1 GENERAL
The International Convention for the Safety of Life at Sea (SOLAS
1974) was adopted in 1974 and entered into force in 1980. Similarly, the
International Convention on Standards of Training, Certification and
Watchkeeping for Seafarers (STCW 1978) was adopted in 1978 and entered
into force in 1984. Both have been amended several times since their entry into
force.
2 GOALS AND PURPOSE
These guidelines are intended to provide guidance for a harmonized
approach of port State control (PSC) inspections in compliance with SOLAS 1974 regulations V/14 (manning) and and STCW 1978 regulation I/2 (seafarer
certification) and chapter VIII. (hours of rest).
3 APPLICATION
3.1 SOLAS 1974 regulation V/14.2 only applies to ships covered
by chapter I of SOLAS 1974. STCW 1978, as amended, applies to seafarers serving on board
seagoing ships. The STCW Code is divided into a mandatory part A
and a non-mandatory part B. Part B of the STCW Code is not applicable during the inspection.
3.2 All passenger ships regardless of size and all other ships of 500
gross tonnage or more should have a minimum safe manning document or equivalent on
board issued by the flag State.
3.3 Any new or single deficiency which is either a deficiency related to
SOLAS
1974, STCW 1978 or other IMO conventions, should
preferably be registered with these conventions' references.
4 RELEVANT DOCUMENTATION
The documentation required for the inspection referred to in these
Guidelines consists of:
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Seafarer certification
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.1 certificate of competency;
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.2 certificate of proficiency;
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.3 endorsement attesting the recognition of a certificate (flag
State endorsement);
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.4 documentary evidence (passenger ships only);
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.5 medical certificate;
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Manning
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.6 minimum safe manning document;
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.7 muster list;
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Hours of rest
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.8 table of ship working arrangements and/or watch schedule; and
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.9 records of daily hours of rest.
5 DEFINITIONS AND ABBREVIATIONS
5.1 Certificate of Competency means a certificate issued and endorsed for
masters, officers and Global Maritime Distress and Safety System (GMDSS) radio
operators in accordance with the provisions of chapters II, III, IV or VII of the STCW 1978 and entitling the lawful holder thereof to serve in
the capacity and perform the functions involved at the level of responsibility
specified therein.
5.2 Certificate of Proficiency means a certificate, other than a
certificate of competency issued to a seafarer, stating that the relevant
requirements of training, competencies or seagoing service in STCW 1978 have been met.
5.3 Documentary evidence means documentation, other than a Certificate of
Competency or Certificate of Proficiency, used to establish that the relevant
requirements of STCW 1978, as amended, have been met. The only
documentary evidence required under STCW 1978, as amended, is issued to personnel meeting the
mandatory minimum requirements for the training and qualifications of masters,
officers, ratings and other personnel on passenger ships (regulation V/2).
5.4 The following abbreviations have been used:
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.1 CoC (Certificate of Competency);
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.2 CoP (Certificate of Proficiency); and
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.3 MSMD (minimum safe manning document).
6 INSPECTION OF SHIP
6.1 Pre-boarding preparation
6.1.1 Taking into account the type, size, engine power and other
particulars of the ship, the port State control officer (PSCO) should be aware of
the relevant requirements of SOLAS 1974 regulation V/14 and STCW 1978.
6.1.2 The PSCO should be aware that resolutions are non-mandatory
documents and not applicable during a PSC inspection.
6.1.3 The PSCO should also identify if the flag State is a Party to
STCW 1978, as amended. If the flag State is not a Party to
the Convention or is a Party but not listed in MSC.1/Circ.1163, as amended, a more
detailed inspection should be carried out.
6.2 Initial inspection
Seafarer certificates and documents
6.2.1 The PSCO should examine the applicable documents, found in section
4.
6.2.2 The inspection should be limited to verification that seafarers
serving on board, who are required to be certificated, hold the appropriate CoC, CoP
and documentary evidence issued in accordance with chapters II, III, IV, V, VI and VII of STCW 1978, as amended, as well as their relevant flag
State endorsement, valid dispensation, or documentary proof that an application for
an endorsement has been submitted to the flag State Administration, where
applicable. These documents are evidence of having successfully completed all
required training and that the required standard of competence has been
achieved.
6.2.3 During the verification of the seafarers' certificates and
documents, the PSCO should confirm that they are applicable to the ship's
characteristics, operation and their position on board.
6.2.4 In accordance with the provision of article VI paragraph 2 of STCW 1978, certificates for masters and
officers should be endorsed by the issuing Administration in the form prescribed in
regulation I/2 of the annex to the Convention.
6.2.5 The certificates may be issued as one certificate with the
required endorsement incorporated. If so incorporated, the form used should be that
set forth in section A-I/2, paragraph 1 of the STCW Code.
6.2.6 The endorsement may also be issued as a separate document. If so, the form used
should be that set forth in section A-I/2, paragraph 2 of the STCW Code.
6.2.7 However, Administrations may use a format for certificates and endorsements
different from those given in section A-I/2 of the STCW Code, provided that, at a minimum, the
required information is provided in Roman characters and Arabic figures. Permitted
variations to the format are set out in section A-I/2, paragraph 4 of the STCW Code.
6.2.8 Certificates and endorsements issued as separate documents should
each be assigned a unique number, except that endorsements attesting the issuance of
a certificate may be assigned the same number as the certificate concerned, provided
that number is unique.
6.2.9 Certificates and endorsements issued as separate documents should
include a date of expiry. The date of expiry on an endorsement issued as a separate
document should not exceed 5 years from the date of issue and may never exceed the
date of expiry on the certificate.
6.2.10 A CoP issued to a master or an officer in accordance with
regulation V/1-1 or V/1-2, as well as a CoC that has been issued by a State other
than the flag State of the ship in which the seafarer is engaged, is required to be
recognized by the ship's flag State. If the PSCO identifies that the flag State has
recognized a CoC or CoP from a Party not listed in MSC.1/Circ.1163, as amended,
clarification should be sought from the flag Administration. According to regulation I/10, paragraph 4 of STCW 1978, certificates
issued by or under the authority of a non-Party shall not be recognized by the
ship's flag State Administration.
6.2.11 An Administration which recognizes under regulation I/10 a CoC or
CoP issued to masters and officers should endorse that certificate to attest to its
recognition. The form of the endorsement should be that found in section A-I/2 paragraph 3 of the STCW code.
6.2.12 Incorrect wording or missing information may be a cause for suspicion
regarding fraudulent certificates or endorsements.
6.2.13 Endorsements attesting to the recognition of a certificate should each be
assigned a unique number, however they may be assigned the same number as the
certificate concerned, provided that number is unique.
6.2.14 Endorsements attesting to the recognition of a certificate should include a
date of expiry. The date of expiry on an endorsement attesting to the recognition
may never exceed the date of expiry on the certificate being recognized.
6.2.15 The capacity in which the holder of a certificate is authorized
to serve should be identified in the form of endorsement in terms identical to those
used in the applicable safe manning requirements of the Administration. This may
result in slight variations of terminology between the original CoC and the
endorsement to the recognition.
6.2.16 Seafarers must have their original CoC on board as well as any
original endorsements to the recognition. An endorsement attesting the recognition
of a certificate should not entitle a seafarer to serve in a higher capacity than
the original CoC.
6.2.17 If circumstances require it, a flag State Administration may
permit a seafarer to serve for a period not exceeding three months on ships entitled
to fly its flag while holding a valid CoC issued by another party and valid for
service on that party's ships. If such a situation exists, documentary proof must be
readily available that an application for endorsement has been made to the
Administration of the flag State. This is often referred to as the confirmation of
receipt of application (CRA). This provision allows Administrations to permit
seafarers to serve on their ships while the application for recognition is being
processed.
6.2.18 If an endorsement to attest recognition or certificate of
competency has expired or has not been issued or documentary proof of application
for endorsement is not readily available, the PSCO should consider whether or not
the ship can comply with STCW 1978 regulation I/4.1.2 regarding the numbers and certificates on
board being in compliance with the applicable safe manning requirements of the flag
State. This may be considered a deficiency in accordance with regulation I/4.2.4 and rectified before departure or
detention may be applied. The officer carrying out the control should forthwith
inform, in writing, the master of the ship and the Consul or, in his absence, the
nearest diplomatic representative or the maritime authority of the State whose flag
the ship is entitled to fly, so that appropriate action may be taken.
6.2.19 In cases of suspected intoxication of masters, officers and/or
other seafarers while performing designated safety, security and marine
environmental protection duties, the appropriate authorities of the port and flag
State should be notified in accordance with chapters 3 and 4 of the Procedures
for port State control.
6.2.20 Seafarers should have a valid medical certificate and have
completed applicable familiarization on board the ship. If such crew members are
assigned to any designated safety, security or pollution prevention duties, they
must be trained and qualified for such duties in accordance with the applicable
chapter of the STCW Code.
6.2.21 In accordance with section A-VI/1, paragraph 5 of the STCW Code, the flag State
Administration may exempt the seafarers engaged on ships other than passenger ships
of more than 500 gross tonnage on international voyages and tankers from some of the
requirements of that section.
Manning
6.2.22 The PSCO should examine the applicable documents, found in section
4.
6.2.23 The guiding principles for port State control of the manning of a
foreign ship should be:
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.1 verification that the numbers and certificates of the
seafarers serving on board are in conformity with the applicable safe
manning requirements of the flag State; and
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.2 verification that the vessel and its personnel conform to the
international provisions as laid down in SOLAS
1974 and STCW 1978.
6.2.24 If a ship is manned in accordance with an MSMD or equivalent
document issued by the flag State, the PSCO should accept that the ship is safely
manned unless the document has clearly been issued without regard to the principles
contained in the relevant instruments, in which case the PSCO should consult the
flag State Administration.
6.2.25 If the flag State Administration has not issued a safe manning
document or equivalent due to the ship's size the PSCO should examine the CoC, CoP
and their relevant flag State endorsement for the crew and compare with the
requirements of STCW 1978. Regarding the number of seafarers,
the PSCO should then use his or her professional judgement, taking into account
chapter VIII of STCW 1978 and the STCW Code and the duration and area of the next voyage, to
determine if it can be undertaken safely. The PSCO should note the number of
seafarers on board during the previous voyage as another indicator of standard
manning levels for the ship. The PSCO should consult the flag State Administration
if additional information is necessary.
6.2.26 If an endorsement to attest recognition has expired or has not
been issued or documentary proof of application for endorsement (CRA) is not readily
available, the PSCO should consider whether the ship can comply with the applicable
safe manning requirements of the flag State Administration. In cases where the PSCO
finds that additional information is necessary, the flag State Administration should
be consulted.
6.2.27 If the flag State does not respond to the request, this should be
considered as clear grounds for a more detailed inspection to ensure that the number
and composition of the crew are in accordance with the principles laid down in
paragraph 6.2.23 above. The ship should only be allowed to proceed to sea if it is
safe to do so, taking into account the criteria for detention indicated in section
7.3. In any such case, the minimum standards to be applied should be no more
stringent than those applied to ships flying the flag of the port State.
Hours of rest
6.2.28 All persons who are assigned duty as officer in charge of a watch
or as a rating forming part of a watch and those whose duties involve designated
safety, security and environmental protection duties shall be provided with a rest
period of not less than:
6.2.29 The hours of rest may be divided into no more than two periods,
one of which shall be at least six hours in length, and the intervals between
consecutive periods of rest shall not exceed 14 hours.
6.2.30 The PSCO should examine the applicable documents, found in
section 4, specifically the watch schedule and the records of daily hours of rest.
The PSCO may inspect the seafarer's personal copy of his or her records pertaining
to the hours of rest being held by the seafarer on board in order to verify that the
records are accurate.
6.2.31 The watch schedule shall be in a standardized format,footnote easily accessible to the crew and posted in the
working language or languages of the ship and in English.
6.2.32 Daily hours of rest shall be maintained in a standardized
format,footnote in the working language or languages of the ship and
in English.
6.2.33 The PSCO should consider that seafarers who are on call, such as
when a machinery space is unattended, are to be provided with an adequate
compensatory rest period if the normal period is disturbed by call-outs to work.
6.2.34 While assessing hours of rest, the PSCO should take into account
any emergency conditions encountered which required a seafarer to perform additional
hours of work for the immediate safety of the ship. In such cases, the master should
be consulted for an explanation of the events and how impacted seafarers were
provided with an adequate period of rest.
6.2.35 Flag State Administrations may provide exceptions to the
requirements of paragraphs 6.2.28.2 and 6.2.29 above for no more than two
consecutive weeks provided that the rest period for the seafarer is not less than 70
hours in any seven-day period.
6.3 Clear grounds
6.3.1 Clear grounds are defined in section 1.7.2 of the Procedures
for port State control.
6.3.2 In addition to the general examples of clear grounds in section
2.4 of the Procedures, the specific occurrences below, as outlined in paragraph 1.3
of regulation I/4 of STCW 1978, are considered as
factors leading to a more detailed inspection:
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.1 the ship has been involved in a collision, grounding or stranding; or
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.2 there has been a discharge of substances from the ship when under way, at
anchor or at berth which is illegal under any international convention; or
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.3 the ship has been manoeuvred in an erratic or unsafe manner whereby
routeing measures adopted by IMO or safe navigation practices and procedures
have not been followed; or
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.4 the ship is otherwise being operated in such a manner as to
pose a danger to persons, property, or the environment, or a compromise to
security.
6.4 More detailed inspection
6.4.1 The PSCO should verify:
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.1 verify that seafarers are sufficiently rested and otherwise
fit for duty for the first watch at the commencement of the intended voyage
and for subsequent relieving watches; this may be done by comparing records
of daily hours of rest with the requirements in STCW 1978 for an appropriate period, which should at
least include, whenever possible, the seven-day period immediately prior to
departure; the rest period must reflect actual hours worked;
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.2 verify a sufficient number of certificates from all
departments to demonstrate that the vessel and the composition of the crew
complies with the MSMD and requirements of STCW 1978; and
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.3 verify that navigational or engineering watch arrangements
conform to the requirements specified for the ship in the MSMD by the flag
State and the requirements of STCW 1978 regulation VIII/2, and STCW Code section A-VIII/2.
6.4.2 An assessment of seafarers can only be conducted by the port State
if there are clear grounds for believing that the ability of the seafarers of the
ship to maintain watchkeeping and security standards, as appropriate, as required by
STCW 1978 is not being maintained because any of the
situations mentioned in paragraphs 6.3.2.1 to 6.3.2.4 have occurred:
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.1 the assessment procedure provided in STCW 1978 regulation I/4, paragraph 1.3, should
take the form of a verification that members of the crew who are required to
be competent do in fact possess the necessary skills related to the
occurrence;
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.2 it should be borne in mind when making this assessment that
onboard procedures are relevant to the International Safety Management (ISM) Code and that the
provisions of STCW 1978 are confined to the competence to safely
execute those procedures;
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.3 control procedures under STCW 1978 should be confined to the standards of
competence of the individual seafarers on board and their skills related to
watchkeeping as defined in part A of the STCW Code. Onboard assessment of
competency should commence with verification of the certificates of the
seafarers;
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.4 notwithstanding verification of the certificate, the
assessment under STCW 1978 regulation I/4, paragraph 1.3 can
require the seafarer to demonstrate the related competency at the place of
duty. Such demonstration may include verification that operational
requirements in respect of watchkeeping standards have been met and that
there is a proper response to emergency situations within the seafarer's
level of competence;
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.5 in the assessment, only the methods for demonstrating
competence together with the criteria for its evaluation and the scope of
the standards given in part A of the STCW Code should be used. In cases
where there is doubt about knowledge of operational use of equipment, the
relevant officer or crew member should be asked to perform a functional
test. Failure to perform a functional test could indicate the lack of
familiarization or competency; and
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.6 assessment of competency related to security should be
conducted for those seafarers with specific security duties only in case of
clear grounds, as provided for in chapter XI-2 of SOLAS
1974, by the competent security authority. In all other cases, it
should be confined to the verification of the certificates and/or
endorsements of the seafarers.
7 FOLLOW-UP ACTION
7.1 Possible action
Possible action to be considered by the PSCO for the control in
compliance with SOLAS 1974 or STCW 1978 may be dealt with in the following ways:
7.2 Possible deficiencies
The following is a non-exhaustive list of possible deficiencies:
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Seafarers' documentation:
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.1 no CoC, CoP, flag State endorsements or proof that an
application for an endorsement has been submitted (STCW 1978
regulations I/4.2.1 and I/10);
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.2 special training requirements: mandatory basic or advanced
training or endorsement not presented;
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.3 no evidence of basic training, or other certificate of
proficiency, if not included in a qualification certificate held (STCW 1978
regulations VI/1, VI/1.2, VI/3, VI/4 and VI/6); and
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.4 information or evidence that the master or crew is not
familiar with essential shipboard operations relating to the safety of ships
or the prevention of pollution, or that such operations have not been
carried out.
Manning:
Hours of rest:
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.7 watch schedule not posted or not being followed (STCW 1978
regulations I/4.2.3 and I/4.2.5 and
STCW Code A-VIII/1.5);
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.8 the absence of a table of shipboard working arrangement or of
records of rest of seafarers (STCW Code A-VIII/1.7);
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.9 the records of hours of rest are inaccurate or incomplete
(STCW Code A-VIII/1.7); and
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.10 the watchkeeper is receiving less than 10 hours rest in any
24-hour period (i.e. working in excess of 14 hours) or 77 hours rest in any
7-day period (STCW Code A-VIII/1).
7.3 Deficiencies that may warrant detention
7.3.1 Deficiencies which may be deemed to pose a danger to persons,
property or the environment, as specified in paragraph 2 of regulation I/4 of STCW 1978, as amended:
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.1 failure of seafarers to hold a certificate, to have an
appropriate certificate, to have a valid dispensation or to provide
documentary proof that an application for an endorsement has been submitted
to the Administration in accordance with regulation I/10, paragraph 5;
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.2 failure to comply with the applicable safe manning requirement of the
Administration;
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.3 failure of navigational or engineering watch arrangements to conform to
the requirements specified for the ship by the Administration;
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.4 absence in a watch of a person qualified to operate equipment essential to
safe navigation, safety radiocommunications or the prevention of marine
pollution; and
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.5 inability to provide, for the first watch at the commencement of a voyage
and for subsequent relieving watches, persons who are sufficiently rested
and otherwise fit for duty.
7.3.2 Failure to correct any of the deficiencies, in so far as it has
been determined by the PSCO that they pose a danger to persons, property or the
environment, shall be the only grounds under STCW 1978, as amended, on which a ship
may be detained.
7.3.3 Examples of detainable deficiencies according to SOLAS
1974 and STCW 1978 are listed below:
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Ship-related:
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.1 MSMD or equivalent not presented (SOLAS 1974 regulation V/14.2); and
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.2 records of daily hours of rest are not on board (STCW Code A-VIII/1.7); and
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Seafarers' documentation:
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.3 not available or serious discrepancy in the CoC (STCW 1978
regulation I/4.2.1);
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.4 absence in watch of a radio operator (general/restricted
GMDSS); certificates and endorsement not available (STCW 1978
regulations I/4.2.1, I/4.2.2, I/4.2.3, I/4.2.4
and II/1.2.1);
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.5 documentation for personnel with designated safety, security and marine
environmental duties not available (STCW regulation I/4.2.1, I/4.2.2, I/4.2.3 and I/4.2.4);
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.6 expired certificates (STCW 1978 regulation I/4.2.1), and for medical
certificates also refer to STCW 1978 regulation I/9.6 and I/9.7; and
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.7 evidence that a certificate has been fraudulently obtained or the holder
of a certificate is not the person to whom that certificate was originally
issued.
7.4 Actions to be considered
Ship-related
7.4.1 If the actual number of crew or composition does not conform to the
manning document, the port State should request the flag State for advice as to
whether or not the ship should be allowed to sail with the actual number of crew and
composition of crew. Such a request and response should be by the most expedient
means and either party may request the communication in writing. If the actual crew
number or composition is not brought into compliance with the MSMD or the flag State
does not advise that the ship may sail, the ship may be considered for detention
after the criteria set out in section 7.3 have been taken into account.
7.4.2 Before detaining the ship the PSCO should consider the following:
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.1 length and nature of the intended voyage or service;
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.2 whether or not the deficiency poses a danger to ships, persons on board or
the environment;
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.3 whether or not appropriate rest periods of the crew can be observed;
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.4 size and type of ship and equipment provided; and
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.5 nature of cargo.
Deficiency-related
7.4.3 When the manning is not in accordance with the MSMD and no flag
State endorsements or no "documentary proof of application" can be presented, the
port State should consult the flag State whenever possible, taking into account time
differences or other conditions. However, if it is not possible to establish contact
with the flag State, the port State should forthwith inform, in writing, the master
of the ship and the Consul or, in their absence, the nearest diplomatic
representative or the maritime authority of the State whose flag the ship is
entitled to fly, so that appropriate action may be taken.
7.4.4 In cases where an unqualified seafarer has been on duty and/or the watch
schedule has not been followed, the flag State should be informed and this could be
considered as an ISM deficiency.
7.4.5 In cases where there is a seafarer on duty who is not qualified to carry out an
operation, that particular operation should be stopped immediately.
8 NOTE ON REPORTING DEFICIENCIES
The PSCO should be aware that, in addition to SOLAS
1974 and STCW 1978, there may be other applicable
international instruments. The PSCO should decide which one is the most
appropriate.