GUARDIAN BUREU OF SHIPPING

STCW CHECKLIST FOR ISM CODE AUDITS

Name of Company
Date & Place
Name of Auditor

Available/Acceptable/Satisfactory?

/

YES

/
No
1. Certificates
Do employed officers hold valid national certificates of competence for the function and level of responsibility at which they are serving on board the ship? (Regs. I/2 and I/14).
Do ratings qualified to stand a navigational or engine watch hold valid certificates? (Regs. I/14, II/4 and III/4).
Have officers’ certificates been revalidated within the last five years? (Reg. I/11).
Have certificated seafarers received a medical examination recognized by the certificate issuing authority in the last five years? (Reg. I/11).
Have certificates of competence been endorsed in English by the issuing administration to attest that the holder meets STCW standards (this may be done in the form of a separate document?) (Regs. I/2 and I/14).
If required, do seafarers employed hold individual flag state recognition endorsements? (Regs. I/10 and I/14).
If required to hold a flag state recognition endorsement do seafarers that have applied for but not received this document have suitable documentary evidence of the fact that an application to the flag state has been made? (Reg. I/10).
(STCW 95 permits flag states to allow seafarers a three month grace period between the date of joining a foreign flag ship and when a flag state recognition endorsement must be held, provided that they hold documentary evidence to the effect that an application has been made).
Do officers and ratings involved in cargo work – serving on tankers hold endorsements qualifying them for service on such ships? (Regs. I/14 and V/1).
Are original copies of the seafarers’ certificates maintained on board the ship? (Reg. I/2).
(Arrangements should be made with administrations regarding the retention of original certificates on board in the event that seafarers need to get them revalidated or have them endorsed by a flag state other than the certificate issuing country).
Have all possible arrangements been made to check that certificates are genuine, not fraudulent and belong to the holder? (Regs. I/5 and I/14).
(These checks should include requesting confirmation of a certificate’s validity from the administration that issued it).

2. Manning

/

YES

/
No
Do the certificates held by seafarers on board ship correspond with the safe manning document? (Regs. I/5 and I/14).
If any seafarers do not held appropriate certificates do they have valid dispensations? (Reg. I/5).
3. Record keeping /

YES

/
No
Does the company maintain the following documentary records concerning the seafarers they employ? (Reg. I/14).
.1 seafarers experience. i.e. service record prior to and during employment
.2 training received before and during employment with the company (including any non-mandatory training)
.3 medical fitness
.4 competence in assigned duties?

Available/Acceptable/Satisfactory?

/

YES

/
No
If record keeping is delegated to manning agencies or other third parties, can the company demonstrate that records identified above are being maintained? (Reg. I/14).
Are the records identified above readily accessible? (Reg. I/14).
4. Ship Specific Shipboard Familiarization /

YES

/
No
Has the company provided masters of its ships with written instructions concerning the need to ensure that seafarers assigned to the ship for the first time are familiar with the specific equipment and operating procedures of the ship concerned, i.e. “showing them the ropes?” (Section A-I/14).
Do these written procedures cover the need to allocate a reasonable amount of time for this ship specific familiarization? (Section A-I14).
Do these written procedures cover the designation of a responsible crew member who will ensure that seafarers new to the ship will receive information in a language that they understand? (Section A-I/14).
When individual seafarers have undergone their ship specific familiarization, is this documented on board? (Reg. I/14).
5. Crew Coordination /

YES

/
No
Are the seafarers employed by the company capable of demonstrating that they would be able to coordinate their activities in an emergency or other activities relating to safety or pollution prevention? (Reg. I/14).
Since crew coordination entails the ability to communicate in a common language, can effective communication be demonstrated? (Reg. I/14).
Are actions to counter potential emergencies regularly practiced in drills or emergency response exercises? (Reg. I/14).
Are records kept on board the ship to demonstrate that such drills and exercises do indeed take place regularly? (Reg. I/14).
6. Minimum Rest Periods /

YES

/
No
Are watchkeeping personnel provided with at least the minimum rest periods as prescribed by the STCW Code? (Section A-VIII/1).
Are watch schedules posted where they are easily accessible? (Section A-VIII/1).
7. Elementary Basic Safety Familiarization For All Seafarers /

YES

/
No
Have personnel including for example riding gangs, stewards and cooks, undergone elementary familiarization in safety matters before being assigned to their duties, in accordance with the STCW Code? (Section VI/1, paragraph 1).
These are distinct requirements from the ship specific familiarization referred to above - and from the additional familiarization requirements applicable to personnel on passenger ships -. They apply to all personnel other than passengers and on passenger ships will apply to such personnel as waiters, bar staff, entertainers and cleaners employed on board).
Does the process used to familiarize crew require approval by the relevant flag state? (Section VI/1, paragraph 1)
(The wording of the STCW Code is such that flag state approval is not necessarily required. If required, however, the STCW Code states that this familiarization in elementary safety matters can be provided by means of “sufficient information and instruction” which implies that personnel should not be required to attend a special training course and that familiarization can take place immediately after arrival on board the ship. The familiarization could comprise verbal instruction, written materials or videos).
Are full records maintained of personnel that have completed elementary shipboard familiarization for purposes of inspection? (Reg. I/4).
. Basic Safety Training /

YES

/
No
Have seafarers with “designated safety or pollution prevention duties in the operation of the ship “as defined by the flag state, received the following basic training: (Section A-VI/1, paragraph 2).
  1. personal survival techniques?
  2. fire prevention and fire fighting?
  3. elementary first aid?
  4. Matters such as emergency procedures, pollution prevention and occupational safety?
(In practice, certificated seafarers that have been properly trained under STCW 1978 should already be fully competent in these basic training requirements. However, on cargo ships it is possible that some of the crew, such as members of the catering department who have safety or pollution prevention duties relevant to the operation of the ship, may have to undergo some additional training. IMO has agreed. However, that flag states will be able to use flexibility in determining the dates by when the basic training requirements will have to be complied with by all relevant personnel).

Available/Acceptable/Satisfactory?

/

YES

/
No
Can the seafarers employed by the company, to whom the basic safety training requirements are applicable, readily demonstrate that they are competent in the areas specified? (Section A-VI/1, paragraph 2).
Establishing Who is Responsible
If a ship owner delegates the crewing operations of the ship to a bareboat charterer or third party ship manager, and/or responsibility for crewing operations is delegated to a crew manager or manning agent, is it clear in the relevant contractual arrangements who is legally responsible for compliance with STCW 95? (Reg. I/1).
(The definition of “company” in STCW 95 specifies that the party that is responsible for compliance with relevant Convention requirements has on “assuming such responsibility agreed to take over all the duties and responsibility imposed on the company by these regulations”).
Has the role of masters and crew with regard to compliance with STCW 95 been adequately explained by the company? (Section A-I/14).
Remarks:
Lead Auditor
Name and Signature / Auditor (signature)

STCW REQUIREMENTS

Criteria to be complied with / Reg.STCW 95
Officers in charge of a navig. watch on ships >500 / II/1
Masters and chief mate on ships > 500gt / II/2
D/O in charge of a nav. watch and masters on ships <500 / II/3
Ratings forming part of a navigational watch / II/4
E/O in charge of an eng. watch in a manned e/r or designated duty engin. in a period. unmanned e/r / III/1
C/E and 2/E on ships with main prop mach. of >3000 kw / III/2
C/E and 2/E on ship with main prop. between 750 and 3000 kw / III/3
Ratings form part of a watch in a manned e/r or designated to perform duties in a period. unmanned e/r / III/4
Madatory minimum requirements/qualifications / STCW 95
Qualification of masters, officers and ratings on tankers / V/1
Tanker familiarization course
Oil tanker
Chemical tanker
Liquefied gas tanker
Basic safety training and instruction for all seafarers / VI/1
Personal survival techniques / 1.1
Fire prevention and fire fighting / 1.2
Elementary first aid / 1.3
Personal safety and social responsibilities / 1.4
Proficiency in survival craft, rescue boats and fast rescue boats / VI/2
Proficiency in survival craft and rescue boats other than fast rescue boats / 2.1
Proficiency in fast rescue boats / 2.2
Advanced fire fighting / VI/3
Medical first aid and medical care / VI/4
Proficiency in medical first aid / 4.1
Profic for person in charge of medical care on board / 4.2
G.O.C. / IV/2
Medical fitness

REMARKS

1. Medical examination certs should be recognized by the cert. issuing authority, in the last five years (reg. i/11)

2. Cert of competence must been endorsed in english by the issuing administration attesting that the holder meets th

stcw standards

3. Diplomas according to stcw’78 should be valid max till 1/2/2002.

4. Officers diplomas should be revalidated every five years (reg. i/11) while these of ratings are not required to be

renewed.

5. General required docs

  • D/O: STCW 78/95, VI/1, GOC (AT LEAST TWO), VI/1, VI/2.1, VI/3, VI/4.1
  • D/R: STCW 78/95, VI/1, VI/2.1
  • E/O: STCW 78/95, VI/1, VI2.1, VI/3, VI/4.1
  • E/R: STCW 78/95, VI/1, VI/2.1

6. ADDITIONAL REQUIRED DOCS IN TANKERS

  • D-E/O: V/1 PARA a’ (REQUIRED RENEWAL EVERY 5 YEARS)
  • D-E/O (1-2): V/1 PARA a’, b’ (REQUIRED RENEWAL EVERY 5 YEARS)
  • D-E/R: V/1 a’ AND FOR RATINGS WITH DIRECT CARGO DUTIES PLUS b’ (NO RENEWAL)

7. CERTS FOR SPECIAL DUTIES

  • MEDICAL DUTIES: VI/4.2 (NOT REQUIRED FOR 1,2 CAPTAINS TILL 1/2/2002, NO RENEWAL)
  • FAST RESCUE BOATS: VI/2.2 (NO RENEWAL)

Note: (D: Deck, E: Engine, O: Officer, R: Rating)

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GBS-STCW-ISM

Rev.02 20-02-20131/4