Section B-I/2 Guidance regarding certificates and endorsements

1 Where an endorsement is integrated in the format of a certificate as provided by section A-I/2, paragraph 1, the relevant information should be inserted in the certificate in the manner explained hereunder, except for the omission of the space numbered .2. Otherwise, in preparing endorsements attesting the issue of a certificate, the spaces numbered .1 to .17 in the form which follows the text hereunder should be completed as follows:

.1 Enter the name of the issuing State.
.2 Enter the number assigned to the certificate by the Administration.
.3 Enter the full name of the seafarer to whom the certificate is issued. The name should be the same as that appearing in the seafarer’s passport, seafarer’s identity certificate and other official documents issued by the Administration.
.4 The number or numbers of the STCW Convention regulation or regulations under which the seafarer has been found qualified should be entered here, for example:
- .4.1 “Regulation II/1”, if the seafarer has been found qualified to fill the capacity of officer in charge of a navigational watch;
- .4.2 “Regulation III/1”, if the seafarer has been found qualified to act as engineer officer in charge of a watch in a manned engine-room, or as designated duty engineer officer in a periodically unmanned engine-room;
- .4.3 “Regulation IV/2”, if the seafarer has been found qualified to fill the capacity of radio operator;
- .4.4 “Regulation VII/1”, if the certificate is a functional certificate and the seafarer has been found qualified to perform functions specified in part A of the Code, for example, the function of marine engineering at the management level; and
- .4.5 “Regulations III/1 and V/1”, if found qualified to act as the engineer officer in charge of a watch in a manned engine-room, or as designated duty engineer officer in a periodically unmanned engine-room in tankers. (See limitations in paragraphs .8 and .10 below.)
.5 Enter the date of expiry of the endorsement. This date should not be later than the date of expiry, if any, of the certificate in respect of which the endorsement is issued, nor later than five years after the date of issue of the endorsement.
.6 In this column should be entered each of the functions specified in part A of the Code which the seafarer is qualified to perform. Functions and their associated levels of responsibility are specified in the tables of competence set out in chapters II, III and IV of part A of the Code, and are also listed for convenient reference in the introduction to part A. When reference is made under .4 above to regulations in chapter II, III or IV it is not necessary to list specific functions.
.7 In this column should be entered the levels of responsibility at which the seafarer is qualified to perform each of the functions entered in column .6. These levels are specified in the tables of competence set out in chapters II, III and IV of part A of the Code, and are also listed, for convenient reference, in the introduction to part A.
.8 A general limitation, such as the requirement to wear corrective lenses when performing duties, should be entered prominently at the top of this limitations column. Limitations applying to the functions listed in column .6 should be entered on the appropriate line against the function concerned, for example:
- .8.1 “Not valid for service in tankers” – if not qualified under chapter V;
- .8.2 “Not valid for service in tankers other than oil tankers” – if qualified under chapter V for service only in oil tankers;
- .8.3 “Not valid for service in ships in which steam boilers form part of the ship’s machinery” – if the related knowledge has been omitted in accordance with STCW Code provisions; and
- .8.4 “Valid only on near-coastal voyages” – if the related knowledge has been omitted in accordance with STCW Code provisions.
Note Tonnage and power limitations need not be shown here if they are already indicated in the title of the certificate and in the capacity entered in column .9.
.9 The capacity or capacities entered in this column should be those specified in the title to the STCW regulation or regulations concerned in the case of certificates issued under chapter II or III, or should be as specified in the applicable safe manning requirements of the Administration, as appropriate.
.10 A general limitation, such as the requirement to wear corrective lenses when performing duties, should be entered prominently at the top of this limitations column also. The limitations entered in column .10 should be the same as those shown in column .8 for the functions performed in each capacity entered.
.11 The number entered in this space should be that of the certificate, so that both certificate and endorsement have the same unique number for reference and for location in the register of certificates and/or endorsements, etc.
.12 The date of original issue of the endorsement should be entered here; it may be the same as, or differ from, the date of issue of the certificate, in accordance with the circumstances.
.13 The name of the official authorized to issue the endorsement should be shown here in block letters below the official’s signature.
.14 The date of birth shown should be the date confirmed from Administration records or as otherwise verified.
.15 The endorsement should be signed by the seafarer in the presence of an official, or may be incorporated from the seafarer’s application form duly completed and verified.
.16 The photograph should be a standard black and white or colour passport-type head and shoulders photograph, supplied in duplicate by the seafarer so that one may be kept in or associated with the register of certificates.
.17 If the blocks for revalidation are shown as part of the endorsement form (see section A-I/2, paragraph 1), the Administration may revalidate the endorsement by completing the block after the seafarer has demonstrated continuing proficiency as required by regulation I/11.

(Official Seal)
(COUNTRY)
ENDORSEMENT ATTESTING THE ISSUE OF A CERTIFICATE UNDER THE PROVISIONS OF THE INTERNATIONAL CONVENTION ON STANDARDS OF TRAINING, CERTIFICATION AND WATCHKEEPING FOR SEAFARERS, 1978, AS AMENDED
The Government of ………. .1 ..…… certifies that Certificate No. ..… .2 …… has been issued to ………………… .3 ………………….. who has been found duly qualified in accordance with the provisions of regulation ………… .4 …………... of the above Convention, as amended, and has been found competent to perform the following functions, at the levels specified, subject to any limitations indicated until ………… .5 ……………. or until the date of expiry of any extension of the validity of this endorsement as may be shown overleaf:
.6 FUNCTION	.7 LEVEL	.8 LIMITATION APPLYING (IF ANY)




The lawful holder of this endorsement may serve in the following capacity or capacities specified in the applicable safe manning requirements of the Administration:
.9 CAPACITY		.10 LIMITATION APPLYING (IF ANY)

Endorsement No ................. .11 ....................... issued on ................................. .12 .............................
(Official Seal)	............................................................................
	Signature of duly authorized official
	...................................... .13 .............................
	Name of duly authorized official
The original of this endorsement must be kept available in accordance with regulation I/2, paragraph 11 of the Convention while its holder is serving on a ship.
Date of birth of the holder of the certificate	............................................... .14 ..........................................
Signature of the holder of the certificate	.................................................... .15 ..........................................
Photograph of the holder of the certificate		.16




The validity of this endorsement is hereby extended until .............................................
(Official Seal)	.................................................... ..........................................
	Signature of the authorized official
Date of revalidation................................17	.............................................................................
	Name of duly authorized official
The validity of this endorsement is hereby extended until .............................................
(Official Seal)	.................................................... ..........................................
	Signature of the authorized official
Date of revalidation..................17	.........................................................................
	Name of duly authorized official

2 An endorsement attesting the recognition of a certificate may be attached to and form part of the certificate endorsed, or may be issued as a separate document (see STCW regulation I/2, paragraph 8). All entries made in the form are required to be in Roman characters and Arabic figures (see STCW regulation I/2, paragraph 10). The spaces numbered .1 to .17 in the form which follows the text hereunder are intended to be completed as indicated in paragraph 1 above, except in respect of the following spaces:

.2 where the number assigned by the Party which issued the certificate being recognized should be entered;
.3 where the name entered should be the same as that appearing in the certificate being recognized;
.4 where the name of the Party which issued the certificate being recognized should be entered;
.9 where the capacity or capacities entered should be selected, as appropriate, from those specified in the safe applicable manning requirements of the Administration which is recognizing the certificate;
.11 where the number entered should be unique to the endorsement both for reference and for location in the register of endorsements; and
.12 where the date of original issue of the endorsement should be entered.

(Official Seal)
(COUNTRY)
ENDORSEMENT ATTESTING THE RECOGNITION OF A CERTIFICATE UNDER THE PROVISIONS OF THE INTERNATIONAL CONVENTION ON STANDARDS OF TRAINING, CERTIFICATION AND WATCHKEEPING FOR SEAFARERS, 1978, AS AMENDED
The Government of ……………….…. .1 ……..…… certifies that Certificate No. ….….. .2 …….……… issued to ………………… .3 ………………….by or on behalf of the Government of ………… .4 …… is duly recognized in accordance with the provisions of regulation I/10 of the above Convention, as amended, and the lawful holder is authorized to perform the following functions, at the levels specified, subject to any limitations indicated until ………………… .5 ………………….or until the date of expiry of any extension of the validity of this endorsement as may be shown overleaf:
.6 FUNCTION	.7 LEVEL	.8 LIMITATION APPLYING (IF ANY)




The lawful holder of this endorsement may serve in the following capacity or capacities specified in the applicable safe manning requirements of the Administration:
.9 CAPACITY		.10 LIMITATION APPLYING (IF ANY)

Endorsement No ................. .11 ....................... issued on ................................. .12 .............................
(Official Seal)	............................................................................
	Signature of duly authorized official
	...................................... .13 .............................
	Name of duly authorized official
The original of this endorsement must be kept available in accordance with regulation I/2, paragraph 11 of the Convention while its holder is serving on a ship.
Date of birth of the holder of the certificate	............................................... .14 ..........................................
Signature of the holder of the certificate	.................................................... .15 ..........................................
Photograph of the holder of the certificate
		.16



The validity of this endorsement is hereby extended until .............................................
(Official Seal)	.................................................... ..........................................
	Signature of the authorized official
Date of revalidation...................17	......................... ..........................................
	Name of duly authorized official
The validity of this endorsement is hereby extended until .............................................
(Official Seal)	.................................................... ..........................................
	Signature of the authorized official
Date of revalidation..............................17	..........................
	Name of duly authorized official

3 When replacing a certificate or endorsement which has been lost or destroyed, Parties should issue the replacement under a new number, to avoid confusion with the document to be replaced.

4 If an application for revalidation is made within six months before the expiry of an endorsement, the endorsement referred to in paragraphs 5, 6 and 7 of regulation I/2 may be revalidated until:

.1 the fifth anniversary of the date of validity, or extension of the validity, of the endorsement; or
.2 the date the certificate endorsed expires, whichever is earlier.

5 Where a Certificate of Proficiency is issued, it should contain at least the following information:

.1 names of the issuing Party and authority;
.2 number assigned to the certificate by the issuing authority;
.3 full name and date of birth of the seafarer to whom the certificate is issued. The name and birthdate should be the same as that appearing in the seafarer’s passport or seafarer’s identification document;
.4 title of the certificate. For example, if the certificate is issued in relation to regulation VI/3, paragraph 2, the title used should be “advanced fire fighting” and if it is issued in relation to regulation VI/5, paragraph 1, the title used should be “ship security officer”;
.5 number, or numbers, of the Convention regulation(s) or of the STCW Code section under which the seafarer has been found qualified;
.6 dates of issue and expiry of the certificate. If the validity of the certificate is unlimited, then, for the benefit of clarification, the “unlimited” term should be entered in front of the date of expiry;
.7 if applicable, limitations, either general limitation (such as the requirement to wear corrective lenses), ship’s type limitation (such as “valid only for service on ships of GT<500”) or, voyage limitation (such as “valid only on near-coastal voyages”);
.8 name and signature of the authorized person who issues the certificate;
.9 photograph of the seafarer. The photograph should be a standard black and white or colour passport-type head and shoulders photograph;
.10 if the certificate is intended to be revalidated, then the date of revalidation, extension of the validity, name and signature of the authorized person; and
.11 the contact details of the issuing Authority.

Table B-I/2

List of certificates or documentary evidence required under the STCW Convention

The list below identifies all certificates or documentary evidence described in the Convention which authorize the holder to serve in certain capacities, perform certain duties or functions or be assigned certain responsibilities on board ships. The certificates are subject to the requirements of regulation I/2 regarding language and their availability in original form.

The list also references the relevant regulations and the requirements for endorsement, registration and revalidation.

Regulations	Type of certificate or documentary evidence and brief description	Seafarers required to hold the certificate or documentary evidence	Endorsement attesting recognition of a certificate required¹	Registration required²	Revalidation of a certificate or maintenance of the required standard of competence³
II/1, II/2, II/3, III/1, III/2, III/3, III/6, IV/2, VII/2	Certificate of Competency⁴	Masters, officers and GMDSS radio operators	Yes	Yes	Yes⁵
II/4, II/5, III/4, III/5, III/7, VII/2	Certificate of Proficiency	Ratings forming part of a navigational or engine-room watch (other than those under training or whose duties are of an unskilled nature), and ratings serving as able seafarer deck, able seafarer engine or electrotechnical rating	No	Yes	No
V/1-1, V/1-2	Certificate of Proficiency or endorsement to a Certificate of Competency – Basic training for oil and chemical or liquefied gas tanker cargo operations	Officers assigned specific duties and responsibilities related to cargo or cargo equipment on board tankers	Yes	Yes	Yes⁵
V/1-1, V/1-2	Certificate of Proficiency or endorsement to a Certificate of Competency – Advanced training for oil, chemical or liquefied gas tanker cargo operations	Masters, chief engineer officers, chief mates, second engineer officers and any officer with immediate responsibility for loading, discharging, care in transit, handling of cargo, tank cleaning or other cargo-related operations on board tankers	Yes	Yes	Yes⁵
V/1-1, V/1-2	Certificate of Proficiency or endorsement to an existing Certificate of Proficiency – Basic training for oil and chemical or liquefied gas tanker cargo operations	Ratings assigned specific duties and responsibilities related to cargo or cargo equipment on board tankers	No	Yes	No
V/1-1, V/1-2	Certificate of Proficiency or endorsement to an existing Certificate of Proficiency – Advanced training for oil, chemical or liquefied gas tanker cargo operations	Any person, other than masters and officers, with immediate responsibility for loading, discharging, care in transit, handling of cargo, tank cleaning or other cargo-related operations on board tankers	No	Yes	No
V/2	Documentary evidence – Safety training	Personnel providing direct service to passengers in passenger spaces on board passenger ships	No	No	No
V/2	Documentary evidence – Passenger ship crowd management training	Masters, officers, ratings qualified in accordance with chapters II, III and VII and other personnel designated on the muster list to assist passengers in emergency situations on board passenger ships	No	No	Yes⁶
V/2	Documentary evidence – Crisis management and human behaviour training	Masters, chief engineer officers, chief mates, second engineer officers and any person designated on the muster list of having responsibility for the safety of passengers in emergency situations on board passenger ships	No	No	Yes⁶
V/2	Documentary evidence – Passenger safety, cargo safety and hull integrity training	Masters, chief engineer officers, chief mates, second engineer officers and every person assigned immediate responsibility for embarking and disembarking passengers, for loading, discharging or securing cargo, or for closing hull openings on board ro-ro passenger ships	No	No	Yes⁶
V/3	Certificate of Proficiency – Basic training for service on ships subject to the IGF Code	Seafarers responsible for designated safety duties associated with the care, use or in emergency response to the fuel on board ships subject to the IGF Code	No	Yes	Yes⁶
V/3	Certificate of Proficiency – Advanced training for service on ships subject to the IGF Code	Masters, engineer officers and all personnel with immediate responsibility for the care and use of fuels and fuel systems on ships subject to the IGF Code	No	Yes	Yes⁶
V/4	Certificate of Proficiency – Basic training for ships operating in polar waters	Masters, chief mates and officers in charge of a navigational watch on ships operating in polar waters, as required by the Polar Code	No	Yes	Yes⁵
V/4	Certificate of Proficiency – Advanced training for ships operating in polar waters	Masters and chief mates on ships operating in polar waters, as required by the Polar Code	No	Yes	Yes⁵
VI/1	Certificate of Proficiency⁷ – Basic training	Seafarers employed or engaged in any capacity on board ship on the business of that ship as part of the ship's complement with designated safety or pollution-prevention duties in the operation of the ship	No	Yes	Yes⁸
VI/2	Certificate of Proficiency⁷ – Survival craft and rescue boats other than fast rescue boats	Seafarers designated to operate survival craft and rescue boats other than fast rescue boats	No	Yes	Yes⁸
VI/2	Certificate of Proficiency – Fast rescue boats	Seafarers designated to operate fast rescue boats	No	Yes	Yes⁸
VI/3	Certificate of Proficiency⁷ – Advanced fire fighting	Seafarers designated to control fire-fighting operations	No	Yes	Yes⁸
VI/4	Certificate of Proficiency^{7, 11} – Medical first aid	Seafarers designated to provide medical first aid on board ship	No	Yes	No
VI/4	Certificate of Proficiency¹¹ – Medical care	Seafarers designated to take charge of medical care on board ship	No	Yes	No
VI/5	Certificate of Proficiency – Ship security officer	Seafarers designated as ship security officer	No	Yes	No
VI/6	Certificate of Proficiency^{9, 10} – Security awareness training	Seafarers employed or engaged in any capacity on board a ship which is required to comply with the provisions of the ISPS Code on the business of that ship as part of the ship's complement without designated security duties	No	Yes	No
VI/6	Certificate of Proficiency ^{9, 10} – Training for seafarers with designated security duties	Seafarers designated to perform security duties, including anti-piracy and anti-armed-robbery-related activities	No	Yes	No

Notes:

1 Endorsement attesting recognition of a certificate means endorsement in accordance with regulation I/2, paragraph 7, issued under the conditions specified in regulation I/10, paragraph 1. Documentary proof that an application for an endorsement has been submitted to the Administration shall also be accepted under the conditions specified in regulation I/10 paragraph 5.

2 Registration required means as part of a register or registers in accordance with regulation I/2, paragraph 14.

3 Revalidation of a certificate or maintenance of the required standard of competence means establishing continued professional competence in accordance with regulation I/11, undertaking appropriate refresher training or providing evidence of having achieved or maintained the required standards of competence in accordance with regulations V/2 and V/3; and sections A-VI/1 to A-VI/3, as applicable.

4 In accordance with article VIII, if a seafarer serves in a capacity for which they do not hold the appropriate certificate, a dispensation issued by the Administration should be required. However, this is not applicable to radio operators, unless the relevant radio regulations provide otherwise.

5 Revalidation in accordance with regulation I/11.

6 As required by regulations V/2, paragraph 4 and V/3, paragraph 12, seafarers shall, at intervals not exceeding 5 years, undertake appropriate refresher training or be required to provide evidence of having achieved the required standard of competence within the previous 5 years.

7 The certificates of competency issued in accordance with regulations II/1, II/2, II/3, III/1, III/2, III/3, III/6 and VII/2 include the proficiency requirements in "basic training", "survival craft and rescue boats other than fast rescue boats", "advanced fire fighting", and "medical first aid"; therefore, holders of certificates mentioned are not required to carry Certificates of Proficiency in respect of those competencies in chapter VI.

8 Seafarers qualified under regulation VI/1 (basic training) related to the competencies ʺpersonal survival techniquesʺ and ʺfire prevention and fire fightingʺ, regulation VI/2 (survival craft, rescue boats and fast rescue boats) and regulation VI/3 (advanced fire fighting) are required, every 5 years, to provide evidence of having maintained the required standards of competency in accordance with the provisions of sections A-VI/1, paragraph 3; A-VI/2, paragraphs 5 and 11; and A-VI/3, paragraph 5.

9 Ship security officer training encompasses the competency requirements of section A-VI/6, and therefore holders of such a certificate of proficiency should not be required to undergo further training and obtain certification under section A-VI/6 related to competency for security awareness and training for seafarers with designated security duties. In addition, training for seafarers with designated security duties encompasses the competency requirements of section A-VI/6, paragraph 4, and therefore holders of such certificate of proficiency should not be required to undergo further training and obtain certification related to competency for security awareness.

10 Where security awareness training or training in designated security duties is not included in the qualification for the certificate to be issued, a certificate of proficiency shall be issued indicating that the holder has attended a course of training for designated security duties.

11 Where training in medical first aid or medical care is not included in the qualifications for the certificate to be issued, a certificate of proficiency shall be issued indicating that the holder has attended a course of training in medical first aid or in medical care.