Maine Maritime Academy S T C W 95 Standard Operating Procedures Manual Revision 4: September, 2011
Table Of Contents STCW 95... 1 Standard Operating Procedures, Manual... 1 Table of Contents... 2 Preamble... 3 STCW Program Coordinators... 4 Change Procedures... 5 Training and Assessment... 6 Assessor Standards... 7 Quality Standards... 10 IMO/US Equivalent Arrangements, accepted... 11 Grades and Assessments... 12 Archives... 13 Assessment Guidelines... 14 Revision 4: September, 2011 2
Preamble In 1978 The International Maritime Organization (IMO) adopted The International Convention on Standards of Training, Certification and Watchkeeping (STCW). When adopted the STCW Convention had only two components: the Articles and the Annex. The Annex outlined the technical requirements, which had to be met to meet the obligations imposed by the Articles. The Articles in the STCW Convention have remained unchanged since they were originally adopted in 1978. However, the 1995 Amendments to the convention totally replaced the 1978 version of the Annex. It was expanded from six chapters to eight and a two-part Code was added. Part A of the Code contains mandatory standards while Part B contains recommended guidance. Each of the eight chapters of the Annex directly references an applicable section of the code and the two must be read together to understand the intent and scope. The United States is one of more than 133 countries signatory to the convention All training that is required by STCW must be monitored. In the United States the Coast Guard Merchant Marine Licensing and Documentation Program (MMLD) fulfills the requirement of STCW quality standards system (QSS). Parties other than the Coast Guard may accept training on behalf of the Coast Guard and Maine Maritime Academy has been designated one of these parties. This manual implements STCW 95 at Maine Maritime Academy. It has been developed to help and guide faculty, staff and others at Maine Maritime Academy with the implementation and administration of STCW mandates as well as serving as a central point of reference. Reviewed by: Promulgated by: William J. Brennan President Revision 4: September, 2011 3
STCW PROGRAM COORDINATORS The program coordinators are: To Periodically review Academy policy and standards for STCW To Periodically review the International STCW standards and recommend changes to Academy policy; To review changes originating with faculty and staff that affect STCW implementation and make recommendations thereto; To have administrative oversight of this manual and recommend changes as appropriate; To recommend to the Academic Dean, when needed, Academy representatives to internal, national or international audit teams or committees; To act as liaison for any audits taking place at the Academy; and To be a resource for educating faculty, staff and students in the intricacies of the STCW convention and codes. The following are designated as members of the Oversight Group: The Deck Department Chair The Engineering Department Chair The STCW Coordinator Others, on an ad hoc basis, as the need warrants The STCW Program Coordinators report to the Academic Dean. Revision 4: September, 2011 4
Change Procedures It is vital that as changes occur in classes, watchstanding, and maintenance. The requisite STCW competencies are not compromised. Accordingly, any proposed changes shall be routed from the staff, administrator, or faculty member proposing the change, to the STCW Program Coordinator for review of the STCW implications. Competencies in a course may be shifted to another course or to a combined course. Watchstanding competencies may also be shifted to another course. Maintenance requirements may also be altered. Competencies may be imbedded in more than one course. The building block academic structure at Maine Maritime Academy supports this recognized STCW methodology for assessment. IT IS NOT THE INTENT OF THE STCW PROGRAM COORDINATORS TO NEGATE CHANGE, it is simply the goal of the Program Coordinators to insure that no competencies are missed or overlooked. Revision 4: September, 2011 5
Training and Assessment STCW ANNEX Regulation I/6 Training and Assessment is a significant regulation which affects requirements under other regulations. It requires Parties (signatory nations to the convention) to ensure that instructors, supervisors and assessors are appropriately qualified for the types and levels of training or assessment of competence of seafarers either on board a ship, at shore-side facilities, or by use of simulation. Those involved in training and/or assessment must be qualified in the task for which the training/assessment is to be conducted, and must have guidance in instructional techniques and assessment methods, as appropriate. Assessor qualifications are determined through the procedures for hiring, retaining and promoting instructors. These procedures are contained in the Faculty Handbook. The STCW Office will insure that a copy of this manual is available to all newly reporting instructors. The United States Coast Guard, by virtue of designating Maine Maritime Academy as a party that acts on behalf of the Coast Guard, has in fact recognized the sincere high level of Maine Maritime Academy training and assessment of the competencies of the students they graduate from the institution. Revision 4: September, 2011 6
Assessor Standards Maine Maritime Academy shall undertake to insure that the standards of assessment concerning STCW competencies are fair and equitable. Towards this goal it is vital that faculty and staff strive to use a set of standards or guidelines to measure performance when assessing competence under STCW. Accordingly, such a set of guidelines follows: Purpose: These guidelines are intended to assist instructors or working groups, which are established to develop performance measures to be used in the assessment of proficiency to meet a standard of competence under the STCW Convention. The general aim is to establish a national and Academy consensus on performance measures, which, (a) are based on the "best practices" currently in use in the U.S. Maritime Industry, and (b) are not so detailed or rigid that they interfere with the professional good judgment of a qualified assessor ("designated examiner ). Definition: A "performance measure" is understood to be an observable action, or indication of an action, that is recordable. For each performance measure, a "performance standard" (an established minimum level or boundary of performance based on relevant assessment criteria) should also be established. Scope of effort: These guidelines presume that a "performance measure" is only needed when a particular assessment of competence requires evaluation of the performance (i.e., practical demonstration) of a specific skill or related group of skills to establish an individual's level of Knowledge, Understanding or Proficiency (KUP} as identified in column 2 of a table in the STCW Code. Performance measures for knowledge-based testing should include a minimum passing score based on how critical the knowledge is. (For example, we may require a candidate to achieve a score of 90% on a rules of the road test but a lesser score may be acceptable for other knowledge based proficiencies.) It is assumed that (a) any underlying knowledge or understanding will be verified before a practical demonstration of skills takes place; and (b) the performance will be evaluated by a qualified assessor (designated examiner) who understands both the appropriate assessment methods and what constitutes proper performance of the relevant skill or related group of skills. Procedures: The following steps should facilitate the development of performance measures for use in assessing proficiency to meet a standard of competence under STCW. A. Column 2 of the appropriate table in the STCW Code should be reviewed to determine which critical areas of "knowledge, understanding and proficiency" (KUP) are knowledge or performance based. B. Each KUP should also be reviewed to determine those that can or should be assessed on board a vessel, and those that may not be suited for shipboard assessment. In making that determination, consideration should be given to the Revision 4: September, 2011 7
consequences of performance failure with respect to personal injury and loss of life, environmental damage and pollution and economic costs. Safety implications of performing shipboard assessments must be considered. Current shipboard operating conditions, such as environmental conditions, location, equipment status, workload, and personnel schedules must be considered, as should the ability to establish adequate controls over shipboard operations. C. Those KUP's that can be assessed from a written examination should be reflected in the performance measures for that KUP, along with an acceptable "standard" for demonstrating knowledge (e.g. - score on an examination). D. When developing these measures, the U.S. Maritime Training Industry should be surveyed to identify assessment criteria or performance measures which are already in use for each of the areas of KUP identified under A. Where there are variations in the criteria or measures in use, the "best" approach should be identified, or an attempt should be made to combine the best elements from all available sources. Performance measures should be "outcome" oriented and should not be unreasonably broken down into every obvious or elementary step. Among the available resources to review are: a) the STCW tables of standards of competence; b) IN40 Model Training Record Books; c) IMO Model Courses; d) ship's operating procedures; e) international, national, and local regulations; f) company instructions and procedures; g) technical equipment and technical equipment manuals; h) task analysis; i) subject matter expert advice, and j) existing training curriculum E. For those areas where no existing assessment criteria can be identified, subject matter experts from the relevant segment of the maritime training industry should prepare a "strawman" for further consideration by all interested parties. Again, performance measures should be "outcome" oriented and should not be unreasonably broken down into every obvious or elementary step. F. Any draft assessment criteria or performance measure developed under this approach will be widely circulated, for example in the Federal Register, to obtain additional perspective from individuals not involved in the development process. In addition, as the measures are "field tested" by the maritime training establishments in the U.S., adjustments will be made to the criteria or measure as needed to reflect appropriate improvements. G. "Final" versions of any assessment criteria or performance measure developed under this approach will be maintained electronically by the Coast Guard for use by any interested party. This "national library" of assessment criteria and performance measures will allow comments as well as additional criteria or Revision 4: September, 2011 8
standards to be accumulated for later review as experience is gained. H. When developing these measures, keep in mind the ultimate objective: If two different designated examiners used the measures to assess an individual, they should arrive at the same assessment of the individual's performance. Revision 4: September, 2011 9
Quality Standards STCW ANNEX Regulation I/8 requires the Parties to ensure that all training, assessment of competence, and certification activities are continuously monitored through a quality standards system to ensure achievement of defined objectives. An independent evaluation of the knowledge, understanding, skills and competence acquisition and assessment activities as well as of the administration of the certification system, is to be conducted at intervals of not more than five (5) years. The evaluation must be conducted by persons who are not themselves involved in the activities concerned to verify that.. 1. Internal management activities comply with planned arrangements and documented procedures, and are effective in achieving defined objectives; 2. The results of the independent evaluation are documented and brought to the attention of those responsible for the area being evaluated; and 3. Action is taken to correct deficiencies Maine Maritime Academy as part and function of maintaining a continuous monitoring of the system used, has established as STCW Office. Additionally at year two (2) of the five year Internationally mandated five (5) year review, an announcement will be made and date set for an Academy wide Internal Audit to self assess our system, administration, methods and procedures with regard to STCW Annex Regulation I/8. Revision 4: September, 2011 10
IMO / U.S. Equivalent Arrangements, accepted 1 Pursuant to Article IX of the STCW Convention, the United States has determined that training cruises, full mission simulator training, and in-port watchkeeping and maintenance on seagoing ships may be combined when calculating creditable seagoing service toward a U.S. Merchant Mariner s License, provided this service is part of a MARITIME ACADEMY cadet training programme which has been approved by the U.S. Coast Guard and the U.S. Maritime Administration. STCW Regulation II/I prescribes a minimum period of seagoing service of one year as part of an approved training programme, which includes on-board training. A variety of opportunities are provided during the multi-year programmes available only at the seven maritime academies in the United States for accumulating high quality sea service within the framework of a concentrated, intensive maritime training environment. The total combination of the opportunities for sea service at the academies provides a level of seagoing service, which is equivalent to the one year of service as required by regulation II/I. Progress toward proficiency at the maritime academies is continuously assessed by highly experienced faculty. Each cadet must be found competent in basic skills before advancing to more sophisticated levels of training. All cadets proceed from general concepts to practical experience, and from specific concepts to practical application. Eventually, each cadet must be able to integrate all that has gone before. 1 Annex 3; Equivalent arrangement in effect on 1 August 1998 pursuant to Article IV of the International Convention on Standards of Training, Certification and Watchkeeping (STCW), 1978 as amended Revision 4: September, 2011 11
Grades & Assessments Record of satisfactory assessment of STCW competencies will be recorded in the individual student Training Record Book (TRB). For record purposes, satisfactory assessment is determined through completion of the course(s) or event(s) in which the competency is embedded. Satisfactory demonstration of each and every competency is de facto the minimum acceptable level of performance for STCW 95 certification. This policy recognizes that, although subject matter covered by the competency constitutes an important part of a course, it does not drive the course grade. Therefore, a separate reporting device is required to indicate successful assessment of STCW competencies. Further, it is recognized that more than one competency may be embedded a single course/event. In order to simplify record keeping and reporting, grades for STCW related courses will be reported in two parts. The first part will be the normal Alpha (with + or - ) indicator, which will reflect in the final QPA. The second part will report any competency failure in the course in question. Upon indication of failure to pass a competency, the TRB record will be modified by the STCW Coordinator to indicate such failure. It will then be up to the student to arrange for an independent reassessment with the relevant assessor(s). In order to accommodate students who subsequently satisfy all course-related competencies, the instructor need only report that fact in writing to the STCW Coordinator. Recognizing that the original instructor may not be available, or that an alternative qualified assessor makes a subsequent assessment, the following remedial action is promulgated. If an alternative assessor at the Academy makes the subsequent evaluation, then the results will be reported to the STCW Coordinator who will modify the TRB record to reflect successful completion. And will maintain a written record from the instructor. This policy applies only to STCW-related courses. Revision 4: September, 2011 12
Archives There are (4) four levels of STCW archives: 1. Level 1 records are in the possession of the Registrar and are maintained electronically. They are maintained, backed up and archived continuously during a student s time at Maine Maritime Academy. Examples a. Training Record Books b. Certificates of Competence (Kept indefinitely) 2. Level 2 records are in possession of the Registrar and are printed out at the time of a student s graduation from Maine Maritime Academy and accompany the documents he or she takes with them. As these are generated from the Level 1 records, they are kept electronically. Examples a. Training Record Books b. Certificates of Competence (Expunged to the student printout at graduation) 3. Level 3 records are kept with the course outlines in the faculty secretary s office. These define the STCW competencies that are found and or assessed in the specific course. This record is also kept electronically in the Registrars Office in the form of a master database of all courses and competencies. Level 3 records are routinely reviewed and updated as changes are made to the STCW program. Examples a. Course outlines with competencies contained within b. Master database cross reference of Course / Competency / Course (Continuously updated and on record until course changes or competencies are shifted to another course) 4. Level 4 records are kept by the individual faculty or staff member. Examples a. Tests or exams b. Attendance records (Kept for 1 year as hard copy and electronically until the student graduates) Revision 4: September, 2011 13
Assessment Guidelines Deck Proficiency in Rating Forming Part of a Navigational Watch Launching and Retrieval of Rescue Boats (other than Fast Rescue Boats) Proficiency in Survival Craft Skill Demonstrations Proficiency as Officer in Charge of a Navigational Watch on Ships of 500 gross tonnage or more. Proficiency of competence in use of ARPA Proficiency in Bridge Team Resource Management GMDSS Basic Safety Training o Personal Safety and Social Responsibility o Basic and Advanced Fire Fighting o Medical person in charge Elementary First Aid o Cold Water Survival Engine Proficiency in Rating Forming Part of a Navigational Watch Launching and Retrieval of Rescue Boats (other than Fast Rescue Boats) Proficiency in Survival Craft Skill Demonstrations Proficiency as Officer in Charge of an Engineering Watch Basic Safety Training o Personal Safety and Social Responsibility o Basic and Advanced Fire Fighting o Medical person in charge Elementary First Aid o Cold Water Survival 500 Ton Proficiency in Rating Forming Part of a Navigational Watch Launching and Retrieval of Rescue Boats (other than Fast Rescue Boats) Proficiency as Officer in Charge of a Navigational Watch on Ships of less than 500 gross tonnage. Proficiency of competence in use of ARPA Proficiency in Bridge Team Resource Management GMDSS Basic Safety Training o Personal Safety and Social Responsibility o Basic and Advanced Fire Fighting o Medical person in charge Elementary First Aid o Cold Water Survival Revision 4: September, 2011 14