example to paragraph 6.2.4 above as:
. some competences found in the function Controlling
the operation of the ship and care for persons on-
board at the operational level are common to both
officer in charge of a navigational watch and officer
in charge of an engineering watch
6) develop applicable competence for special training
requirements
7) state that the higher the level of responsibility, the
more of the following will be required:
r breadth and range ofcompetence
o depth and breadth ofknowledge and understanding
32
capability in dealing with complexity and difficulty
specialized capabilities
ability to transfer competence from one work context
to another
ability to irurovate and cope with non-routine
activities
ability to recognize and plan work
ability to supervise and lead others
6.3 Competence-based assessment (4.0 hours) R1 B1,85, B6, Al&

l) explain that traditionally, seafarer training and 87, 88, Activity 6
qualification arrangements have been based on: B10,811
r the sea service requirement, to gain adequate
experience and acquire skills
. written examinations, to test knowledge and
understanding of subject relevant to the work
involved
2) state that one of the key components of competence-
based standards and qualifications is the assessment
process
3) state that the assessment must effectively evaluate
competence in performance of tasks in line with the
performance criteria
4) given a specific function, analyse tasks involved
5) given a specific task, analyse the knowledge and skills
required
6) state that assessment is the process of obtaining and
comparing evidence with the standards
7) state that the assessment must aim to ensure that
sufficient, reliable and verifiable evidence is available
8) explain that the traditional methods of seafarer
training and certification stated in paragraph 6.3.1
above have their drawbacks
9) state that performance aboard ship can be a valuable
source ofevidence of competence alongside some of
the more familiar and traditional methods of
evaluating competence
l0) state that the STCW Convention specifies the methods
and criteria for demonstrating and evaluating
competences listed in the competence tables
I 1) describe and provide examples of the criterion-
referenced assessment and the norm-referenced
assessment
l2) state that tables ofcompetence in the STCW
Convention most closely resemble the criterion-
referenced model
l3) explain that all forms of assessment concem the
collection of evidence to match against defined
standards
14) explain that it is the pumose of the assessment which
33
determine the nature and process ofthe assessment
system
15) define the purpose of competence-based assessment
16) describe key principles in the competence-based
assessment aPProach, including:
. focus on outcome
. individualizedassessment
. no percentage rating
. no comparison with other individuals' results
o all standards/requirements must be met
r on-going process, leading to firther development
and assessment
. only "competent" or "not yet competent" judgements
made
17) list the three key aspects of competent performance
provided by the standards of competence, as:
o what has to be achieved (outcomes)
o how well it must be achieved (performance criteria)
e inwhatcontext/conditior/activities (range statement)
18) given a general training objective, or knowledge or
skill required, generate detailed leaming outcomes on
which tests items maY be based
19) state that the competence-based assessment process
includes establishing and agreeing on the assessment
plan between the assessor and the candidate
20) list the various hlluences on the assessment process
including:
. a sense ofdirection
o illusion ofvalidity
.stereotyping
.halo and homs effects
othe 'Hawthome' effect
ocontrast effect
orecency effect
21) state that in a competence-based assessment and
certification system, individuals achieve a certificate
when they can demonstrate performance which meets
all the required standards
22) list other uses of competence-based assessment
system, including:
o
a basis of performance appraisal
o
identification oftraining needs
o
a tool for skills audit
o
a base for staff selection and recruitment
o
evaluatingtraining effectiveness
6.4 Collecting and matching evidence to standards (2.0 84, 85, 86,
hours) 87, B8,
state that assessment is about making judgements, and B10, B11
1 )
confident decision of "competent" or "not yet
competent"
2) describe the various methods of assessment including:
r observation of performance
r skills test
o simulation exercises
. project or assignment
. oral questioning
o written examination
r multiple-choicequestion
3) discuss the strengths and weaknesses of each method
indicated in paragraPh 6.4.2
4) list the four key components that influence choice of
methods as:
. the required standards of competence
. the assessment framework
o the context of assessment
. skills ofassessor
5) explain that the use of various methods should take
into account:
o the evidence required
. the amount of the evidence required
o the quality of the evidence generated fiom the
method
6) state that some of the methods provide evidence of
performance, while others provide evidence of
knowledge and understanding (refer to Bloom's
Taxonomy)
7) state that it is the application of knowledge and
understanding that is ofkey interest in a competence-
based assessment sYstem
8) construct a table of specifications and explains its use
in drawing up an assessmenVexamination
9) outline the considerations under which multiple
assessors may be used
10) list the sources of evidence of a candidate's
performance
11) explain the different types of evidence, including:
o performance evidence
. knowledge evidence
o direct or primary evidence
. indirect evidence
. suPporting evidence
. supplementaryevidence
o historical evidence
12) state that the assessment plan should be flexible so as
to assess the candidate in variety ofways, taking into
account operational constraints
13) state that wherever possible, assessment should take
in the workplace with observation of normal
workplace activity
l4) state that workplace assessment may not always be
possible, either:
because of lack of opportunity to assess the full
range of activity, or
the environment is not conducive, such as noise level
too high or safety may be compromised
ls) state that in such cases mentioned in paragraph 6.4.14
above, other forms/combination/location of
assessment will need to be set-up and managed to
gather sufficient high quality evidence
l6) state that in all methods and forms of assessment there
should be transparency, validity and reliability in the
system
17) state that to ensure quality, all evidence collected
should be valid, authentic, current, and in sufficient
amount
18) state that in the matching andjudging stages of
competence-based assessment, the following
guidelines are helpful:
all standards to be assessed
evidence should relate clearly to standards
sufficient evidence is generated in normal or realistic
conditions
the assessment process is individualized, with no
comparison to other candidates
evidence should be traceable to source and kept on
record
the assessment process should not put additional
pressue on both assessor and candidate
6.5 Review and follow-up (0.5 hour) Al&

1) explain that the assessment process may reveal the Activity 6
candidate's performance " gaps "
2) state that "gaps" indicate either a lack ofopportunity
to demonstrate competence or lack of
experience/skills/knowledge
3) state that the candidate is to be provided with feedback
on the "gaps", and hisftrer training and development
needs identified as necessary
4) state that there should be properly laid out procedures
for recording the assessment, including the plan,
evidence collected, result of assessment, training and
development recommendations, etc.
5) state that there should be properly laid out procedures
for providing the follow-up actions, including
awarding the certificate to candidate or plan for re-
assessment
6.6 Quality assurance (0.5 hour) RI Al&
1) state that an effective quality assurance model is Activity 6
36
required to be in place to ensure that the standards and
the credibility of the competence-based assessment
system is maintained
2) explain how the selection, training and monitoring of
assessors affect quality assurance in the competence-
based assessment system
3) outline the requirements and characteristics that are
essential in the proper selection, training and
monitoring of assessors
4) outline the framework to ensure that quality control is
maintained in the system
s) define the role and responsibilities ofthe intemal
verifier or auditor
6) define the role and responsibilities of the extemal
verifier or auditor, and the organization he/she
represents
7 Developing Written Tests (8.75 hours) 84, 89 A1 &

7.1 Examination methodologr (0.75 hour) Activity 7
1) state that the purpose of examination is to assess the
adequacy and suitability of the experience, the
adequacy oftraining and the knowledge, skill and
practical competence of seafarers
2) state that the seafarers, in addition to paragraph 7.1.1
above, must also be certified medically fit for sea
duty
3) explain the fiurction ofjob analysis in determining
the knowledge and skills required to discharge the
responsibilities, duties and functions ofan identified
post competently
4) differentiate between an examination syllabus and
teaching syllabus and between general training
objectives and detailed leaming outcomes
5) identi$ sources of the international mandatory
minimum knowledge requirements as being the
revised STCW regulations and their annexes, the
IBC, Polar and IGC Codes, the ITU Radio
Regulations and Maritime Labour Convention, as
appropriate
6) explain the status of IMO Assembly resolutions and
MSC circulars
7) explain what is meant by minimal interpretation of
mandatory instruments
8) explain how IMO model courses may be used as
guidance so that the minimum standards of
competence implemented may be as uniform as
possible
9) state that the examination format may consist of
written, oral and practical tests, and continuous
assessment
1 0) state that written tests may be of the subl ective or
3',]
objective type
1 1 ) describe the subj ective-type test as demanding an
essay or pr€cis response, the quality and

completeness of which must be subjectively assessed
by the scorer
12) describe an objective-type test as demanding
completion or selection ofa response which involves
little or no subjective assessment of its completeness
and quality by the scorer
13) list the types of objective tests as true/false,
matching, multiple-choice or coded multiple-choice
items
14) state that supply-type questions consisting of
completion or short answer test may be regarded as
failing between the definitions of subjective and
objective tests
7.2 Quality of tests (0.75 hour) B9 A1 &

Activity 7
I) describe the desired qualities of an examination as
relating to:
o content validity
. criterion-relatedvalidity
o item validity
o reliability
o discrimination
r usability
2) explain that the content validity (balance) of atest is
a measure of how well the test content is
representative of the range oftasks to be measured
3) explain that the weighting ofthe test in measuring
knowledge, comprehension and application of
concepts should equate to the practical use made of
the topic in the task concemed
4) explain that the criterion-related validity of a test is a
measure or how well the test estimates or predicts
the candidate's on-the-job performance
5) outline the performance criteria for seafarers given in
the STCW Code
6) explain the need to establish the criterion-related
validity of the examination process for seafarers
7) explain that item validity is a measure of the
appropriateness ofthat individual item in the area
concemed
8) explain that a test item may prove to be invalid
because of:
t inappropriate level ofdifficulty
o poor construction
. inappropriateness oflearning outcometested
9) explain that the reliability of a test is a measure of its
ability to produce consistency ofresults
38
l0) explain the link between examination reliability and
comprehensiveness
l1) explain that the discrimination power of item is
a test
a measure of its ability to discriminate between the
more competent and the less competent candidates
12) explain that the discrimination power of an
examination is a measure of its ability to pass those
who are competent and to fail those who are not
l3) explain the factors, which affect discrimination
l4) state that exarninations should be easy and
economical to administer
7.3 Subjective-type tests (0.75 hour) B4 At&

Activity 7
I ) state that good subjective-type examination should
test:
breadth of knowledge
depth of knowledge
comprehension of principles, concepts and
methodology
ability to apply principles, concepts and
methodology
ability to organize facs, idea and .rguments
2) state that a good subjective question:
is as brief as possible
is clear
is complete
contains no extraneous information
measures an outcome that is essential to the job
3) give examples of uses to which subjective test items
may best be put
4) describe the advantages of an essay-type test
s) describe the weaknesses ofan essay-t)?e test
6) generate subjective-type questions to test
achievement of specific leaming outcomes
7.4 Supply-type tests (0.5 hour) Al&

1) explain that supply-type tests may be of the Activity 7
'completion' or'short-answer' types
2) give examples ofuses to which supply-type test
items may best be put
3) describe the advantages of an supply-type test item
4) describe the weaknesses of an supply-type test item
5) generate supply-type test item to test that specific
leaming outcomes have been achieved
7.5 Objective-type tests (3.0 hours) 89, B16 Al&

1)
explain that objective tests may be of the 'true/false', Activity 7
'matching', or'multiple-choice' types

2) give examples of uses to which the true/false test
item may best be put
39
3) explain the advantages ofthe true/false test item
4) explain the weaknesses ofthe true/false test item
s) explain what is meant by the guess factor and how
this can be compensated lor in scoring this type of
test
6) generate true/false test items to test that specific
leaming outcomes have been achieved
7) give examples ofuses to which a test item of
matching test may best be put
8) explain the advantages ofthe matching-test item
e) explain the weaknesses of the matching-test item
10) generate items for a matching test to determine if
specific leaming outcomes have been achieved
11) state that the answer to multiple-choice question may
be ofthe 'best answer' type or the 'correct answer'
type
12) state that in its most widely used form a multiple-
choice item consists ofa stem, which poses the
situation, followed by a number of altemative
responses, one of which is 'best' or 'correct' in the
situation
13) give examples of uses to which a multiple-choice-
type test item may best be put
I 4) describe the advantages of the multiple-choice-type
test item
15) describe the weaknesses of the multiple-choicetype
test item
16) state that, where selection of the 'best' response is
called for, that response may not be 'correct' or 'true'
in all situations
17) state that the remaining responses are 'distracters' or
'foils', which must be plausible
18) describe how to construct plausible distracters
19) generate multiple-choice items which:
. pose the situation in the stem
. measrue outcomes essential to the job
e has only indisputable answer
r contain no clues in the stem
. are grzurmatically consistent
o discriminatemisconceptions, throughpertinent,
reasonable, plausible, distinct, but inconect
distracters
o have responses arranged in a logical order
! have responses of approximately equal length
. use negative words only when appropriate
r are free of irrelevant response
o have the best response randomly placed
. use only standard accepted abbreviations
. avoid absolute terms such as 'never' and 'always'
20) given specific learning outcomes, generate multiple-
40
choice items which test:
r knowledge of facts, principles, concepts or
methodology
r comprehension of principles, concepts or
methodology
. application ofprinciples, concepts or methodology
2l ) generate coded and illustration-type multiple-choice
items and identi! suitable areas of application for
test items of this nature
7.6 Calculations (0.75 hour) Al&

1) state that ability to perform calculations may be Activity 7
assessed by requiring the complete solution of

selected problems (gross sampling)
2) state that ability to perform calculations may also be
assessed by detailed sampling
3) describe a procedure for gross sampling
4) describe a procedure for detailed sampling
s) differentiate between procedural items and step test
items
6) discuss advantages and disadvantages of gross and
detailed sampling
7) given an item for a gross sampling test, compile a
series of items for a 'detailed sampling' test that
covers all procedure and steps
7.7 Compiling tests (2.0 hours) 84, 89 A1 &

1) explain why the types of test items used in a test Activity 7
should be as consistent as possible and that, ifvaried,
like items should be grouped together
2) state that the type of test used should be that which
best assesses the leaming outcome or ability
3) explain why the number of altemative responses
used in an examination consisting of a series of
multiple-choice test items should not be varied
within a discrete section ofthe examination
4) state that the number of altemative responses used in
multiple-choice test varies the 'guess factor'
a
5) for completion of tests should
state that instructions
be concise and clear
6) explain how test items should be distributed in a test
according to their level of difficulty
7) explain how the sequence of correct responses in a
multiple-choice test should not form a recognizable
pattern on the answer sheet
8) state that a table ofspecifications should be
constructed and used for each topic area
9) state that the compiled test should be comprehensive
l0) state that data banks of test items may be kept in card
form or in computerized form
11) state that series oftests may also be kept as
4l
examination papers or booklets
12) state that completed answer sheets for multiple-
choice tests may be scored manually, by electronic
scanning equipment or by computer-based testing
software
13) state that plastic templates may be used to score the
answer sheets of multiple-choice tests manually
14) given a subject area of an examination syllabus,
generate a subjective-type examination paper to
effectively assess competence
15) given a subject area of an examination syllabus,
generates a test to measure the competence of
candidates efficiently, effectively and economically
16) explain security measures necessary to prevent
compromising of test material
17) state that if the topic coverage of a databank of test
items for a multiple-choice-type test is
comprehensive, the examinee's prior knowledge of
individual test items need not compromise the
outcome of such a test
7,8 Simulator-based tests (0.25 hour)

1) state that testing with simulators allows for
collecting evidence of competence related to:
o psychomotor skills
e cognitive skills
o decision-makingskills
o teamwork skills
2) discuss the advantages and disadvantages of
simulator-based testing including:
limitations in time
economy of resources
a replication of reality/fi delity
3) desiga simulation exercise
define performance outcomes/standards
define range of performance acceptability
define criteria for assessing performance
4) state the factors to be considered for selection oftype
and class of simulator for assessment including:
competence to be examined for
fidelity of simulation required
5) State that the simulator-based assessment should be
indicted on a written document showing:
6) state the importance of the following:
assessor rehearsal of simulation exercise
trainee familiarization with simulator
briefing oftrainees of the simulator exercise scenario
competence in line with the performance criteria
7) differentiate between the performance outcomes
required for:
42
evidence of performance
a evidence of knowledge and understanding
8) differentiate between tests to ascertain:
a knowledge
a skill
a teamwork
e) given a specific function, analyse tasks involved for
incorporation in a simulator-based test
10) given a specific task, analyse the knowledge and
skills required
1 I ) state the importance of simulator familiarization
training before simulator-based test
8 Invigilation of Tests (2.0 hours) Al&

8.1 Written tests (0.5 hour) Activity 8
1) distinguish between open-book and closed-book test

2) state that an examinations offrcer should be
appointed to take charge ofall administration for
each examination, including its invigilation
3) state that the examinations officer should provide
invigilators with written instructions on the general
conduct of examinations and the special
requirements for particular tests
4) state that instructions on the general conduct of
examinations should include:
. means of positive identification of candidates
r policy on late arrivals
o the earliest time at which candidates may leave
. security of examination papers, answer books and
papers, their collection and their retum
o a list of permitted personal publications, and
calculators
. conditions under which a candidate may temporarily
leave the examination room
. rules on permiued communications
o guidelines on the disposal of rough working and
cancelled answers
. what to do about damage or detachment of
examination publications and equipment
o procedure in the event of suspect cheating or other
irregularities
o telephone number(s) (or other contact information)
to use in case of queries or difficulties
5) explain why there should always be a minimum of
two invigilators per examination room
6) state that invigilators should not undertake any other
tasks during the invigilation of an examination
7) state that the times of starting and of finishing, by the
clock in the examination room, should be clearly
displayed
43
8) describe how to prepare an examination room
regarding the spacing of desks and the seating of
candidates for a written test
state the benefits of and issues surrounding the use of
closed-circuit television (CCTV) cameras
8.2 Publications and equipment (0.5 hour)

1) state that publications and equipment to be provided
by the examining authority should be indicated at the
head of examination papers
2) explain that the examinations officer must know
requirements in advance, to ensure that an adequate
supply of publications or of equipment is available
3) state that necessary and permitted personal
publications and equipment should be included in the
published examination rules available to candidates
4) describe the checks which invigilators should make
of personal publications and equipment
s) explain how to deal with cases of damage to or
defacement of examination property
8.3 Communications (1.0 hour)

1) state that, in general, no communication between
candidates, whether verbal or written, should be
allowed and any queries must be directed to an
invigilator
2) explain how sharing ofpublications, equipment and
calculators has potential for cheating and states that
it should be prohibited
3) draw up a written statement of the administrative
arrangements for an examination, including a set of
instructions to invigilators on the conduct of an
examination
9 Scoring Tests (2.5 hours) 84, 89 Ai&

9.1 Scoring subjective tests (1.5 hours) Activity 9
1) distinguish between credit scoring and deductive
scoring
2) define:
. error ofprinciple
o major erIors
o clerical errors
3) explain how weighing can be applied in deductive
scoring to:
. enors ofprinciple
o major errors
o clerical errors
4) state that deductions may exceed the score for a
question, in which case a zero score is assigned
5) explain how credit scoring can be weighted with
44
respect to method and clerical accuracy
6) state that calculation problems should be broken
down into steps, with scores being assigred to
method, to extmction of data from tables or other
sources and to correct answer at each step
7) state that accuracy limits for a conect answer should
form part ofthe scoring scheme
8) state that criteria for credit for neatness and
orderliness of working (ifany) should be stated in
the scoring scheme
9) state that deduction for enors ot lack of accuracy
should be tmambiguously defined in deductive
scoring schemes
10) state that a well-defined scoring scheme will give the
same score when applied by different markers
I I ) explain how to deal with answer produced by a
calculator, not showing the method used
12) describe how a scoring scheme can be produced for
question
1
an essay I
l3) given an essay question, produces scoring schemes I
scoring
for both credit scoring and deductive I
14) explain how to deal with doubtfulresponses I
to
l5) state that scores for questions may be weighted I
dimculry
reflect their importance or I
I 6) explain the use of compulsory and optional quesrions

paper
in a
I
l7) state that optional questions should all be ofsimilar

equally
I
standard and be weighted I
for
18) state that the pass mark is set at the lowest score I
which sufficient skills and knowledge have been I
demonstrated for the examinee to bejudged to be I
competent in the subject being tested I
for
state that the pass mark is often fixed
I
administrative convenience, and explain how that I
affects the development oftests I
9,2 Scoring objective tests (0.5 hour)

1) state that simple credit scoring is usually employed
2) state that deductions may be made for:
nil response
multiple response
\ryTong response
3) state that credits and deductions may be weighted
4) explain that a criterion-referenced test is intended to
measure how many leaming outcomes have been
realized, and that a deductive scoring scheme
complicates the interpretation ofresults and the
setting of a pass mark
5) explain how different tlpes ofobjective tests,
forming part of the same paper, may be weighted
6) explain how chance scoring affects total scores in
45
simple credit scoring
7) state that the pass mark should be the number of
criteria, which it is necessary to satisfy for the
examinee to be judged to have demonstrated
competency in the subject of the test
explain how the pass mark can be adjusted to take
account of chance scores
9.3 Reviewing marginal cases (0.5 hour)

1)defme a marginal crrse as a score within 5% either
side of the pass mark
2)state that all marginal cases should be reviewed for:
. completeness of marking
o correct recording of scores
3)state that, for objective tests, the score after review is
accepted
4)state that marginal subjective tests should be
independently marked by a second marker, as a
check on the correct application ofthe scoring
scheme
5)describe how to re-mark and adjust scores after the
decision on whether to pass or fail has been made
l0 Oral and Practical Tests (2.0 hours) Al&

1) state that Administrations may require an oral and Activity l0
practical test on topics essential to safety, as part of
the examination, for issue ofcertificates of
competency
2) explain advantages and disadvantages of such a
requirement
3) explain how an oral test and how a practical test
should be conducted
4) summarize a process for assuring proper coverage of
the syllabus and a fair assessment
s) explain the use ofobjective tests for screening
6) outline a procedure for conducting communications
7) explain the use which may be made of models and
simulators
draw up a test specification and a scoring scheme for
a given oral or practical examination
ll Shipboard Assessment (0.5 hour)

1) dehne shipboard assessment
2) define performance outcome
3) define performance measure
4) define performance standard
5) list the issues to take into account when preparing
and conducting shipboard assessment
6) state that shipboard assessment should be carried out
in accordance with regulation U6 ofthe STCW
Convention and section A-l/6 of STCW Code
46
7) list the stages of developing shipboard assessment
methods indicate that IMO Model Course 1.30 on
"Shipboard Assessment" covers this topic in detail
12 Maintenance of Standard (7.0 hours) B4, 89 A',t &

12.1 Review of test material (3.0 hours) Activity 12
1) explain a procedure for initial review of the content
of new and revised test item
2) explain how the adequacy of a test may be evaluated
against task criteria
3) explain how a statistical review of items for an
objective test may be carried out
4) explain the meaning and use of:
o level of difficulty (P-value) of a test item
o cumulative and composite P-values
e discrimination index (D-value) (coefficient of
correlation) ofa test item
o population
r frequency distribution oftest results
5) given statistics on the results ofa series oftests:
r calculate the P-values of individual test items
o calculate the cumulative P-values of individual test
items
o calculate the (D-value) (coefficient of correlation) of
a test item
o plot the frequency distribution of results of the test
and discuss the discrimination performance of the
test as a whole
6) explain the usefulness of P- and D-values in
assessing the quality oftest items in criterion-related
tests
7) discuss desired P-values
8) discuss desired D-values
9) describe the content of a test-item label
10) state that, to allow efficient and effective
compilation of examination sets, test items drawn
from a data bank must be coded for:
. subject topic
o ability tested
. level of difficulty
1 1) describe how P-values can be used to maintain a
consistent standard of examination

12) given flawed test items,.identifi and corrects
weakness in them
13) appraise various methods and ranges for evaluating
competence
12,2 Failures (0.5 hour)

1) describe an effective procedure for controlling the
47
re-exarnination ofcandidates who have failed
2) describe advantages and disadvantages of awarding
partial passes in an examination system
3) explain how failing candidates may be advised of
weaknesses demonstrated in their answers
4) state that any weakness demonstrated by many
candidates should be brought to the attention ofthe
training institution concemed
12.3 Appeals (0.5 hour)

1) outline procedures for dealing effectively and fairly
with appeals conceming:
r acceptance ofsea service
o medical fitness
o attendance at approved training courses
o written tests
o oral and practical tests
12.4 Recognizing certificateffi A1 &

l)
describe a procedure for recognizing certificates ActiYity 12
issued by another flag Administration in accordance
with STCW Convention, regulation I/10
2) given an applicant for a certificate who already holds
a certificate issued by another Administration,
identifo criteria to determine:
t the equivalence of the foreign certificate
. such further actions as may be necessary to allow an
appropriate certificate to be issued
3) describe how the validity ofcertificates issued by
other Administrations may be verified
4) explain difficulties, which may arise conceming
administrative control
12.5 Dispensations, exemptions and equivalents (l.0 Al&

hour) Activity 12
1) describe condition under which dispensations may
be issued under the STCW Convention
2) generate examples of 'circumstances ofexceptional
necessity'
3) generate example of circumstances of 'force maj eure'
giving rise to the need for dispensation
4) describe how to deal with an application for a
dispensation for an oflicer to temporarily fill a post
more senior than that which he/she is certificated to
fi[
5) describe how to deal with an application for a
dispensation for an uncertilicated seafarer to
temporarily fill a post for which a certificated person
is required
6) state that the STCW Convention requires
48
Administrations to ensure that a post filled by a
person holding a dispensation is filled by the holder
ofan appropriate certificate as soon as possible
7) generate a document suitable for issue as a
dispensation
8) describe the circumstances under which an
Administration can vary the mandatory minimum
requirements for certificates issued under the STCW
Convention
9) discuss the use which may be made of equivalents
under the STCW Convention
12.6 Revalidation of certificates (0.25 hour)

1) explain requirements ofthe STCW Convention
regarding revalidation
2) explain the process to be applied to confirm
competence for revalidation
3) refer to Table B-V2 in the STCW Code as indicating
a list of certificates or documentary evidence
required under the STCW Convention together with
the requirement for endorsement, registration and
revalidation
12.7 Suspension and revocation (0.75 hours) A1 &

1) describe the authority which is necessary in order to Activity 12
revoke or suspend certificates for specified causes
2) outline procedures for dealing effectively and fairly
with cases of alleged:
o misconduct
o incompetence
o incapacity
3) given a case study, identifr those factors which
should result in revocation or suspension of a
certificate
l3Administration (5.25 hours) A1 &

13.1 Issuing and replacing certilicates (1.75 hours) Activity 13
1) explain the need for centralized control over the
issue and replacement of certificates
2) generate a central record for certificates issued,
including updates, and list the basic information to
be recorded
3) explain the procedure for verifying eligibility prior to
issue
4) explain the procedure for endorsing certificates and
for removing limitations
5) from given data, complete the endorsement as
required by the STCW Convention
explain the procedure for replacing lost certificates
and the associated precautions which should be taken
49
13.2 Enforcement of standards (l.25 hours) A1 &
1)outline the content of a typical set of administrative Activity 13
instructions and guidance aimed at achieving
uniformity and Ueatment of assessment of candidates
2) describe the means by which the requirements for
certification and documentation of ship's personnel
may be enforced
3) describe administrative procedures which may be
adopted to help prevent wrongful use of certificates
which have been stolen, revoked or suspended
4) generate the control procedures which may be
applied under the provisions of article X and of
regulation I/4 of the STCW Convention
5) outline the practical training which examiners should
undergo following completion ofthe present course
13.3 Upholding the responsibilities of companies (2.25 Al&

hours) Activity 13
1)state that each Administration shall hold companies
responsible for the assignment of seafarers for
service in their ships in accordance with the
provisions of the STCW Convention
2) outline such responsibilities, with respect to:
. appropriate certificates to hold by the seafarers
. safe manning requirements
o the relevant documentation and data of the seafarers
o tle seafarer's familiarization of the ship, equipment
and procedure
o the seafarer's coordination on safety and pollution
prevention
3) given a watch keeping schedule, comments on its
suitability
4) state that regulation V14 ofthe STCW Convention
and section A-V14 of STCW Code speciff the
responsibilities of companies
5) state that Section 4 of the ISM Code also specifies
comp.ury responsibilities and authority
6) state that section B-Vl4 of STCW Code provides
guidance on the responsibilities olcompanies and
masters with regards to newly employed seafarers,
and the obligations of seafarers who are newly
assigned to the ships
state that section B-Iyl of STCW Code provides
comprehensive advice on training matters for on
board training ofofficers in charge of a navigational
watch, and that much of the concept is applicable to
on board training of all ship personnel
14 Practical Evaluation Activity (5.0 hours)

I ) siven the seneral obiectives and detailed teaching
50
syllabus ofa course, constructs a series oftests to
evaluate the outcome of that course
conduct a field test of the series oftests constructed
under objective 14.1
review the results ofthe field test and evaluates the
TOTAL COURSE HOURS:38.0 Lectures + 32.0 Activities:70.00 HOURS
5l
LIST OF ACTIVTTIES HOURS
1 THE STCW CONVENTION, 1978 AS AMENDED 1.0 HRs

Activity 1.8.8 Generate sea-service rules 0.5 hour
Activiry 1.8.10 Generate a certificate structure 0.5 hour
2 QUALITY SYSTEM 2.0 HRS
Activity 2.2.3 Generate documented procedures for conducting assessment 1 .0 hour
Activi8 2.2.6 Design feedback form for monitoring quality standards I .0 hour
3 ASSESSING APPLICATIONS 2.0 HRS
Activity 3.1a List the information needed for first and subsequent certificate of 0.5 hour
competency
Activity 3.lb List the information needed for revalidation of certificate ofcompetency 0.5 hour
Activity 3.1c List the information needed for endorsement ofservice 0.5 hour
Activity 3.2.2 Define requirements for persons employed or engaged on seagoing ships 0.5 hour
5APPROVING TRAINING, ASSESSMENT AND RECORDS I.25 HRS

Activity 5.1.5 List the factors to consider for the use of simulators 0.5 hour
Activity 5.1.14 Draw up a specification of standards 0.75 hour
6 COMPETENCE BASED STA}{DARDS 6.0 HRS

Activity 6.2.3 Construct comparison table showing compliance with Standards 0.75 hour
Activity 6.2.6 Develop competence for special training requirements I .0 hour
Activity 6.3.4 Perform a task analysis I .0 hour
Activity 6.3.5 Perform a knowledge and skills analysis 1 .0 hour
Activity 6.3.18 Write detailed leaming outcomes to demonstrate competence 1 .0 hour
Activity 6.4.8 Draw up a table of specifications 1 .25 hour
7 DEVELOPING WRITTEN TESTS 5.0 HRS

Activity 7.3.6 Generate subj ective-type questions 0.35 hour
Activity 7.4.5 Generate supply{1pe questions 0.35 hour
Activity 7.5.6 Generate true/false questions 0.35 hour
Activity 7.5.10 Generate matching questions 0.3 5 hour
Activity 7.5. I 9 Generate multiple-choice questions 0.3 5 hour
Activity 7.5.20 Generate items to satisry test specifications 0.75 hour
Activity 7 .5.21 Generale coded and illustrated multiple-choice items 0.5 hour
Activity 7 .6.7 Converl a gross sampling item into detail sampling items 0.5 hour
Activity 7.7.14 Generate a subjective test for a subject area 0.5 hour
Activity 7.7. i 5 Generate an efficient test for subject area 1.0 hour
8INVIGILATION OF TESTS 0.5 HRS

Activity 8.3.3 Draw up administrative arrangements for examination 0.5 hour
9 SCORING TESTS 0.5 HRS
Activity 9.1 .13 Produce a scoring scheme for an essay-type question. 0.5 hour
rO ORAL A}ID PRACTICAL TESTS I.() HRS
Activity 10.8 Draw up a test specification and a scoring scheme for oral and practical 1.0 how
tests
12MAINTENANCE OF STANDARDS 3.75 HRS
Activity 12.1.5 Calculate and use examination statistics 0.75 hour
Activity 12.1 .12 Correct flawed test items 0.75 hour
Activity 12.1.13 Appraise various methods and ranges for evaluating competence 0.75 hour
Activity 12.4.2 Determine the equivalence of a foreign certificate 0.5 hour
Activity 12.5.2 Generale examples of circumstances of exceptional necessity 0.25 hour
Activity 12.5.7 Generate a dispensation document 0.25 hour
Activity 12.7.3 Identify factors which should result in revocation or suspension ofa 0.5 hour
certificate
52
Z LIST OF ACTI\,'ITIES HOURS
12MAINTENAI\CE OF STAIIDARDS 4.0 HRS

Activity 12.1.5 Calculate and use examination statistics 0.75 hour
Activity 12.1.12 Conect flawed test items 0.75 hour
Activity 12. I . l3 Appraise various methods and ranges for evaluating competence 0.75 hour
Activity 12.4.2 Determine the equivalence of a foreign certificate 0.5 hour
Activity 12.5.2 Generate examples of circumstances of exceptional necessity 0.25 hour
Activity 12.5.7 Generate a dispensation document 0.5 hour
Activity 12.7.3 Identify flactors which should result in revocation or suspension ofa 0.5 hour
certificate
13ADMINISTRATION 3.75 HRS
Activity 13.1.2 Draw up an efficient record keeping information system 0.75 hour
Activity 13.1.5 Complete STCW endorsements 0.5 hour
Activity 13.2.4 Define measrues in enforcing standards 0.75 hour
Activity 13.3.3 Deliberate on appropriateness, given a watch-keeping schedule 0.75 hour
Activity 13.3.7 Generate administrative arrangements in upholding the responsibilities I .0 hour
of companies
14 COURSE REVIEW AND PRACTICAL EVALUATION ACTIVITY 5.0 HRS

Activity 14 Practical evaluation activity 5.0 hour
ACTIVITIES TOTAL 32.0 HRS
53
!
APPENDIX -4
NAME and ADDRESS of the D. G. Approved Training Institution

Institute's
LOGO Tel: E-mail:
Certificate No:
THIS IS TO CERTIFY THAT
Date of Birth (dd/mm/yyyy)
Holder of C.D.C. No.
has successfully completed a training course in:
held from .. . and has been found qualified.
The course meets the requirements of IMO Model Course 3.12 and is approved by the Directorate General of
Shipping and meets the requirements relevant to the said course as laid down in:
Regulation V6 ofthe STCW Convention 1978, as amended, and Section A-V6 ofthe STCW Code.
The candidate has also met the additional criteria specified in the STCW Convention, applicable to the issue of
the certificate. This certificate is issued under the authority of the Directorate General of Shipping Ministry of
Shipping, Government of India.
Signature of Candidate Name and Signature ofCourse In-charge
Date oflssue:
Date of Expiry: UNLIMITED
Colour
Photograph
(35 mm x 35 Name and Signature of Dean / Principal
54

D G Guidelines For Assessment Examination and Certification of AECS

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Directorate General of Shipping, Ministrv of Shipping, Govt.

Approved by : Circular No. : Dated 01.10.2018

4. To specify the requirement of individuals/entities involved in these processes ;

administrators, supervisors, monitors and./or assessors of seafarers for certification, the

5. The ID No. assigrred for the'Tssessment, Examination and CertiJication of Seafarets

GUIDELINES FOR ASSESSMENT. EXAMINATION AND CERTIFICATION OF

3. INFRASTRUCTURE AI\D EOUIPMENT REOUIREMENT

o MEO Class I (FG) or

6. COURSE INTAKE LIMITATIONS -

10. COURSE OUTLINE. TIME TABLE AI\{D DETAILED LEARMNG

10.1 Course duration: 70 hrs [10 days]

10.2 Course outline: As per Appendix -I

10.4 Leaming Objectives- As per Appendix - 3

12. ASSESSMENT AI\ID FEEDBACK -

14. OUALITY STANDARDS - As per DGS Order No. 5 of 2016

15. INSPECTION - As per DGS Order No. 5 of 201-6

16. FEES TO GOVERNMENT - As per DGS Order No. 5 of 2016

17. COST OF INSPECTIONS - As per DGS Order No. 5 of 2016

I8. TEACHING AIDS

A1 Instructor's Manual to be prepared as per guidance provided in Part D of

A2 Audio-visual equipment and material appropriate for classroom size and

19. BIBLIOGRAPTTY (B)

Note: Bibliography may be used as deemed fit by the faculty.

B 1 Fletcher, Shirley, Competence-Based Assessment Techniques 2nd d.

20. IMO and REGULATORY REFERENCES (R)

Note: Below books are mandatory

Rl The Intemational Convention on Standards of Training, Certification and

21. INTERNET WEBSITE REFERENCES (W)

Note: Some usefirl references may be:

W3 ILO Database of Intemational Labour Standards

W4 Marine Inquiry I I -204: Container ship MV Rena grounding on Astrolabe

COURSE OUTLINE (L-Lecture, A- Practical Activity)

Subject Area with Learning Objectives L A TOTAL

l 3 Overview of the revised STCW Convention

Subject Area with Learning Objectives L A TOTAI-,

0845 -0900 Course Entry formalities.

o Practical activity 1.7.l3

1630-1730 1.8 STCW Certificate requirements

1630- 1730 4. Requirements in training and assessment

5. Approving training, assessment and records

1630-1730 6 Competence-based standards

7 Developing written tests

1630-1730 14 Practical evaluation activity

Teaching aids (indicated by A) and references indicated by

IMO References (R), or

Intemet Website References (W)

will provide valuable information to instructors.

I The STCW Convention, 1978, as amended (8.75 hours) R1 B4,B5 Al&

1) explain that IMO has, since its inception, endeavoured wt, w2

1.3 Overview of the the STCW Convention, 1978, as R1, R4 B5 A1

Process overview (0.75 hour) Rl, R4 B5 Al,wl,

1.5 International instruments (1.0 hour) R1. R4 Ar,wl,

1.6 General objectives (0.25 hour) R1 84, 85 A1,Wl,

1,8 STCW certificate requirements (2.0 hours) R1 B5 wl,w2

National legislative/administrative framework (1'0hr)

2.1 Quality standards (1.0 hour) Activity 2 |

1) recall the requirements of regulation V8 of the annex

2.3 ISM Code (1.0 hour) R2