GUIDELINES FOR PORT STATE CONTROL OFFICERS ON CERTIFICATION
OF SEAFARERS, MANNING AND HOURS OF REST
1 GENERAL
The International Convention for the Safety of Life at Sea (SOLAS 1974) was adopted in 1974
and entered into force in 1980. Similarly, the International Convention on Standards of
Training, Certification and Watchkeeping for Seafarers (STCW 1978) was adopted in 1978
and entered into force in 1984. Both have been amended several times since their entry into
force.
2 GOALS AND PURPOSE
These Guidelines are intended to provide guidance for a harmonized approach to port State
control (PSC) inspections in compliance with SOLAS 1974 regulation V/14 (manning) and
STCW 1978 regulation I/2 (seafarer certification) and chapter VIII (hours of rest).
3 APPLICATION
3.1 SOLAS 1974 regulation V/14.2 only applies to ships covered by chapter I of
SOLAS 1974. STCW 1978, as amended, applies to seafarers serving on board seagoing
ships. The STCW Code is divided into a mandatory part A and a non-mandatory part B. Part
B of the STCW Code is not applicable during the inspection.
3.2 All passenger ships regardless of size and all other ships of 500 gross tonnage or
more should have a minimum safe manning document or equivalent on board issued by the
flag State.
3.3 Any new or single deficiency which is either a deficiency related to SOLAS 1974,
STCW 1978 or other IMO conventions, should preferably be registered with these conventionsʹ
references.
4 RELEVANT DOCUMENTATION
The documentation required for the inspection referred to in these Guidelines consists of:
Seafarer certification
.1 certificate of competency;
.2 certificate of proficiency;
.3 endorsement attesting the recognition of a certificate (flag State endorsement);
.4 documentary evidence (passenger ships only);
.5 medical certificate;
Manning
.6 minimum safe manning document;
.7 muster list;
Hours of rest
.8 table of ship working arrangements and/or watch schedule; and
.9 records of daily hours of rest.
5 DEFINITIONS AND ABBREVIATIONS
5.1 Certificate of Competency means a certificate issued and endorsed for masters,
officers and Global Maritime Distress and Safety System (GMDSS) radio operators in
accordance with the provisions of chapters II, III, IV or VII of STCW 1978 and entitling the
lawful holder thereof to serve in the capacity and perform the functions involved at the level of
responsibility specified therein.
5.2 Certificate of Proficiency means a certificate, other than a certificate of competency
issued to a seafarer, stating that the relevant requirements of training, competencies or
seagoing service in STCW 1978 have been met.
5.3 Documentary evidence means documentation, other than a Certificate of
Competency or Certificate of Proficiency, used to establish that the relevant requirements
of STCW 1978, as amended, have been met. The only documentary evidence required under
STCW 1978, as amended, is issued to personnel meeting the mandatory minimum
requirements for the training and qualifications of masters, officers, ratings and other personnel
on passenger ships (regulation V/2).
5.4 The following abbreviations have been used:
.1 CoC (Certificate of Competency);
.2 CoP (Certificate of Proficiency); and
.3 MSMD (minimum safe manning document).
6 INSPECTION OF SHIP
6.1 Pre-boarding preparation
6.1.1 Taking into account the type, size, engine power and other particulars of the ship, the
port State control officer (PSCO) should be aware of the relevant requirements of SOLAS 1974
regulation V/14 and STCW 1978.
6.1.2 The PSCO should be aware that resolutions are non-mandatory documents and not
applicable during a PSC inspection.
6.1.3 The PSCO should also identify if the flag State is a Party to STCW 1978, as amended.
If the flag State is not a Party to the Convention or is a Party but not listed in
MSC.1/Circ.1163/Rev.13, as may be amended, a more detailed inspection should be carried
out.
6.2 Initial inspection
Seafarer certificates and documents
6.2.1 The PSCO should examine the applicable documents, found in section 4.
6.2.2 The inspection should be limited to verification that seafarers serving on board, who
are required to be certificated, hold the appropriate CoC, CoP and documentary evidence
issued in accordance with chapters II, III, IV, V, VI and VII of STCW 1978, as amended, as
well as their relevant flag State endorsement, valid dispensation, or documentary proof that an
application for an endorsement has been submitted to the flag State Administration, where
applicable. These documents are evidence of having successfully completed all required
training and that the required standard of competence has been achieved.
6.2.3 During the verification of the seafarers’ certificates and documents, the PSCO should
confirm that they are applicable to the ship’s characteristics, operation and their position on
board.
6.2.4 In accordance with the provision of article VI, paragraph 2 of STCW 1978, certificates
for masters and officers should be endorsed by the issuing Administration in the form
prescribed in regulation I/2 of the annex to the Convention.
6.2.5 The certificates may be issued as one certificate with the required endorsement
incorporated. If so incorporated, the form used should be that set forth in section A-I/2,
paragraph 1 of the STCW Code.
6.2.6 The endorsement may also be issued as a separate document. If so, the form used
should be that set out in section A-I/2, paragraph 2 of the STCW Code.
6.2.7 However, Administrations may use a format for certificates and endorsements
different from those given in section A-I/2 of the STCW Code, provided that, at a minimum, the
required information is provided in Roman characters and Arabic figures. Permitted variations
to the format are set out in section A-I/2, paragraph 4 of the STCW Code.
6.2.8 Certificates and endorsements issued as separate documents should each be
assigned a unique number, except that endorsements attesting the issuance of a certificate
may be assigned the same number as the certificate concerned, provided that number is
unique.
6.2.9 Certificates and endorsements issued as separate documents should include a date
of expiry. The date of expiry on an endorsement issued as a separate document should not
exceed five years from the date of issue and may never exceed the date of expiry on the
certificate.
6.2.10 A CoP issued to a master or an officer in accordance with regulation V/1-1 or V/1-2,
as well as a CoC that has been issued by a State other than the flag State of the ship in which
the seafarer is engaged, is required to be recognized by the ship’s flag State. If the PSCO
identifies that the flag State has recognized a CoC or CoP from a Party not listed in
MSC.1/Circ.1163, as amended, clarification should be sought from the flag Administration.
According to regulation I/10, paragraph 4 of STCW 1978, certificates issued by or under the
authority of a non-Party shall not be recognized by the ship’s flag State Administration.
6.2.11 An Administration which recognizes under regulation I/10 a CoC or CoP issued to
masters and officers should endorse that certificate to attest to its recognition. The form of the
endorsement should be that found in section A-I/2, paragraph 3 of the STCW Code.
6.2.12 Incorrect wording or missing information may be a cause for suspicion regarding
fraudulent certificates or endorsements.
6.2.13 Endorsements attesting to the recognition of a certificate should each be assigned a
unique number; however, they may be assigned the same number as the certificate
concerned, provided that number is unique.
6.2.14 Endorsements attesting to the recognition of a certificate should include a date of
expiry. The date of expiry on an endorsement attesting to the recognition may never exceed
the date of expiry on the certificate being recognized.
6.2.15 The capacity in which the holder of a certificate is authorized to serve should be
identified in the form of endorsement in terms identical to those used in the applicable safe
manning requirements of the Administration. This may result in slight variations of terminology
between the original CoC and the endorsement to the recognition.
6.2.16 Seafarers must have their original CoC on board as well as any original endorsements
to the recognition. An endorsement attesting the recognition of a certificate should not entitle
a seafarer to serve in a higher capacity than the original CoC.
6.2.17 If circumstances require it, a flag State Administration may permit a seafarer to serve
for a period not exceeding three months on ships entitled to fly its flag while holding a valid
CoC issued by another party and valid for service on that party’s ships. If such a situation
exists, documentary proof must be readily available that an application for endorsement has
been made to the Administration of the flag State. This is often referred to as the confirmation
of receipt of application (CRA). This provision allows Administrations to permit seafarers to
serve on their ships while the application for recognition is being processed.
6.2.18 If an endorsement to attest recognition or certificate of competency has expired or
has not been issued or documentary proof of application for endorsement is not readily
available, the PSCO should consider whether or not the ship can comply with STCW 1978
regulation I/4.1.2 regarding the numbers and certificates on board being in compliance with
the applicable safe manning requirements of the flag State. This may be considered a
deficiency in accordance with regulation I/4.2.4 and rectified before departure or detention may
be applied. The officer carrying out the control should forthwith inform, in writing, the master of
the ship and the Consul or, in his or her absence, the nearest diplomatic representative or the
maritime authority of the State whose flag the ship is entitled to fly, so that appropriate action
may be taken.
6.2.19 In cases of suspected intoxication of masters, officers and/or other seafarers while
performing designated safety, security and marine environmental protection duties, the
appropriate authorities of the port and flag State should be notified in accordance with
chapters 3 and 4 of the Procedures for Port State Control.
6.2.20 Seafarers should have a valid medical certificate and have completed applicable
familiarization on board the ship. If such crew members are assigned to any designated safety,
security or pollution prevention duties, they must be trained and qualified for such duties in
accordance with the applicable chapter of the STCW Code.
6.2.21 In accordance with section A-VI/1, paragraph 5 of the STCW Code, the flag State
Administration may exempt the seafarers engaged on ships other than passenger ships of
more than 500 gross tonnage on international voyages and tankers from some of the
requirements of that section.
Manning
6.2.22 The PSCO should examine the applicable documents, found in section 4.
6.2.23 The guiding principles for port State control of the manning of a foreign ship should be:
.1 verification that the numbers and certificates of the seafarers serving
on board are in conformity with the applicable safe manning requirements of
the flag State; and
.2 verification that the vessel and its personnel conform to the international
provisions as laid down in SOLAS 1974 and STCW 1978.
6.2.24 If a ship is manned in accordance with an MSMD or equivalent document issued by
the flag State, the PSCO should accept that the ship is safely manned unless the document
has clearly been issued without regard to the principles contained in the relevant instruments,
in which case the PSCO should consult the flag State Administration.
6.2.25 If the flag State Administration has not issued a safe manning document or equivalent
owing to the ship’s size the PSCO should examine the CoC, CoP and their relevant flag State
endorsement for the crew and compare with the requirements of STCW 1978. Regarding the
number of seafarers, the PSCO should then use his or her professional judgement, taking into
account chapter VIII of STCW 1978 and the STCW Code and the duration and area of the next
voyage, to determine if it can be undertaken safely. The PSCO should note the number of
seafarers on board during the previous voyage as another indicator of standard manning levels
for the ship. The PSCO should consult the flag State Administration if additional information is
necessary.
6.2.26 If an endorsement to attest recognition has expired or has not been issued or
documentary proof of application for endorsement (CRA) is not readily available, the PSCO
should consider whether the ship can comply with the applicable safe manning requirements
of the flag State Administration. In cases where the PSCO finds that additional information is
necessary, the flag State Administration should be consulted.
6.2.27 If the flag State does not respond to the request, this should be considered as clear
grounds for a more detailed inspection to ensure that the number and composition of the crew
are in accordance with the principles laid down in paragraph 6.2.23 above. The ship should
only be allowed to proceed to sea if it is safe to do so, taking into account the criteria for
detention indicated in section 7.3. In any such case, the minimum standards to be applied
should be no more stringent than those applied to ships flying the flag of the port State.
Hours of rest
6.2.28 All persons who are assigned duty as officer in charge of a watch or as a rating
forming part of a watch and those whose duties involve designated safety, security and
environmental protection duties shall be provided with a rest period of not less than:
.1 a minimum of 10 hours of rest in any 24-hour period; and
.2 77 hours in any seven-day period.
6.2.29 The hours of rest may be divided into no more than two periods, one of which shall
be at least 6 hours in length, and the intervals between consecutive periods of rest shall not
exceed 14 hours.
6.2.30 The PSCO should examine the applicable documents, found in section 4, specifically
the watch schedule and the records of daily hours of rest. The PSCO may inspect the
seafarer’s personal copy of his or her records pertaining to the hours of rest being held by the
seafarer on board in order to verify that the records are accurate.
6.2.31 The watch schedule shall be in a standardized format,1 easily accessible to the crew
and posted in the working language or languages of the ship and in English.
6.2.32 Daily hours of rest shall be maintained in a standardized format,1 in the working
language or languages of the ship and in English.
6.2.33 The PSCO should consider that seafarers who are on call, such as when a machinery
space is unattended, are to be provided with an adequate compensatory rest period if the
normal period is disturbed by call-outs to work.
6.2.34 While assessing hours of rest, the PSCO should take into account any emergency
conditions encountered which required a seafarer to perform additional hours of work for the
immediate safety of the ship. In such cases, the master should be consulted for an explanation
of the events and how impacted seafarers were provided with an adequate period of rest.
6.2.35 Flag State Administrations may provide exceptions to the requirements of
paragraphs 6.2.28.2 and 6.2.29 above for no more than two consecutive weeks provided that
the rest period for the seafarer is not less than 70 hours in any seven-day period.
6.3 Clear grounds
6.3.1 Clear grounds are defined in section 1.7.2 of the Procedures for Port State Control.
6.3.2 In addition to the general examples of clear grounds in section 2.4 of the Procedures,
the specific occurrences below, as outlined in paragraph 1.3 of regulation I/4 of STCW 1978,
are considered as factors leading to a more detailed inspection:
.1 the ship has been involved in a collision, grounding or stranding; or
.2 there has been a discharge of substances from the ship when under way, at
anchor or at berth which is illegal under any international convention; or
.3 the ship has been manoeuvred in an erratic or unsafe manner whereby
routeing measures adopted by IMO or safe navigation practices and
procedures have not been followed; or
.4 the ship is otherwise being operated in such a manner as to pose a danger
to persons, property or the environment, or a compromise to security.
6.4 More detailed inspection
6.4.1 The PSCO should:
.1 verify that seafarers are sufficiently rested and otherwise fit for duty for the
first watch at the commencement of the intended voyage and for subsequent
relieving watches; this may be done by comparing records of daily hours of
rest with the requirements in STCW 1978 for an appropriate period, which
should at least include, whenever possible, the seven-day period
immediately prior to departure; the rest period must reflect actual hours
worked;
.2 verify a sufficient number of certificates from all departments to demonstrate
that the vessel and the composition of the crew comply with the MSMD and
requirements of STCW 1978; and
.3 verify that navigational or engineering watch arrangements conform to the
requirements specified for the ship in the MSMD by the flag State and the
requirements of STCW 1978 regulation VIII/2 and STCW Code section
A-VIII/2.
6.4.2 An assessment of seafarers can only be conducted by the port State if there are clear
grounds for believing that the ability of the seafarers of the ship to maintain watchkeeping and
security standards, as appropriate, as required by STCW 1978 is not being maintained
because any of the situations mentioned in paragraphs 6.3.2.1 to 6.3.2.4 have occurred:
.1 the assessment procedure provided in STCW 1978 regulation I/4,
paragraph 1.3, should take the form of a verification that members of the
crew who are required to be competent do in fact possess the necessary
skills related to the occurrence;
.2 it should be borne in mind when making this assessment that onboard
procedures are relevant to the International Safety Management (ISM) Code
and that the provisions of STCW 1978 are confined to the competence to
safely execute those procedures;
.3 control procedures under STCW 1978 should be confined to the standards
of competence of the individual seafarers on board and their skills related to
watchkeeping as defined in part A of the STCW Code. Onboard assessment
of competency should commence with verification of the certificates of the
seafarers;
.4 notwithstanding verification of the certificate, the assessment under STCW
1978 regulation I/4, paragraph 1.3 can require the seafarer to demonstrate
the related competency at the place of duty. Such demonstration may include
verification that operational requirements in respect of watchkeeping
standards have been met and that there is a proper response to emergency
situations within the seafarer’s level of competence;
.5 in the assessment, only the methods for demonstrating competence together
with the criteria for its evaluation and the scope of the standards given in part
A of the STCW Code should be used. In cases where there is doubt about
knowledge of operational use of equipment, the relevant officer or crew
member should be asked to perform a functional test. Failure to perform a
functional test could indicate the lack of familiarization or competency; and
.6 assessment of competency related to security should be conducted for those
seafarers with specific security duties only in case of clear grounds, as
provided for in chapter XI-2 of SOLAS 1974, by the competent security
authority. In all other cases, it should be confined to the verification of the
certificates and/or endorsements of the seafarers.
7 FOLLOW-UP ACTION
7.1 Possible action
Possible action to be considered by the PSCO for the control in compliance with SOLAS 1974
or STCW 1978 may be dealt with in the following ways:
.1 exercise of control with regard to the documentation concerning the ship; and
.2 exercise of control with regard to the documentation for individual seafarers
on board.
7.2 Possible deficiencies
The following is a non-exhaustive list of possible deficiencies:
Seafarers’ documentation:
.1 no CoC, CoP, flag State endorsements or proof that an application for an
endorsement has been submitted (STCW 1978 regulations I/4.2.1 and I/10);
.2 special training requirements: mandatory basic or advanced training or
endorsement not presented;
.3 no evidence of basic training, or other certificate of proficiency, if not included
in a qualification certificate held (STCW 1978 regulations VI/1, VI/1.2, VI/3,
VI/4 and VI/6); and
.4 information or evidence that the master or crew is not familiar with essential
shipboard operations relating to the safety of ships or the prevention of
pollution, or that such operations have not been carried out;
Manning:
.5 no MSMD or the manning (number or qualification) not in accordance with
the MSMD (SOLAS 1974 regulation V/14 and STCW 1978 regulation I/4.2.2); and
.6 unqualified person on duty (STCW 1978 regulation I/4.2.4);
Hours of rest:
.7 watch schedule not posted or not being followed (STCW 1978
regulations I/4.2.3 and I/4.2.5 and STCW Code A-VIII/1.5);
.8 the absence of a table of shipboard working arrangements or of records of
rest of seafarers (STCW Code A-VIII/1.7);
.9 the records of hours of rest are inaccurate or incomplete (STCW Code
A-VIII/1.7); and
.10 the watchkeeper is receiving less than 10 hours rest in any 24-hour period
(i.e. working in excess of 14 hours) or 77 hours rest in any seven-day period
(STCW Code A-VIII/1).
7.3 Deficiencies that may warrant detention
7.3.1 Deficiencies which may be deemed to pose a danger to persons, property or the
environment, as specified in paragraph 2 of regulation I/4 of STCW 1978, as amended:
.1 failure of seafarers to hold a certificate, to have an appropriate certificate, to
have a valid dispensation or to provide documentary proof that an application
for an endorsement has been submitted to the Administration in accordance
with regulation I/10, paragraph 5;
.2 failure to comply with the applicable safe manning requirement of the
Administration;
.3 failure of navigational or engineering watch arrangements to conform to the
requirements specified for the ship by the Administration;
.4 absence in a watch of a person qualified to operate equipment essential to
safe navigation, safety radiocommunications or the prevention of marine
pollution; and
.5 inability to provide, for the first watch at the commencement of a voyage and
for subsequent relieving watches, persons who are sufficiently rested and
otherwise fit for duty.
7.3.2 Failure to correct any of the deficiencies, insofar as it has been determined by the
PSCO that they pose a danger to persons, property or the environment, shall be the only
grounds under STCW 1978, as amended, on which a ship may be detained.
7.3.3 Examples of detainable deficiencies according to SOLAS 1974 and STCW 1978 are
listed below:
Ship-related:
.1 MSMD or equivalent not presented (SOLAS 1974 regulation V/14.2); and
.2 records of daily hours of rest are not on board (STCW Code A-VIII/1.7); and
Seafarers’ documentation:
.3 not available or serious discrepancy in the CoC (STCW 1978
regulation I/4.2.1);
.4 absence in watch of a radio operator (general/restricted GMDSS);
certificates and endorsement not available (STCW 1978 regulations I/4.2.1,
I/4.2.2, I/4.2.3, I/4.2.4 and II/1.2.1);
.5 documentation for personnel with designated safety, security and marine
environmental duties not available (STCW 1978 regulations I/4.2.1, I/4.2.2,
I/4.2.3 and I/4.2.4);
.6 expired certificates (STCW 1978 regulation I/4.2.1), and for medical
certificates also refer to STCW 1978 regulations I/9.6 and I/9.7; and
.7 evidence that a certificate has been fraudulently obtained or the holder of a
certificate is not the person to whom that certificate was originally issued.
7.4 Actions to be considered
Ship-related
7.4.1 If the actual number of crew or composition does not conform to the manning
document, the port State should request the flag State for advice as to whether or not the ship
should be allowed to sail with the actual number of crew and composition of crew. Such a
request and response should be by the most expedient means and either party may request
the communication in writing. If the actual crew number or composition is not brought into
compliance with the MSMD or the flag State does not advise that the ship may sail, the ship
may be considered for detention after the criteria set out in section 7.3 have been taken into
account.
7.4.2 Before detaining the ship the PSCO should consider the following:
.1 length and nature of the intended voyage or service;
.2 whether or not the deficiency poses a danger to ships, persons on board or
the environment;
.3 whether or not appropriate rest periods of the crew can be observed;
.4 size and type of ship and equipment provided; and
.5 nature of cargo.
Deficiency-related
7.4.3 When the manning is not in accordance with the MSMD and no flag State
endorsements or no “documentary proof of application” can be presented, the port State
should consult the flag State whenever possible, taking into account time differences or other
conditions. However, if it is not possible to establish contact with the flag State, the port State
should forthwith inform, in writing, the master of the ship and the Consul or, in their absence,
the nearest diplomatic representative or the maritime authority of the State whose flag the ship
is entitled to fly, so that appropriate action may be taken.
7.4.4 In cases where an unqualified seafarer has been on duty and/or the watch schedule
has not been followed, the flag State should be informed and this could be considered as an
ISM deficiency.
7.4.5 In cases where there is a seafarer on duty who is not qualified to carry out an
operation, that particular operation should be stopped immediately.
8 NOTE ON REPORTING DEFICIENCIES
The PSCO should be aware that, in addition to SOLAS 1974 and STCW 1978, there may be
other applicable international instruments. The PSCO should decide which one is the most
appropriate.
Annex
Table B-I/2
List of certificates or documentary evidence required under STCW 1978
Refer to table B-I/2 of the STCW Code, as amended
1 The IMO/ILO Guidelines for the development of tables of seafarers’ shipboard working arrangements and
formats of records of seafarers’ hours of work or hours of rest may be used.