Amendments to the Regulations on qualifications and certificates for seafarers

Introduction

The Norwegian Maritime Authority (NMA) has laid down Regulation concerning amendments to Regulations of 22 December 2011 No. 1523 on qualifications and certificates for seafarers. These amendments enter into force on 1 July 2018.

The amendments are necessary in order to fulfil Norway’s obligations as party to the STCW Convention.

The amendments primarily involve training requirements for masters, chief mates and officers in charge of a navigational watch on ships with Polar Ship Certificate operating in open and other polar waters. The requirements enter into force on 1 July 2018, and the training shall be documented with associated certificate of proficiency.

Masters, chief mates and officers in charge of a navigational watch on ships with Polar Ship Certificate operating in ice-free polar waters are not required to hold a certificate of proficiency.

The amendments also include a specification of requirements for safety training of seafarers on passenger ships.

Background for the amendments

The Polar Code
The Polar Code, adopted by IMO Resolution MSC.385(94), is an international code on safety measures for ships operating in polar waters.

The Polar Code was made mandatory internationally on 1 January 2017 through SOLAS Reg. XIV/3 adopted by IMO Res. MSC.386(94) and MARPOL Reg. I/47, II/21, IV/18 and V/14 adopted by IMO Res. MEPC.265(68).

The Polar Code applies to ships with international safety and environmental safety certificates.

The new SOLAS Chapter XIV and the Polar Code have been implemented into Norwegian legislation through sections 2 and 3 of the Regulations of 23 November 2016 No. 1363 on safety measures for ships operating in polar waters. The amendments to MARPOL Annex I, II, IV and V are implemented through sections 4, 7, 9, 11 and 19 of the Regulations of 30 May 2012 No. 488 on environmental safety for Norwegian ships and mobile offshore units.

Chapter 12 of the Polar Code lays down requirements for training and certificates of proficiency for masters, chief mates and officers in charge of a navigational watch. The certificate requirements are set out by the STCW Convention Chapter V new regulation 4, cf. IMO Res. MSC.416(97), whereas the associated detailed training requirements are set out by the STCW Code Part A-V, new section 4, cf. IMO Res. MSC.417(97).

The Qualification Regulations implement the training and certificate requirements set out by the STCW Convention and the STCW Code Part A. The STCW Convention and the STCW Code will hereinafter be referred to as “STCW”.

Requirement for safety familiarisation for all personnel on passenger ships
STCW regulation V/2 and section A-V/2 have been laid down because the member states of the IMO have agreed that all personnel on passenger ships engaged on foreign voyages must undergo passenger ship emergency safety familiarisation. The background for these amendments is mainly the Costa Concordia accident. In connection with this accident, it became clear that some of the personnel on the ship did not have the necessary knowledge about how to manage passengers in an emergency.

Norway made the requirement for safety familiarisation pursuant to STCW regulation V/2.5 applicable to personnel on all passenger ships as of 1 January 2018.

In connection with the implementation of STCW section A-V/2 on additional requirements for seafarers on passenger ships in section 60 of the Qualification Regulations, the NMA has clarified who the subjects of the requirement for safety training are. This has been done in accordance with the wording of STCW regulation V/2.6 and section A-V/2.2.

From 1 July 2018, section 60 fourth paragraph of the Qualification Regulations sets out that the requirement for safety training related to management of passengers in emergency situations applies to seafarers providing direct service to passenger in passenger spaces.

Personnel who are not designated to assist passengers in an emergency situation pursuant to the ship’s muster list, cf. section 60 first paragraph, nor are providing direct service to passengers in passenger spaces, cf. section 60 fourth paragraph, shall undergo passenger ship emergency safety familiarisation training, cf. section 60 new fifth paragraph.

The consultation

The proposed amendments to the Qualification Regulations were circulated for general review from 8 March to 1 June 2018. We received a total of six consultative statements. None of the received statements required material changes to the Regulation laid down compared to the circulated proposal.

Remarks to new provisions in the Qualification Regulations

Compared to the proposal, the NMA has split the requirements for certificates of proficiency and renewal of certificates of proficiency into several section – sections 58a, 58b, 58c and 58d. This will in the NMA’s opinion provide a better overview of the various rules. The rules implement the requirements set out by STCW new regulations V/4.1 to 4.7 and sections A-V/4.1 and 4.2 with tables.

Firstly, the rules on certificates of proficiency required pursuant to the Polar Code, cf. STCW, have been divided into two sections. This amendment means that new section 58a has been renamed “Certificate of Proficiency Polar Code – Basic”, and new section 58b has been named “Certificate of Proficiency Polar Code – Advanced”. The new division of the rules on certificates of proficiency does not entail any substantive changes compared to the circulated proposal. We have also reworded a few other passages in sections 58a and 58b, including the date for entry into force, 1 July 2018, but none of these entail any substantive changes compared to the circulated proposal.

Secondly, the conditions for renewal of the certificates of proficiency have been separated into a new section 58c. This as well has been done in order to give a better overview of the rules. A few other passages have been rephrased in the provision regarding renewal of certificates of proficiency.

As a result of the above, the transitional arrangement for the certificates of proficiency has been moved to new section 58d. The transitional rules have also been slightly rephrased in order to make the text clearer.

To new section 58a Certificate of Proficiency Polar Code – Basic

First paragraph
Section 58a first paragraph sets out a requirement for certificate of proficiency for basic training (Certificate of Proficiency Polar Code – Basic) pursuant to the requirements laid down by the Polar Code Chapter 12.3.1. The requirement entails that masters, chief mates and officers in charge of a navigational watch on board passenger ships and tankers with Polar Ship Certificate operating in open polar waters, must have completed basic training for ships operating in polar waters. Successfully completed training shall be documented by a certificate of proficiency.

The definition of open waters is set out in item 2.10 in the introduction of the Polar Code: “Open water means a large area of freely navigable water in which sea ice is present in concentrations less than 1/10. No ice of land origin is present.” The term “ice of land origin” has the following definition: “Ice of land origin means ice formed on land or in an ice shelf, found floating in water”, cf. item 2.6 in the introduction of the Polar Code. In order for waters to be categorised as open, the sea ice concentrations thus have to be less than 1/10. Moreover, no glacier ice (ice bergs, bergy bits) shall be present in open waters.

As mentioned in the introduction, masters, chief mates and officers in charge of a navigational watch are not required to have certificates of proficiency when ships with Polar Ship Certificate only operate in ice-free polar waters.

Second paragraph
Section 58a second paragraph sets out a requirement for Certificate of Proficiency Polar Code – Basic for officers in charge of a navigational watch on ships with Polar Ship Certificate operating in other polar waters. The types of waters that fall under “other polar waters” are set out in chapter 12.3.2.4 of the Polar Code. “Other polar waters” means bergy waters or areas which are not ice-free nor open.

The Polar Code is founded on SOLAS Chapter IV. SOLAS only applies to two ship categories; passenger ships and cargo ships. Tankers are a subcategory of cargo ships. The term “on all ships” therefore covers both tankers, passenger ships and other ships, i.e. other cargo ships.

Third paragraph
The training requirements for the Certificate of Proficiency Polar Code – Basic are laid down in section 58a third paragraph. In order to be issued with a Certificate of Proficiency Polar Code – Basic the candidate must have successfully completed an approved course covering the competency requirements of STCW new section A-V/4.1, cf. the Qualification Regulations new Appendix XII table A-V/4.1.

Candidates applying to the NMA for a Certificate of Proficiency Polar Code – Basic must document successfully completed training from an institution offering training in accordance with STCW section A-V/4. Approved training means training approved by the Norwegian Maritime Authority in accordance with requirements laid down by the International Maritime Organization (IMO).

To new section 58b Certificate of Proficiency Polar Code – Advanced

First paragraph
Section 58a first paragraph sets out a requirement for certificate of proficiency for advanced training (Certificate of Proficiency Polar Code – Advanced) pursuant to the requirements laid down by the Polar Code Chapter 12.3.1. The requirement entails that from 1 July 2018, the master and chief mate on ships holding a Polar Ship Certificate and operating in other polar waters are required to have a Certificate of Proficiency Polar Code – Advanced.

Second paragraph
Section 58b second paragraph lays down requirements for training and seagoing service in order to be issued with a Certificate of Proficiency Polar Code – Advanced.

Firstly, the candidate must have completed training satisfying the requirements for Certificate of Proficiency Polar Code – Basic, cf. section 58a third paragraph.

Secondly, it is set out in subparagraph a) that the candidate must have two months approved seagoing service on ships operating in polar waters.

“Approved seagoing service” in this connection means seagoing service on board ships operating in polar waters, cf. SOLAS Reg. XIV/1.4. The seagoing service does not necessarily need to be served continuously in order to be approved.

“Equivalent approved seagoing service” means that the waters in which the seagoing service is served, is not limited to the geographic areas subject to the Polar Code.

Even though the legislation does not specify which types of seagoing service are equivalent to service on ships in polar waters, it is the NMA's assessment that seagoing service on ships operating e.g. in the Baltic Sea when the area is completely or partially ice-covered, or in other similar ice-covered waters, is considered equivalent to seagoing service of equal length on ships operating in polar waters.

STCW does not apply to service on fishing vessels. Nevertheless, it should be possible to consider and include seagoing service served in a relevant capacity in the deck department on fishing vessels when calculating the requirement for approved seagoing service, cf. the Qualification Regulations section 3, cf. section 16 second paragraph. The NMA thus concludes that in order to have seagoing service approved, it is of less importance whether the seagoing service has been served on a cargo ship, passenger ship or fishing vessel.

Thirdly, it is set out in subparagraph b) that the candidate must have successfully completed advanced training in the Polar Code requirements for ships operating in other polar waters, which covers the competency requirements set out by STCW new section A-V/4.2, as laid down in new Appendix XII table A-V/4-2 of the Qualification Regulations.

Certificates of proficiency issued by other STCW States

The NMA shall not endorse Certificates of Proficiency Polar Code issued by EEA States or third countries.

EEA States offering approved training in accordance with the requirements of STCW section S-V/4, cf. Directive 2008/106/EC, may issue certificates of proficiency to candidates documenting successfully completed training in the EEA State in question. This means that masters, chief mates and officers in charge of a navigational watch serving on a Norwegian ship subject to the requirements of Chapter 12 of the Polar Code and operating in open or other polar waters, may hold certificates of proficiency for service on ships operating in polar waters issued by the EEA State where the approved training was given.

Third countries with systems for training and certification of seafarers, which are recognised by the EU Commission , and with which the NMA has entered into an agreement in accordance with STCW Regulation I/10, may issue certificates of proficiency to candidates providing evidence of successfully completed training in the state in question in accordance with the requirements of STCW new section A-V/4. This means that masters, chief mates and officers in charge of a navigational watch serving on a Norwegian ship subject to the requirements of Chapter 12 of the Polar Code and operating in open or other polar waters, may hold certificates of proficiency for service on ships operating in polar waters issued by the third country where the approved training was given.

To new section 58c Renewal of Certificate of Proficiency Polar Code – Basic and Advanced

In the new section 58c, the NMA has laid down the requirements for renewal of the Certificate of Proficiency – Basic or Advanced. The certificate of proficiency may be renewed if one of four alternative conditions is met, cf. section 58c first paragraph a) to d).

The four alternative conditions are:

a) two months of approved seagoing service holding a valid certificate of proficiency during the preceding five years:
The term “approved seagoing service” shall have the same meaning as mentioned above in relation to the seagoing service requirements referred to in connection with section 58b second paragraph. The seagoing service shall have been served in a relevant capacity, i.e. as master, chief mate or officer in charge of a navigational watch – in other words in a management position in the deck department – on ships that have operated in polar waters;

b) performed functions equivalent to two months approved seagoing service as mentioned in subparagraph a):
It is the NMA's assessment that certificates of proficiency may also be renewed when seagoing service as master, chief mate or officer in charge of a navigational watch has been served on ships that have not operated in polar waters. With reference to the discussion in relation to section 58b second paragraph, seagoing service in a relevant capacity on ships that have operated in other ice-covered areas than polar waters, such as the Baltic Sea during the winter, may be sufficient for renewal of the certificate of proficiency for Polar Code training;

c) passed an approved test:
An approved test may for instance be a test carried out by a course centre offering an approved test in order to test the candidate in the qualifications required by the Polar Code.

d) successfully completed an approved course:
If there turns out to be an expressed need for approved refresher courses, the NMA assumes that the market will provide such courses.

Renewal of Certificate of Proficiency – Basic and Advanced has been included in table B-1/2 of the Qualification Regulations, cf. section 19 sixth paragraph of the Qualification Regulations.

Transitional provisions for seafarers with seagoing service on ships that operated in polar waters prior to 1 July 2018

To new section 58d Transitional provisions for Certificate of Proficiency Polar Code – Basic and Advanced
In new section 58d, the NMA has laid down requirements implementing the requirements set out by new STCW regulations V/4.6 and 4.7.

The scope of action set out by new STCW regulations V/4.6 and V/4.7 makes it possible to establish transitional arrangements for seafarers with seagoing service on ships that operated in polar waters prior to 1 July 2018. The transitional arrangement will end on 1 July 2020, and may be used to be issued with a certificate of proficiency as required by Chapter 12 of the Polar Code, cf. STCW regulations V/4.2 and V/4.4.

First paragraph
Section 58d first paragraph implements STCW regulation V/4.6 regarding the transitional arrangement for basic training in the requirements of the Polar Code.

The transitional provision of the first paragraph entails that the training requirements set out by STCW regulation V/4.2 may be satisfied in two ways.

Subparagraph a)
It is set out in section 58d subparagraph a) that, in the period from 1 July 2018 to 1 July 2020, seafarers who commenced approved seagoing service prior to 1 July 2018 shall be able to establish that they meet the certificate requirements of STCW regulation V/4.2 through practice. Section 58d subparagraph a) implements STCW regulation V/4.6.1.

In order to be covered by the transitional provisions, the seafarer must have commenced relevant seagoing service prior to 1 July 2018.

The transitional arrangement applies to seagoing service commenced within the preceding five years. This means that the seafarer might have commenced the seagoing service as far back as 1 July 2013, i.e. five years back in time from 1 July 2018. The final deadline for applying for a certificate of proficiency pursuant to the transitional provisions for basic training is 30 June 2020. In such cases, the seafarer must have commenced the seagoing service on or after 1 July 2015, i.e. five years back in time from 1 July 2020, but nevertheless prior to 1 July 2018.

Practice means that the candidate during the five preceding years has completed three months of approved seagoing service as master, chief mate or officer in charge of a navigational watch on ships operating in polar waters, or equivalent approved seagoing service. With regard to seagoing service that is equivalent to approved seagoing service, we refer to the discussion above in connection with section 58b second paragraph.

Subparagraph b)
It is furthermore set out by section 58d first paragraph subparagraph b) that as long as a candidate has commenced approved seagoing service prior to 1 July 2018, while the remaining seagoing service has been served in the period from 1 July 2018 to 1 July 2020, documented training in accordance with the Qualification Regulations new Appendix XIII can form the basis for an application for certificate of proficiency for basic Polar Code training. The new Appendix XIII is based on the training guidance set out by STCW section B-V/g. Section 58d subparagraph b) implements STCW regulation V/4.6.2.

Second paragraph
Section 58d second paragraph implements STCW regulation V/4.7 regarding the transitional arrangement for advanced training in the requirements of the Polar Code.

The transitional provision of the second paragraph entails that the training requirements set out by STCW regulation V/4.4 may be satisfied in two ways. In both alternatives, the seafarer must have commenced the seagoing service prior to 1 July 2018.

Subparagraph a)
Section 58d second paragraph subparagraph a) implements STCW regulation V/4.7.1. Seafarers who have commenced approved seagoing service prior to 1 July 2018 must document that they meet the certificate requirements of STCW regulation V/4.4 through three months of approved practice, i.e. that they during the preceding five years have had three months of seagoing service as master, chief mate or officer in charge of a navigational watch. With regard to seagoing service that is equivalent to approved seagoing service, we refer to the discussion above in connection with section 58b second paragraph.

Subparagraph b)
Section 58d second paragraph subparagraph b) implements STCW regulation V/4.7.2. The transitional provisions of section 58d second paragraph b) entail that the training requirements set out by STCW regulation V/4.4 are satisfied when the candidate has documented training in accordance with the Qualification Regulations new Appendix XIII and had approved seagoing service on ships operating in polar waters, or equivalent approved seagoing service, as master, chief mate or officer in charge of a navigational watch within a time period of at least two months during the preceding five years. With regard to seagoing service that is equivalent to approved seagoing service, we refer to the discussion above in connection with section 58b second paragraph.

Safety training and safety familiarisation on passenger ships

To section 60 Additional requirements for seafarers on passenger ships
First paragraph
It has been specified in section 60 first paragraph that the requirement for passenger ship emergency familiarisation training also applies to seafarers on passenger ships who pursuant to the ship’s muster list are designated to assist the passengers in emergencies.

Fourth paragraph
Section 60 fourth paragraph implements STCW regulation V/2 and section A-V/2 with appurtenant table and applies to personnel on passenger ships providing direct service to passengers in passenger spaces. The requirements apply to personnel providing such service in their daily work. This includes more than just uniformed crew, for instance personnel working in the kiosk.

It has been specified that the requirement for safety familiarisation is applicable in emergency situations on passenger ships, cf. STCW regulation V/2.5. The requirement applies in addition to section 7 of the Regulations regarding safety familiarisation. The safety familiarisation shall be carried out on board, and may for instance be documented in the company’s safety management system.

It has furthermore been specified that there is a requirement for documentation of completed safety training related to management of passengers in emergencies, cf. STCW regulation V/2.10. The safety training may be carried out on board when the company has arranged for this. The company shall ensure that documentation of completed safety training is issued to each individual participant. It will in other words not be sufficient to document the safety training in the company’s safety management system.

New fifth paragraph
Section 60 new fifth paragraph implements STCW regulation V/2 and section A-V/2 regarding requirements for safety familiarisation for emergency situations on passenger ships. New fifth paragraph applies to personnel on passenger ships who are not covered by section 60 first paragraph nor fourth paragraph.

More about the consequences of the new legislation
For the Norwegian Maritime Authority
As party to the STCW, Norwegian authorities have an obligation to approve courses required to be issued certificates of proficiency pursuant to the STCW. There are currently three Norwegian training courses covering the training requirements of STCW new regulation V/4 and new section A-V/4. We expect further Norwegian course providers to apply to the Norwegian Maritime Authority for approval of courses covering the training requirements mentioned above.

The scope of application set out by STCW regulation V/4.6 and V/4.7, cf. new section 58d, requires the Norwegian Maritime Authority to assess and process documentation to be used as basis for determining whether a seafarer is entitled to the Certificate of Proficiency Polar Code – Basic or Advanced.

For the industry
Thirty hours, i.e. a course period of three days, has been standardised for basic or advanced training required in order to be issued the Certificate of Proficiency Polar Code.

Course providers will be able to add further certificate courses to their course catalogues. The expense side will be linked to the internal need for training and quality assurance of curricula required to meet the requirements of STCW. The contra entry will be revenue generated by training activities.

The NMA's assessment is that the amendments to the Qualification Regulations implementing IMO Res. MSC.416(97) and IMO Res. MSC.417(97) do not represent special Norwegian requirement. The amendments therefore entail to negative distortion of competition for the Norwegian shipping industry.

Total costs compared to the usefulness
The specifications in section 60 first, fourth and fifth paragraph of the Qualification Regulations regarding requirements for training and safety familiarisation for personnel on passenger ships lead to clearer provisions.

Accidents involving ships in polar waters could result in severe damage and high costs. Requirements for the Certificate of Proficiency Polar Code should therefore be seen in connection with the Polar Code’s stricter requirements for ship and environmental safety. Even if the exposure of ships operating in polar waters will be low compared to other areas of operation, the risk may still be significant, as the consequences of incidents are far greater in polar waters. Even a smaller accident may escalate when the conditions in which the ship is operating make it difficult to offer assistance or to come to the aid of the ship and its crew.

The vulnerable environment in polar areas has also been an important factor. By preventing or reducing the number of accidents, the risk of irreparable damage to the environment is reduced.