1、MODEL COURSE I AS SES SMENT, EXAMINATION AND CERTIFICATION OF SEAFARERS VOLUME 2: COURSE COMPENDIUM IMO International Maritime Organization Model Course No 3.12 Assessment, Examination and Certification of Seafarers Volume 2: Compendium IMO First published as “Examination and Certification of Seafar
2、ers” in 1992 by the INTERNATIONAL MARITIME ORGANIZATION 4 Albert Embankment, London SE1 7SR Revised edition 2000 Printed in the United Kingdom by CPC The Printers, Portsmouth 2 4 6 8 10 9 7 5 3 ISBN 92-801 -5088-X IMO PUBLICATION Sales number: T312E ACKNOWLEDGEMENTS IMO wishes to express its sincere
3、 appreciation to the National Maritime Academy of Singapore for its valuable assistance and co-operation in the development of this course. Grateful acknowledgement is made to the publishers for permission to use material and diagrams from: 500 Tips on Assessment by S. Brown, P. Race and B. Smith, 1
4、996, Kogan Page, London Competence-based Assessment Techniques by Shirley Fletcher, 1997, Kogan Page, London Copyright O IMO 2000 All rights reserved. No part of this publication may, for sales purposes, be produced, stored in a retrieval system or transmitted in any form or by any means, electronic
5、, electrostatic, magnetic tape, mechanical, photocopying or otherwise, without prior permission in writing from the International Maritime Organization. Contents Preface Part 1 Introduction to the Revised STCW Convention Part 2 Process Overview Part 3 Part 4 Part 5 Part 6 Part 7 Part 8 Part 9 Part 1
6、0 Part 11 Part 12 Part 13 Part 14 Part 15 Part 16 Part 17 Part 18 Part 19 International Obligations Authority and Organization Quality Standards System Certificate Requirements Assessing Applications Regulation 1/6: Training and Assessment Approved Training Training and Assessment Part 10-1 : Pari 1
7、0-2: Competence-based assessment Part 10-3: Part 10-4: Pari 10-5: Part 10-6: Part 10-7: Part 10-8: Quality Assurance Annex 10-1 : Developing Written Tests Invigilation of Tests Scoring Tests Oral and Practical Tests Shipboard assessment system Performance criteria for shipboard assessment The Assess
8、ment Process Develop Performance Improvement Plan Maintenance of Standards Introduction to competence-based training Methodologies in standards development Setting criteria for required performance Collecting evidence of competence Matching evidence to standards Review and follow up Development of s
9、tandards: an example (Australia) v 1 21 27 55 67 81 97 1 o1 117 129 131 143 157 163 173 181 191 193 199 207 21 9 223 23 1 247 255 265 277 283 iii Part 20 Administration 299 Annex 20-1 Formal investigation of sinking of ANTACUS 309 Annex 20-2 Development of an electronic database for certification 32
10、9 reg i st rat ion Part 21 Training and Certification of Seafarers on High Speed Craft 339 Part 22 Group evaluation 343 iv Preface This compendium has been compiled for use as a textbook during the presentation of the IMO model course on Assessment, Examination and Certification of Seafarers. It wil
11、l also serve as a source of reference material for use in the development of national legislation or administrative instructions and guidelines for those responsible for the conduct of assessments and examinations leading to the issue of certificates of competency which are in compliance with the In
12、ternational Convention on Standards of Training, Certification and Watchkeeping (STCW), 1978, as amended in 1995. In its use, care should be taken to ensure that national and international laws referred to have not been revoked or revised. Since its inception, IMO has given high priority to maritime
13、 training, recognizing the critical importance of well trained and competent personnel to the safe and efficient operation of shipping. The demonstration of competency by passing appropriate examinations and the assessment of evidence obtained from various approved assessment methods conducted by or
14、 on behalf of Administrations is the central requirement of the STCW Convention. The training, certification and documentation of ships personnel is also governed by certain conventions and recommendations adopted under the aegis of the International Labour Organisation (ILO). The training and certi
15、fication of personnel of ship stations and ship earth stations is governed by the provisions of the International Telecommunication Union (ITU) Radio Regulations and by the STCW Convention. Whilst this compendium provides a certain amount of information on these aspects of a system of training, asse
16、ssment, examination and certification for merchant ship personnel, the main emphasis of the course and this compendium is on the implementation of the 1978 STCW Convention, as amended in 1995, associated resolutions and the IMO/ILO Document for Guidance, 1985. Assessment and examination methods and
17、practices vary from country to country, and the aim of the course is to provide training in a typical examination process and in the preparation and use of examination material of various types in current use in general education, some of which have been successfully applied in maritime subjects. Th
18、rough the kind co-operation of the Maritime Administration of the Republic of Singapore, detailed information is provided on their examination provisions and processes. Other sources of information are taken from the Internet websites of various Maritime Administrations, in particular, that of the U
19、nited States Coast Guard (USCG), as well as shore- based training organizations. V vi INTRODUCTION TO THE REVISED STCW CONVENTION The 1995 amendments to the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers (STC W), 1978 Background Since its inception in
20、 1959 IMO has endeavoured not only to improve the safety of ships and their equipment but also to raise the standards of the seafarers which man them. Among the many resolutions adopted in 1960 at the International Conference on the Safety of Life at Sea was one which called upon Governments to take
21、 all practicable steps to ensure that the education and training of seafarers in the use of aids to navigation, ships equipment and devices was sufficiently comprehensive and was kept satisfactorily up to date. It also recommended that IMO and the International Labour Organisation should Co-operate
22、with each other and with interested Governments in achieving these ends. In response to this recommendation, the Governing Body of IL0 and IMOS Maritime Safety Committee (MSC) established a Joint Committee on Training. This Committee had its first meeting in 1964 and prepared the Document for Guidan
23、ce 1964. This Document gave guidance on the education and training of masters, officers and seamen in the use and operation of aids to navigation, life-saving appliances, devices for the prevention, detection and extinction of fires, and other ships equipment contributing to safety at sea. The Docum
24、ent was subsequently amended, expanded and supplemented by the Joint Committee in 1975, 1977 and 1985. Despite the success of this Document, the IMO Council in 1971 decided that still further measures were needed to strengthen and improve standards and it requested the MSC to give urgent considerati
25、on to international standards of watchkeeping, training and certification. The IMO Assembly, which also met in 1971, decided to convene a conference to adopt a convention on the subject. Preparatory work was carried out by the IMO Sub-Committee on Standards of Training and Watchkeeping, which prepar
26、ed the text of a draft convention, an annex containing requirements for watchkeeping, training and certification and a number of draft recommendations. I l The 1978 STCW Convention The conference met in 1978 and was attended by delegates from 72 countries. It was the largest conference ever held by
27、IMO and the Convention which resulted was regarded as one of the most important maritime safety conventions ever developed. The Convention was the first attempt to establish global minimum professional standards for seafarers. Previously the standards of training, certification and watchkeeping of o
28、fficers and ratings were established by individual governments, usually without reference to practices in other countries. As a result standards and procedures varied widely, even though shipping is the most international of all industries. The Convention prescribes minimum standards which countries
29、 are obliged to meet or exceed. In the majority of established maritime countries, standards are often higher than those stipulated in the Convention. In some countries, however, standards are not so high and by ASSESSMENT, EXAMINATION AND CERTIFICATION OF SEAFARERS STCW-78 Intentions not achieved G
30、ood principles Not detailed Not explicit Not sufficient basis for control ratifying or accepting the Convention Governments undertake to implement and enforce its requirements. The effect of the Convention?s entry into force was therefore to raise standards in the world as a whole. The Convention do
31、es not deal with manning levels: IMO provisions in this area are covered by regulation 13 of chapter V of the International Convention for the Safety of Life at Sea (SOLAS), 1974, whose requirements are backed up by resolution A.481(XII) which was adopted by the IMO Assembly in 1981. The requirement
32、 for entry into force of the Convention was the same as for the International Convention for the Safety of Life at Sea: acceptance by 25 countries whose combined fleets of merchant shipping represent at least 50 per cent of world tonnage. This target was reached on 27 April 1983 and the Convention e
33、ntered into force one year later, on 28 April 1984. The Convention has been accepted by 114 States with fleets aggregating 94.99% of the world merchant shipping tonnage. When the Convention entered into force, it was expected that its requirements would ensure the competence of masters, officers and
34、 ratings of all seagoing ships and their safe operation through efficient watchkeeping. As with all IMO Conventions it reflected the highest practicable standards which could be globally agreed at the time of its adoption. But despite its broad global acceptance, it was realized by the late eighties
35、 that the Convention was not achieving its purpose. Instead it was gradually losing credibility as its acceptance widened. The main cause for this appeared to be the general lack of precision in its standards, the interpretation of which was left ?to the satisfaction of the Administration?. This res
36、ulted in widely varying interpretation of standards and many Parties failed to effectively administer and enforce Convention requirements. STCW certificates could no longer be relied upon as evidence of competence. Other factors had reduced the effectiveness of the 1978 Convention such as the relian
37、ce placed on seafaring skills and competence being acquired through service on board ship or in machine shops. The Convention had prescribed minimum periods of seagoing or other appropriate service and specified knowledge requirements without defining the skills and competence required. Crew reducti
38、ons, faster turn-rounds, more frequent crew changes and 2 PART 1 : INTRODUCTION TO THE REVISED STCW CONVENTION the mix of differing education and training backgrounds resulting from multinational manning, undermined the effectiveness of this on-board training. Since the development of the Convention
39、 in the seventies, many changes had taken place in the structure of the world merchant fleet and in the management and manning of ships. Emerging economies had acquired greater maritime expertise and expanded their fleets. The fleets of traditional maritime countries had declined and the major sourc
40、es of supply of seafarers had also shifted. In response to these changes IMO technical co-operation projects had strengthened the maritime administrations and maritime education and training capabilities of developing countries, by improving their facilities and equipment and enhancing their experti
41、se by training their administrators and educators at the World Maritime University in Malm, Sweden. The traditional organization of duties and responsibilities on board ship was also changing. Some felt that management response to emerging safety, efficiency and career development needs and expectat
42、ions had become hampered by the traditional departmental structure upon which the 1978 Convention had been exclusively based. Within the industry, the need for greater flexibility in the training and certification of seafarers became a significant force in the demand for change. The loss of credibil
43、ity of the Convention and political and public concern regarding human related causes of shipping disasters, generated growing criticism not only of the Convention itself but also of IMO, which some claimed to be ineffective and unresponsive to the safety needs of the traveling public and the protec
44、tion of the marine environment from accidental A limited review of Convention provisions was already in hand, when the Maritime Safety Committee decided, in May 1993, to give high priority to its comprehensive review. On the suggestion of Mr. William A. ONeii, the Secretary-General of IMO, the compr
45、ehensive review was accelerated by having consultants prepare a revised text under the direction of the Sub- Committee on standards of Training and Watchkeeping (STW). The original date for completing the revision at sub-committee level was 1996, meaning that the revision conference would probably n
46、ot have been held until 1998. Under the accelerated programme the conference was brought forward to June-July 1995. The use of consultants and four sessions of an Inter-Sessional Working Group of the STW Sub-Committee allowed basic texts to be approved by IMO and circulated for the 1995 Diplomatic C
47、onference within a two year period. Although the group of consultants was kept small to allow speedy completion of its work, all regions were represented in its membership. All consultants acted as independent experts and were sponsored by Germany, The Netherlands, Mexico, Korea, Spain, the United K
48、ingdom and the United States. Organizations in consultative status, including the International Shipping Federation and the International Confederation of Free Trade Unions also contributed to the work as did the Arab Maritime Transport Academy, Dalian Maritime University, the National Maritime Acad
49、emy of Singapore, Singapore Polytechnic and the World Maritime University. The ease of acceptance of the basic text by the Conference in JuneJuly 1995 reflected the quality of the preparatory work. The main aims of the revision were: .1 .2 pollution. to transfer all detailed technical requirements to an associated Code; to clarify the skills and competence required; 3 ASSESSMENT, EXAMINATION AND CERTIFICATION OF SEAFARERS .3 .4 to require Administrations to maintain direct control over and endorse the qualifications of those masters, officers and radio personnel they authorize to serve
