Policy, Purpose, and STCW Compliance
- Regulation I/8 of the 1978 STCW Convention, as amended, requires continuous monitoring of education, training, and assessment of competence through a Quality Standards System to ensure achievement of defined objectives.
- MARINA Circular No. 2013-06 requires that STCW monitoring be performed continuously by qualified persons who are not involved in, or connected to, the METI or assessment center being monitored.
- The circular establishes rules and procedures for monitoring maritime education programs, training courses, and assessment of seafarers’ competence carried out by METIs and assessment centers.
- The monitoring verifies compliance with minimum program and course requirements under the 1978 STCW Convention, as amended, and with existing Philippine laws, rules, and regulations.
- Monitoring ensures that program or course objectives and competence outcomes are achieved.
Coverage, Scope, and Regulated Activities
- MARINA Circular No. 2013-06 applies to all maritime education programs, training courses, and assessment of competence of seafarers carried out by Maritime Education and Training Institutions (METIs) and assessment centers, whether government or private.
- Coverage includes programs and courses required under the following STCW Convention chapters:
- Chapters II and III (Master, Deck and Engine Department)
- Chapter IV (Radio Communication)
- Chapter V (Special training requirements for personnel on certain types of ships)
- Chapter VI (Emergency occupational safety, security, medical care, and survival functions)
- Monitoring is conducted for maritime education programs, training courses, and competence assessment carried out by METIs and assessment centers that are under the jurisdiction of member agencies through MARINA memoranda of agreement.
Core Definitions Used in Monitoring
- Administration or STCW Administration means the Department of Transportation and Communications (DOTC) through MARINA as the single government agency to implement and enforce the 1978 STCW Convention, as amended.
- Assessment Center means an entity, public or private, recognized by the relevant member agency to conduct competence assessment of seafarers for issuance of the appropriate certificate required under the 1978 STCW Convention, as amended.
- Evaluator means a duly authorized person who has required qualifications to effectively conduct monitoring of maritime education programs, training courses, and assessment activities carried out by METIs or assessment centers.
- Maritime Higher Education Institutions (MHEIs) means higher education institutions, public or private, duly authorized by CHED (and by the governing boards for State Universities and Colleges (SUCs)) to conduct maritime education programs in accordance with the STCW Convention and applicable Philippine laws, rules, and regulations.
- Maritime Training Institutions (MTIs) means institutions, public or private, duly authorized by the Administration to offer maritime training courses in accordance with the 1978 STCW Convention, as amended, and applicable Philippine laws, rules, and regulations.
- Maritime Education and Training Institutions (METIs) includes both MHEIs and MTIs.
- Maritime Education Programs means the approved education and training for Marine Officers in-Charge of navigational or engineering watch covered under Chapters II and III of the 1978 STCW Convention, as amended, known as the Bachelor of Science in Marine Transportation (BSMT) and Bachelor of Science in Marine Engineering (BSMarE) programs.
- Member Agency means CHED, TESDA, PRC, or NTC, which MARINA entered into a Memorandum of Agreement pursuant to Executive Order (EO) No. 75.
- Monitoring means a series of evaluations to verify compliance with standards or degree of deviation from an expected norm to ensure achievement of defined program and course objectives in accordance with prescribed standards of competence.
- Monitoring Team means a group of evaluators duly constituted to conduct monitoring of maritime education programs, training courses, and assessment of competence of seafarers carried out by METIs or assessment centers.
- Quality Standards System means documented policies, procedures, controls, and internal quality assurance system relating to, among others, training, assessment of competence, and revalidation activities designed to ensure achievement of training course objectives in accordance with the STCW Convention.
- STCW Convention means the 1978 STCW Convention, as amended, and its associated Code.
- Training Course means a series of lessons composed of component modules to teach skills, knowledge, and proficiency to acquire required competences and be certified under the 1978 STCW Convention, as amended.
General Monitoring Rules and Quality System
- Monitoring is conducted using an Outcomes-Based Monitoring Instrument and through an outcomes-based approach.
- The outcomes-based approach focuses on competence outcomes of students/trainees/assessees.
- The outcomes-based approach evaluates core processes and procedures instrumental to competence outcome.
- The outcomes-based approach makes METIs, assessment centers, and all academic, training, and support staff responsible for the program, training course, or assessment they carry out.
- The STCW Office must use qualified persons who are not involved in or connected to the METI or assessment center concerned.
- Monitoring under memoranda of agreement between MARINA and member agencies is done jointly: the member agency concerned and the Administration conduct the monitoring for METIs and assessment centers under the jurisdiction of those agencies.
- Only duly authorized personnel may conduct monitoring activities.
- The Quality Standards System Manual of the METI or assessment center and related audit reports must be made available upon request of the monitoring team during monitoring.
Monitoring Team Qualifications and Composition
- Each monitoring team member must not be involved in, or connected to, the METI or assessment center concerned.
- Each monitoring team member must have knowledge and understanding of the maritime education program(s), training course(s), and/or competence assessment being monitored.
- Each monitoring team member must have attended orientations conducted by the Administration and the member agency on monitoring policies, rules, and procedures.
- Each monitoring team member must have experience in conducting monitoring activities at least three (3) times as under study.
- Evaluators must have appropriate work-related experience corresponding to the training course or program being monitored.
- If the training course or program uses a simulator, evaluators must have gained practical operational experience and appreciation on the use of simulators.
- Each monitoring team is headed by a Lead Evaluator who must:
- Have experienced conducting monitoring activities at least five (5) times as a member
- Pass an evaluation by the Administration or the member agency concerned
- Have completed an auditor’s course
- The document authorizing a monitoring activity specifies the monitoring team leader and the members.
- A maximum of two (2) observers (as under study) may join a monitoring activity.
Required Team Composition by Activity Type
- For monitoring training courses carried out by maritime training institutions, the team minimum includes:
- One (1) MARINA – STCW Office personnel
- One (1) personnel and one (1) Evaluator with technical knowledge and experience on the training course, for training courses under TESDA or NTC
- One (1) MARINA – STCW Office Evaluator with technical knowledge and experience on the training course
- For monitoring maritime education programs carried out by maritime education institutions, the team minimum includes:
- One (1) CHED – Office of Programs and Standards (OPS) maritime education personnel
- One (1) MARINA – STCW Office personnel
- Two (2) CHED and MARINA evaluators: one CHED maritime education Evaluator and one MARINA STCW Office Evaluator, each with technical knowledge and experience on the maritime education program being monitored
- For monitoring competence assessment carried out by assessment centers, the team minimum includes:
- One (1) personnel from the government agency concerned
- One (1) MARINA – STCW Office personnel
- Two (2) evaluators from MARINA and the government agency, with technical knowledge and experience relevant to the competence assessment being monitored
- STCW Administration and member agency personnel in the monitoring team serve as official representatives and alter ego of their respective agencies, and must perform roles with utmost responsibility and accountability and observe confidentiality of monitoring findings, documents, and information gathered.
Programming, Planning, and Scheduling Requirements
- An annual program of monitoring activities should be prepared not later than the 15th day of January each year.
- The Administration prepares the annual programming for training courses under its jurisdiction.
- Member agencies prepare the annual programming for maritime education programs, training courses, and competence assessment carried out by METIs and assessment centers under their respective jurisdictions.
- The annual monitoring program must indicate:
- Name of METIs and/or assessment centers and the maritime education programs, training courses, or competence assessment to be monitored
- Scheduled date(s) of monitoring activities
- Assigned agency personnel and evaluator
- Name and signature of the person who prepared and the official who approved the annual monitoring program
- The member agency concerned transmits its approved annual monitoring program to the STCW Administration for concurrence and assignment of MARINA – STCW Office personnel and evaluator(s).
- After concurrence, the Administration transmits the monitoring program back to the member agency with assigned MARINA – STCW Office personnel and evaluator(s) for each monitoring activity.
- Budgetary and administrative requirements and all pre-monitoring arrangements follow the concerned agency’s administrative rules and procedures.
- The member agency having jurisdiction must convene the monitoring team for a meeting not later than 10 working days before the scheduled monitoring activity for:
- Preparing the monitoring plan
- Identifying and assigning evaluation areas and tasks to each team member
- Advancing review of documents and information, including results of previous monitoring
- A monitoring plan must indicate:
- Scope and objectives of monitoring
- Key areas of evaluation and assigned evaluator(s)
- Methods of monitoring
- Date, estimated time, and duration
- Resources needed
- The approved monitoring plan must be transmitted to the METI or assessment center not later than 5 days before the scheduled monitoring date.
How Monitoring Is Conducted and Documented
- Each monitoring activity uses the Outcomes-Based Monitoring Instrument adopted by the STCW Administration and the member agency concerned.
- Monitoring starts with an opening meeting presided by the Lead Evaluator with officials and responsible personnel/staff of the METI or assessment center to discuss:
- Scope and objectives of monitoring
- Key areas of evaluation and assigned evaluator(s)
- Methods of monitoring
- Estimated time and duration of the activity
- Confidentiality of monitoring findings, documents, and information
- Monitoring evaluates key areas of evaluation through:
- Interview of responsible personnel/staff for the key area
- Checking and review of relevant quality processes, procedures, and documentation
- Class observation
- Practical exercise / competence assessment observation
- Random interview of students/trainees/assessees
- Testing and checking relevant facilities and laboratory equipment
- Gathering necessary objective evidences relevant to the key area evaluated
- After evaluation, the monitoring team deliberates on findings to resolve any doubt or confusion.
- A closing meeting is conducted with officials and responsible personnel/staff where monitoring findings are presented and clearly explained, with an opportunity for clarification.
- After the closing meeting, a monitoring log and report are prepared and signed by the monitoring team and countersigned by the Head of the METI or assessment center concerned.
Monitoring Ratings and Mandatory Consequences
- Monitoring findings are rated as Conformance, Non-conformance, or Observation.
- Non-conformance findings are categorized as Major Non-conformance or Minor Non-conformance.
- Conformance means compliance with required standards or system elements and procedures for implementing the maritime education program(s), training course(s), or competence assessment, and is labeled “Satisfactory (SAT)” in the monitoring log and report.
- Major Non-conformance (MNC) includes:
- Absence of one or more required system elements of the Quality Standards System, or
- A situation raising significant doubt that education, training, or competence assessment meets specified standards, requirements, and competence outcomes
- A group of minor non-conformances indicating inadequate implementation or effectiveness of the system relevant to an element of the standard
- A minor non-conformance that is persistent or not corrected within the prescribed period in this circular
- Minor Non-conformance (mNC) means a single system failure or lapse in conformance with a procedure relating to applicable standards that does not indicate a system breakdown and does not raise doubt that education, training, or assessment meets specified standards, requirements, and competence outcomes.
- Observation (OBS) is a finding that is not a non-conformance but could lead to non-conformance if not properly addressed, or lacks clear evidence to verify it constitutes a non-conformance.
- The evaluator may note “Noteworthy Efforts” as initiatives undertaken by the institution to achieve higher qualitative results (e.g., best practices resulting toward further improvement of expected outcomes).
Immediate and Timed Remedies for Deficiencies
- For a Major Non-conformance finding in a training course or assessment of competence, the METI or assessment center is prohibited from carrying out that particular training course or assessment until evidence shows the cause(s) have been rectified and verified through a re-evaluation.
- For a Major Non-conformance in a training course or competence assessment, the re-evaluation is conducted within 15 working days after receipt of the required evidence.
- For a Major Non-conformance finding in a maritime education program, the MEI must submit a corrective action plan within 15 working days after receipt of the official monitoring results, including an interim measure to ensure required standards of learning of affected students are not sacrificed.
- After approval of the corrective action plan for a Major Non-conformance in a maritime education program, the institution is subjected to frequent monitoring.
- If the MEI fails to comply with the conditions and/or implement within the agreed timeframe, or based on clear evidence during frequent monitoring, the member agency initiates the procedure to phase out the maritime education program.
- For a Minor Non-conformance, the METI or assessment center must undertake corrective action within a reasonable period not exceeding 3 months.
- Failure to complete corrective action within 3 months for a Minor Non-conformance results in a Major Non-conformance.
- For an Observation, the METI or assessment center must address the observation within 1 year.
Monitoring Reports, Deadlines, and Communication
- Every monitoring report must be prepared and entered into an Outcomes-based Monitoring Log and Report and must include a complete description of findings and the team’s recommendation(s).
- All relevant evidences gathered, supporting each finding, must be attached as an Annex to the monitoring log and report.
- Monitoring reports must be submitted within 3 working days after completion of every monitoring activity.
- Within 7 days after submission of the monitoring report, the result of the monitoring activity is officially communicated by the STCW Administration or by the member agency having jurisdiction.
- Further processing of the monitoring report is carried out by the STCW Administration or member agency consistent with their respective policies, rules, and procedures.
- The STCW Administration must be furnished with further actions taken by the member agency and the status of any corrective action plan(s) for maritime education programs.
Sanctions, Penalties, Repeal, and Separability
- The imposition of appropriate sanctions and penalties follows the procedure based on this circular and the appropriate policies, rules, and procedures issued by the member agency.
- Provisions of existing MARINA Circulars, Rules and Regulations, and other issuances relating to monitoring maritime education programs, training courses, or competence assessment by METIs and assessment centers that are inconsistent with this circular are repealed and/or modified accordingly.
- If any provision or part of the circular is declared invalid or unconstitutional, the remaining provisions and parts remain in full force and effect.