[Federal Register Volume 61, Number 59 (Tuesday, March 26, 1996)]
[Proposed Rules]
[Pages 13284-13320]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7019]




[[Page 13283]]

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Part VII





Department of Transportation





_______________________________________________________________________



Coast Guard



_______________________________________________________________________



46 CFR Parts 10, 12, and 15



International Convention on Standards of Training, Certification and 
Watchkeeping for Seafarers, 1978 (STCW): Implementation of 1995 
Amendments; Proposed Rule

  Federal Register / Vol. 61, No. 59 / Tuesday, March 26, 1996 / 
Proposed Rules  

[[Page 13284]]


DEPARTMENT OF TRANSPORTATION

Coast Guard

46 CFR Parts 10, 12, and 15

[CGD 95-062]
RIN 2115-AF26


Implementation of the 1995 Amendments to the International 
Convention on Standards of Training, Certification and Watchkeeping for 
Seafarers, 1978 (STCW)

AGENCY: Coast Guard, DOT.

ACTION: Notice of proposed rulemaking.

-----------------------------------------------------------------------

SUMMARY: The Coast Guard proposes changes to the current domestic rules 
on licensing, documentation, and manning in compliance with recent 
amendments to the International Convention on Standards of Training, 
Certification and Watchkeeping for Seafarers, 1978 (STCW). The 
amendments were adopted by a Conference of Parties to STCW in July 
1995, and will come into force on February 1, 1997, though some changes 
to domestic rules must come into force before then to ensure these 
rules conform with international requirements, and other changes may 
come into force after then to allow a more gradual shift in practice. 
The proposed changes would affect the full range of activities 
associated with determining that an individual is competent for service 
in certain shipboard capacities.

DATES: Comments must be received on or before July 24, 1996.

ADDRESSES: Comments may be mailed to the Executive Secretary, Marine 
Safety Council (G-LRA, room 3406) [CGD 95-062], U.S. Coast Guard 
Headquarters, 2100 Second Street SW., Washington, DC 20593-0001, or may 
be delivered to room 3406 at the same address between 8 a.m. and 3 
p.m., Monday through Friday, except Federal holidays. The telephone 
number is (202) 267-1477. Comments on collection-of-information 
requirements must be mailed also to the Office of Information and 
Regulatory Affairs, Office of Management and Budget, 725 17th Street 
NW., Washington, DC 20503, Attn: Desk Officer, U.S. Coast Guard.
    The Executive Secretary maintains the public docket for this 
rulemaking. Comments will become part of this docket and will be 
available for inspection or copying at room 3406, U.S. Coast Guard 
Headquarters, between 8 a.m. and 3 p.m., Monday through Friday, except 
Federal holidays.
    A copy of the material listed in Incorporation by Reference of this 
preamble is available for inspection at room 3406, U.S. Coast Guard 
Headquarters.
    A copy of the 1995 Amendments to STCW may be obtained by writing 
Commandant (G-MOS), U.S. Coast Guard, 2100 Second Street SW., 
Washington, DC 20593-0001, or by calling (202) 267-0229, between 8 a.m. 
and 3 p.m. Monday through Friday, except Federal holidays. Requests may 
also be submitted by facsimile at (202) 267-4570.

FOR FURTHER INFORMATION CONTACT: Mr. Christopher Young, Project 
Manager, Operating and Environmental Standards Division (G-MOS), U.S. 
Coast Guard Headquarters, 2100 Second Street SW., Washington, DC 20593-
0001, telephone (202) 267-0216.

SUPPLEMENTARY INFORMATION: 

Request for Comments

    The Coast Guard encourages interested persons to participate in 
this rulemaking by submitting written data, views, or arguments. 
Persons submitting comments should include their names and addresses, 
identify this rulemaking [CGD 95-062] and the specific section of this 
proposal to which each comment applies, and give the reason for each 
comment. Please submit two copies of all comments and attachments in an 
unbound format, no larger than 8\1/2\ by 11 inches, suitable for 
copying and electronic filing. Persons wanting acknowledgment of 
receipt of comments should enclose stamped, self-addressed postcards or 
envelopes.
    The Coast Guard will consider all comments received during the 
comment period. It may change this proposal in view of the comments.

Hearings

    The Coast Guard has determined that the opportunity for oral 
presentations will aid in this rulemaking, and will hold at least one 
public hearing during the comment period. The Coast Guard solicits 
recommendations on dates and locations for a public meeting. Requests 
for a public meeting should be addressed to the Marine Safety Council 
at the address under ADDRESSES. The Coast Guard will provide more 
information about public hearings by a later document in the Federal 
Register.

Background and Purpose

    On July 7, 1995, a Conference of Parties to the International 
Convention on Standards of Training, Certification and Watchkeeping for 
Seafarers, 1978 (STCW), meeting at the Headquarters of the 
International Maritime Organization (IMO) in London, adopted a package 
of Amendments to STCW. The amendments will enter into force on February 
1, 1997, unless a third of the parties to the Convention, or parties 
representing over 50 percent of the world's hipping tons, object to 
them by August 1, 1996. Because they were adopted unanimously by the 
Conference, no objections are expected. Consequently, the Coast Guard 
is taking the steps necessary to implement the revised requirements to 
ensure that U.S. documents and licenses are issued in compliance with 
the 1995 Amendments to STCW.
    The Convention sets qualifications for masters, officers, and 
watchkeeping personnel on seagoing merchant ships. It was adopted in 
1978 by a conference at IMO Headquarters in London and it entered into 
force in 1984. Currently, there are 114 State-Parties, representing 
almost 95 percent of the world's merchant-ship tons. The United States 
became a party in 1991. Over 90 percent of ships visiting U.S. waters 
are foreign-flag. Approximately 350 large U.S. merchant ships that 
routinely visit foreign ports, as well as thousands of smaller U.S. 
documented commercial vessels that operate on ocean or near-coastal 
voyages, are subject to STCW.
    In 1993, IMO embarked on a comprehensive revision of STCW to 
establish the highest practicable standards of competence and to 
address human error as a major cause of maritime casualties. By 1993, 
significant limitations to the existing Convention had become apparent. 
They included requirements that were too vague and left too much to the 
discretion of Parties; the absence of clear, uniform standards of 
competence; ineffective international superintendent to verify that 
Parties were in fact complying with Convention requirements; limited 
provisions for port-State control; and outdated technical references 
that failed to address modern shipboard systems, job descriptions, and 
approaches to maritime training such as the use of simulation 
technology.
    The amendments adopted by the Conference in July 1995 were 
comprehensive and detailed. They concern port-State control, 
communication of information to IMO to allow for mutual oversight, and 
responsibility of all State-Parties to ensure that seafarers meet 
objective standards of competence. They also require candidates for 
certificates (licenses and document endorsements) to establish 
competence through both subject-area examinations and practical 
demonstrations of skills. Training, assessment, and certification of 
competence are all to be managed

[[Page 13285]]
within a quality-standards system to ensure that stated objectives are 
being achieved.
    The Coast Guard published a notice of inquiry in the Federal 
Register [60 FR 56970 (November 13, 1995)] to solicit information on 
the costs that may be associated with implementation of the 1995 
Amendments to STCW. This notice is discussed in more detail under the 
heading ``Regulatory Evaluation.''
    The Coast Guard held a public meeting on August 31, 1995, to 
discuss the outcome of the Conference and seek public comment on how 
the 1995 Amendments to STCW should be implemented by the United States. 
Comments received at the meeting and in response to the notice of 
inquiry have been taken into consideration in the development of 
implementing regulations. Three written comments were submitted to the 
docket, and they will be discussed in the appropriate sections of this 
preamble.
    Additionally, the Coast Guard had sought comment from the public 
during the period leading up to the Conference that adopted the 1995 
Amendments to STCW. The Coast Guard had held seven public meetings to 
determine what positions U.S. delegations should advocate at meetings 
held by IMO, and to exchange views about Amendments to STCW that were 
under discussion.
    The Coast Guard has also taken advantage of the meetings of its 
advisory panels, particularly the Merchant Marine Personnel Advisory 
Committee (MERPAC), the Towing Safety Advisory Committee (TSAC), and 
the Navigational Safety Advisory Council (NAVSAC), to discuss 
developments relating to the amendment of STCW and the domestic 
implementation of these amendments.

Related Rulemakings

    This proposed rulemaking has been prepared in anticipation that 
several other rulemakings will revise Parts 10, 12, and 15 or address 
related subjects.
    First, in docket number CGD 95-072 [60 FR 50455 (September 29, 
1995)], the Coast Guard has made technical and editorial corrections to 
its current rules, removing outdated references and reflecting current 
organizational structures.
    Second, in CGD 91-045, the Coast Guard published a supplemental 
notice of proposed rulemaking (SNPRM) [60 FR 55904 (November 3, 1995)] 
that proposed operational measures to reduce spills from existing tank 
vessels without double hulls. This too involves subjects addressed here 
to implement the STCW Amendments, such as rest-period requirements and 
training in bridge-team procedures and bridge-resource management.
    Third, in CGD 94-029, a proposed rule for modernizing examination 
methods was published [60 FR 10053 (February 23, 1995)]. Essentially, 
it would allow for the use of testing services from the private and 
public sectors to confirm the competency of candidates for Coast Guard 
licenses.
    Fourth, in CGD 94-055, there is under development a proposal that 
concerns licensing requirements for officers of towing vessels. It 
stems from investigations into the Sunset Limited tragedy, when a tug 
and barge damaged a railroad bridge in September 1993. It may introduce 
into 46 CFR Part 10 new terms and concepts, such as the designated 
examiner, practical demonstration, and standard of competence, and the 
use of training-record books. The Coast Guard has been working with 
TSAC on CGD 94-055.
    The Coast Guard will make every effort to coordinate these projects 
with a view to establishing uniform requirements except where there is 
a compelling need to maintain a difference in respect of a particular 
activity or class of vessel.
    In keeping with other recent Coast Guard initiatives, this proposed 
rule tries to avoid unnecessary additional requirements when 
international standards are being implemented. Specifically, the Coast 
Guard has compared the rules to the international standard and has 
determined that it would not unnecessarily establish a requirement in 
excess of that standard. With this objective, the rule makes direct 
reference to international standards where possible. Where there is a 
difference in substance between the rule and the international 
requirement, this is noted and discussed in the section-by-section 
analysis. In most cases, the difference involves an exercise of 
discretion to address a specific class of vessel rather than an 
additional requirement. In some cases, clear differences with the 
international scheme are retained to preserve continuity in the U.S. 
licensing system. The Coast Guard requests comments on these 
differences, and the advantages that might be derived from removing 
them from current domestic rules.
    The Coast Guard has attempted to develop a rule that would be self-
implementing. In other words, it has tried to minimize the direct role 
the Coast Guard would need to play in overseeing routine compliance 
with the requirements. Ideally, it would like to minimize its direct 
involvement and limit its role to the following: (a) performing 
functions governmental in nature such as issuing certificates of 
competency; (b) setting standards for such certificates; (c) addressing 
special circumstances or exceptions to the general case clearly covered 
by the regulations; (d) monitoring training and assessment by spot-
checks or by review of random samples to ensure that the new ``quality-
standards system'' requirements are being maintained; and (e) keeping 
some necessary records.

Discussion of Proposed Rule

General

    The following discussion proceeds in the order in which the 
proposed revisions to current domestic rules are presented. However, a 
few general comments may assist the reader and reduce repetition of a 
point common to many parts of the revisions.
    1. Approach. The approach taken in this proposed rule is to retain 
the existing structure of the current domestic rules on licensing (46 
CFR Part 10), certification of seamen (46 CFR Part 12), and manning (46 
CFR Part 15), and incorporate specific requirements of the 1995 
Amendments to STCW. Where possible, this Convention and its associated 
Seafarers' Training, Certification and Watchkeeping Code (STCW Code) 
have been incorporated by reference to avoid unnecessary duplication 
and to ensure compatibility between international and domestic 
requirements.
    The 1995 Amendment to STCW essentially replace the current Annex to 
the 1978 Convention with a new Annex and an associated STCW Code. The 
STCW Code is divided into two separate parts (A and B), that are both 
is organized to parallel, exactly, the STCW Regulations in the Annex. 
Part A provides mandatory standards that are directly referred to in 
the relevant STCW Regulations in the Annex. Part B is non-mandatory 
guidance to assist in implementation of the requirements of Part A, and 
to promote uniform interpretation of the STCW Regulations. Not all of 
the STCW Regulations have explanatory material in both parts of the 
STCW Code.
    Chapter I of the new Annex is expanded to include new STCW 
Regulations on matters such as the use of simulators in training and 
assessment, the qualifications of persons responsible for the training 
and assessment of seafarers, the establishment of a quality-standards 
system to ensure achievement of defined objectives, the establishment 
of medical-fitness standards for seafarers, and the responsibilities of 
companies.

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    The remaining part of the new Annex is enlarged from six to eight 
chapters. Chapters II, III, and IV have retained their application to 
the master and deck department, the engine department, and 
radiocommunications, respectively. However, material that was 
previously presented as appendices to the original STCW regulations is 
now contained in the STCW Code, and detailed standards of competence 
are set out in the corresponding sections of the Code. Additionally, 
the standards of competence are organized along functional lines, with 
three levels of responsibility. The amendments establish requirements 
for certification for the following seven functions: navigation; 
handling and stowage of cargo; controlling the operation of the ship 
and care for persons on board; marine engineering; electronic and 
control engineering; maintenance and repair; and radiocommunications. 
Three levels of responsibility are associated with each function under 
STCW--management level, operational level, and support level.
    Chapter V, which was previously amended in 1994 and which addressed 
only tanker personnel, is not expanded to address personnel on roll-on/
roll-off(ro-ro) passenger ships.
    Chapter VI, which currently addresses only proficiency in survival 
craft and rescue boats, is expanded to require familiarization training 
or instruction for all seafarers, and basic safety-training for those 
who have safety or pollution-prevention duties.
    Chapter VII allows for alternative-certification systems under 
which certificates could be issued on the basis of functions combined 
in ways that differ from those associated with traditional shipboard 
capacities under Chapters II, III, and IV. This flexibility is subject 
to a number of restrictions under the STCW Regulations in Chapter VII. 
The Coast Guard is not planning, at this time, to incorporate 
provisions for alternative certification without further evaluation and 
industry support. The Coast Guard requests comments on the application 
of Chapter VII to U.S. licensing and documentation.
    In the 1995 Amendments to STCW, all watchkeeping provisions are 
consolidated under new Chapter VIII and the associated sections of the 
STCW Code. New STCW Regulation VIII/1 requires Administrations to 
establish and enforce rest-hour requirements for watchkeeping personnel 
to prevent fatigue.
    2. Scope of application. STCW applies to seagong ships (except 
pleasure craft, fishing vessels, and ships entitled to sovereign 
immunity such as warships). Article II defines a seagoing ship as a 
ship other than one that ``navigate[s] exclusively in inland waters or 
in waters within, or closely adjacent to, sheltered waters or areas 
where port regulations apply.'' This proposed rule, which implements 
STCW, applies to any commercial vessel that operates seaward of the 
boundary lines established by 46 CFR part 7.
    The Coast Guard does not intend to apply the requirements of STCW 
to vessels that operate exclusively on the inland waters of the United 
States. However, some of the proposals would have the effect of 
modifying how the Coast Guard does business and the conditions under 
which it would consider approving a program of training and assessment 
for qualifying an individual for a license, document, or endorsement. 
It does not intend to restrict, to ocean and near-coastal licenses and 
documents, procedures that may also be suitable to training for inland 
licenses. The Coast Guard solicits comments on the potential effects on 
candidates for inland licenses and documents, and on the enterprises 
that offer training to such candidates.
    The Coast Guard does not consider STCW to apply directly to 
personal serving on ships that operate exclusively on the Great Lakes. 
However, individuals using time served on such vessels toward an ocean 
or near-coastal license, and those who are being trained at training 
institutions that serve mariners in the Great Lakes region, need to be 
aware of the requirements that mariners must meet to hold STCW 
Certificates if those mariners will be serving on ships in ocean 
service.
    One comment submitted in response to the request for comments 
published in the Federal Register on August 2, 1995 [60 FR 39306], 
requested that the Coast Guard consider deferring implementation of the 
1995 Amendments to STCW in respect of Mobile Offshore Drilling Units 
(MODUs). The comment pointed out a resolution adopted by the 1995 
Conference of Parties to STCW, noting that time constraints had not 
allowed full consideration to the possibility of including provisions 
on the training and certification of maritime personnel employed on 
board MODUs. The resolution invites IMO to consider developing 
provisions addressing this matter under STCW, or in such other 
instrument as may be appropriate.
    The resolution referred to in the comment recommends special 
training and certification for industrial personnel serving on MODUs 
because of the specialized nature of MODUs' operations. To the extent a 
MODU is a seagoing ship under STCW, this proposed rule would apply to 
seafarers serving on one. On the other hand, in approving specific 
training programs, the Coast Guard would take into consideration, and 
would use as the basis for its evaluation of training programs, any IMO 
resolutions that provide special guidance relating to the training of 
personnel on MODUs.
    In this regard, the following three IMO resolutions are 
particularly relevant: A.538(13), ``Maritime Safety Training of 
Personnel on Mobile Offshore Units''; A.712(17), ``Recommended 
Standards of Specialized Training, Qualifications and Certification of 
Key Personnel Assigned Responsibility for Essential Marine Functions of 
Mobile Offshore Units''; and A.828(19), ``Recommendation on Maritime 
Safety and Emergency Preparedness Training for all Personnel on Moble 
Offshore Units''.
    The comment also suggested that the Coast Guard accept or recognize 
certificates issued by another Party to STCW for service on MODUs. The 
Coast Guard does not consider this request to be viable at this time. 
The issue of recognition is complicated by citizenship requirements 
that apply to the following: (a) candidates for U.S. licenses and 
certificates of registry under 46 U.S.C. 7102, (b) crewmembers on 
documented vessels of the United States under 46 U.S.C. 8103, and (c) 
MODUs operating on the U.S. outer continental shelf under 43 U.S.C. 
1356. Another issue would be the principle of reciprocity or mutual 
recognition between U.S. and non-U.S. certificates.
    3. License structure. The Coast Guard would not, by this proposed 
rule, replace the existing license structure with the license structure 
presented in STCW. The 4-level license structure in Part 10 would 
persist (e.g., chief engineer, 1st, 2nd, and 3rd assistant engineer 
officer, and 3 levels of mate under the master). Although the STCW 
structure is less complicated than the U.S. structure, the Coast Guard 
does not consider it appropriate or expedient to propose a 
comprehensive change in this rulemaking.
    Some of the STCW terms must be introduced into U.S. regulations to 
ensure that holders of U.S. licenses would be entitled to hold the 
appropriate STCW certificate. The Coast Guard is concerned, however, 
that the elimination of the existing categories of license might create 
difficulties for certain segments of the industry, or could have 
unintended impacts on established career patterns in the maritime 
industry. In addition, it may

[[Page 13287]]
necessitate changes in the terms used in the manning-complement section 
of the U.S. Certificate of Inspection.
    Trying to anticipate and address all of these possibilities could 
unnecessarily complicate promulgation of a rule intended only to 
implement new STCW requirements. The requirement for promulgating a 
rule by February 1, 1997, has precluded the opportunity for assessing 
the implications at this time. However, the Coast Guard is interested 
in comments on adjustments to the current U.S. licensing structure, to 
bring it into closer alignment with the STCW structure.
    4. Documentation. Although the 1995 Amendments to STCW will permit 
the use of an STCW document to serve as both an individual's 
certificate of competency and an endorsement that the candidate meets 
STCW requirements, the Coast Guard plans to retain a distinction 
between the U.S. license and the STCW endorsement for the time being. 
In other words, each licensed officer who will be serving on a seagoing 
vessel will be issued both a U.S. license and a separate STCW 
endorsement. Of course, an STCW endorsement will have no validity 
unless accompanied by its holder's license.
    5. Communication to IMO. In proposing this rule, the Coast Guard 
has been cognizant of its future obligation to submit to IMO a detailed 
description of how the United States complies with the 1995 Amendments 
to STCW. Under new STCW Regulation I/7, each Party must prepare a 
report on the steps it has taken to give the Convention ``full and 
complete effect.''
    When complete information has been provided to IMO, and the 
Secretary-General of IMO has confirmed that in fact full effect has 
been given to STCW, the Maritime Safety Committee will be invited to 
formally confirm and identify the Party as having done so, and other 
Parties will be entitled to accept certificates issued by that Party as 
being in compliance with Convention requirements.
    It will be important for the United States to be able to satisfy 
the requirements that earn this international recognition. This 
rulemaking is an essential step toward meeting that objective.
    6. Tonnage. Both the U.S. licensing structure and the STCW 
structure employ tonnage thresholds in establishing requirements for 
training and certification. However, the U.S. structure includes 
several tonnage divisions not used in STCW, particularly in respect of 
lower-tonnage licenses. Also, these tonnage divisions are keyed to the 
tonnage of ships as determined under the regulatory tonnage-measurement 
system, which exempts certain spaces in calculating gross register tons 
(GRT) and therefore can result in lower tonnage values than 
calculations based on the International Convention on Tonnage 
Measurement of Ships, 1969 (ITC).
    The 1995 Amendments to STCW include adjustments in the tonnage 
thresholds from 200 GRT to 500 gross tons (GT); and from 1,600 GRT to 
3,000 GT that reflect a relatively close alignment between the various 
domestic tonnage systems used around the world and the ITC tonnage-
measurement system. The new STCW Regulation I/15, on Transitional 
Provisions, allows Parties to reissue or revalidate certificates 
(licenses) based on the lower tonnage values by substituting 500 GT for 
200 GRT, and 3,000 GT for 1,600 GRT, at their discretion.
    A number of alternatives are available for addressing tonnage in 
the implementation of the 1995 Amendments to STCW. A threshold of 3,000 
GT can be added as a new category of licensing without deleting any 
existing category. Under this alternative, the requirements for the 
3,000-GT license would be identical to the requirements for a 1,600-GRT 
license; and anyone holding a 1,600-GRT license for service on a ship 
on near-coastal or ocean service would be entitled to hold an STCW 
endorsement for service on seagoing ships of 3,000 GT. Similarly, an 
individual holding a 200-GRT license would be entitled to hold an STCW 
endorsement for service on seagoing ships of 500 GT.
    Another alternative would be to add a threshold of 3,000 GT as a 
new category of license, and delete the threshold of 1,600 GRT. Under 
this alternative a transition mechanism would be implemented by 
regulation or by policy guidance to ensure that holders of 1,600-GRT 
licenses were issued 3,000-GT licenses at the time of renewal.
    A different approach would be needed to align the 200-GRT and 500-
GRT thresholds in 46 CFR part 10 with the 500 GT threshold in the STCW 
Amendments, because the 500-GRT license entails special requirements 
that apply to certain classes of ships (i.e., OSVs). At the present 
time, it appears that these thresholds must be retained, and policy 
guidance will be developed for issuing an STCW endorsement at the 500-
GT level, with the appropriate service limitations.
    Comments on these or other alternatives may be submitted to the 
docket and will be considered before a final rule is published. In 
deciding how to proceed, the Coast Guard would make every effort to 
avoid penalizing either the holders of existing licenses or the 
operators of vessels that have exercised their option to be measured 
under the regulatory-tonnage-measurement system.
    7. Medical fitness. The 1995 Amendments to STCW include a 
requirement for Parties to establish standards of medical fitness for 
seafarers, particularly regarding eyesight and hearing (STCW Regulation 
I/9). Under STCW as amended, candidates for certification will have to 
provide satisfactory proof that they meet the standards of medical 
fitness; and they must each hold a document attesting their medical 
fitness, issued by ``a duly qualified medical practitioner recognized 
by the Party.''
    Criteria and procedures for medical fitness are already established 
by 46 CFR parts 10, 12, and 13. They include the following sections: 
Sec. 10.205(d), physical-examination requirements for original 
licenses; Sec. 10.207(e), physical requirements for raise of grade of 
license; Sec. 10.209(d), physical requirements for license renewals; 
Sec. 10.709, physical-examination requirements for pilots; Sec. 12.02-
27, physical requirements for renewal of a merchant mariner's document; 
Sec. 12.05-5, physical requirements for Able Seamen; Sec. 12.15-5, 
physical requirements for qualified members of the engine department; 
and Sec. 13.125, physical requirements for tankermen.
    There are currently no internationally agreed-upon standards of 
medical fitness for seafarers, except in respect of eyesight (which 
appear in section B-I/9 of the STCW Code). The 1995 STCW Conference 
adopted a resolution that (a) noted that the International Labor 
Organization (ILO) and the World Health Organization (WHO) are 
undertaking research into existing medical-examination requirements for 
seafarers on a global basis and (b) invited IMO to develop 
international standards of medical fitness for seafarers, in 
cooperation with the ILO and WHO. This matter is now on the work 
program of the IMO Sub-Committee on Standards of Training and 
Watchkeeping (STW). It is unlikely that such standards will be 
established before this proposed rule would be published as a final 
rule.
    Meanwhile, the Coast Guard has been working with MERPAC to 
determine whether there is a need for more explicit physical standards 
for entry-level personnel. The Coast Guard is also continuing to work 
with the Maritime Administration in promoting the

[[Page 13288]]
Seafarers Health Improvement Program, which includes guidance for 
physical examinations for both entry of seafarers into, and retention 
in, the U.S. merchant marine.
    The Coast Guard is also in the process of reviewing and revising 
Navigation and Inspection Circular Number (NVIC) 6-89, ``Physical 
Evaluation Guidelines for Merchant Mariners' Documents and Licenses,'' 
which identifies disqualifying medical conditions. As noted in one 
comment submitted to the docket in response to the notice published on 
August 2, 1995, medical-fitness standards must take into account the 
job description for the positions to be filled by the individual 
concerned, and the implications for both employees and employers under 
the Americans with Disabilities Act (ADA).
    Taking the preceeding discussion into account, the Coast Guard is 
not venturing into any specific new medical-fitness standards in this 
proposed rule. However, to ensure compliance with the requirements of 
new STCW Regulation I/9, this rule includes a provision stating that 
each applicant for an entry-level MMD must provide a document issued by 
a qualified medical practitioner attesting the prospective seaman's 
medical fitness for anticipated shipboard duties (Sec. 12.02-07).
    The Coast Guard invites comments on the need for and feasibility of 
establishing more prescriptive medical standards for entry-level 
personnel and particularly for personnel with duties in safety or 
pollution-prevention. It also invites comment on whether a licensed 
nurse practitioner should be considered a ``qualified medical 
practitioner'' for assuring medical fitness under U.S. regulations.
    8. Quality-standards system (QSS). The 1995 Amendments to STCW 
include a new requirement (STCW Regulation I/8) for Parties to ensure 
that all training and assessment are ``continuously monitored through a 
quality-standards system to ensure achievement of defined objectives, 
including those concerning the qualifications and experience of 
instructors and assessors.'' Furthermore, the new STCW Regulation 
provides that an evaluation be conducted periodically by qualified 
persons, not involved in the activities concerned. The associated 
sections of the STCW Code expand on this STCW Regulation by outlining 
the requirements for a QSS in Part A, and then by additional guidance 
in Part B. For example, A-I/8 states that independent evaluations of 
assessments are to be conducted ``at intervals of not more than 5 
years.'' Furthermore, the results of these evaluations are to be 
reported to IMO, in accordance with STCW Regulation I/7.
    To a large degree, the current process of the Coast Guard for 
course approval meets the requirements of new STCW Regulation I/8, but 
this process is limited to specific required training (such as 
firefighting or radar), or training intended to substitute for part of 
a sea-service requirement. As discussed in more detail relative to 46 
CFR Part 10 under Approved training, the 1995 Amendments to STCW expand 
the instances where approved training must or may be used to meet 
competence requirements. A QSS will be required for all such training.
    This proposed rule incorporates elements that conform to the STCW 
requirements for a QSS for training and assessment activities, but that 
would at the same time take into consideration the impact on Coast 
Guard resources that may be needed for effective supervision. The 
proposed rule is intentionally drafted to allow for a variety of QSSs 
that may be tailored to suit particular programs of training and 
assessment. They are also designed to ensure that no QSS imposes 
unreasonable costs on small enterprises or entities that offer training 
programs whether limited in scope or offered only to a restricted pool 
of seafarers and programs that, regardless, may be conducted either on 
board ship or at shoreside.
    The Coast Guard invites comments on the extent to which the 
following systems or processes, or a combination of such systems or 
processes, should be accepted as meeting the QSS requirements of the 
1995 Amendments to STCW:
    (a) Periodic accreditation under a recognized process like the 
regional accreditation used by high-level academic institutions in the 
United States, such as the Middle States Association of Colleges and 
Schools, provided that the process can be appropriately modified to 
explicitly cover maritime training and take into account guidance 
regarding quality-standards provided in part B-I/8 of the STCW Code.
    (b) Periodic Accreditation by an independent professional agency, 
or a voluntary association of trade and technical schools, that has 
membership standards and a procedure for accreditation that takes into 
account guidance regarding quality-standards provided in part B-I/8 of 
the STCW Code.
    (c) Periodic certification, by a State board of education, or other 
suitable regulatory body at the State level, establishing that a 
particular training program or institution is authorized to issue 
certificates of completion of training requirements in a relevant 
maritime field, if the supervising process takes into account guidance 
regarding quality-standards provided in part B-I/8 of the STCW Code.
    (d) Periodic certification by an organization accepted or 
authorized by the Coast Guard, such as a ship-classification society, 
that has developed a certification process for maritime-training 
programs based on guidance regarding quality-standards provided in part 
B-I/8 of the STCW Code, or has suitably adapted such a process from the 
standards, guidelines, and principles contained in the ISO 9000 series, 
or from the equivalent Quality management and Quality Assurance 
Standards developed by the American National Standards Institute 
(ANSI).
    (e) Periodic evaluation by a panel or team of maritime-education 
specialists, made up of professional staff from the State or Federal 
maritime academies, or from other recognized maritime-training 
institutions. The evaluation would be based on an industry standard to 
be developed, and guidance regarding quality-standards provided in part 
B-I/8 of the STCW Code.
    The Coast Guard is continuing to work with MERPAC to identify how 
best to introduce an effective QSS. It will consider the 
recommendations of MERPAC that came from its first meeting in 1996 in 
drafting the final rule.
    For further discussion on qualifications of instructors and 
assessors, see the section on Approved training other than approved 
courses.
    9. Simulators. The 1995 Amendments to STCW promote the use of 
simulators for training and assessment by (a) requiring the proper use 
of radar and ARPA simulators in training, and (b) allowing the use of 
simulation as a tool for assessing the competence of candidates for 
certification. The amendments also set out performance standards for 
simulators used for conducting required training or assessment. An 
opportunity for grandfathering simulators installed or brought into use 
before February 1, 2002, is provided under STCW Regulation I/12.
    Current domestic rules require the use of simulators for those 
training to qualify as radar observers (46 CFR 10.305 and 10.480) and 
promote the use of simulator training promoted by allowing it to count, 
in conjunction with approved training, as an equivalency for

[[Page 13289]]
up to 25 percent of required sea service (46 CFR 10.304(d)).
    A new study by the Marine Board of the National Research Council 
(NRC) examines the role of ship-bridge simulation in the professional 
development and licensing of mariners responsible for vessels' 
navigation and piloting. The study, entitled ``Simulated Voyages'' 
recommends steps to increase the use of simulators in maritime training 
and assessment. The Coast Guard considers this proposed rule for 
implementing STCW to be consistent with the study and its conclusions. 
This rule is intended to allow introduction of the most effective use 
of simulators into maritime training and assessment taking place in the 
United States.
    In this regard, the Coast Guard has also been working with the 
maritime academies in developing guidelines on the use of simulators 
there. The Maritime Academies Simulator Committee (MASC) includes 
representatives from the six State maritime academies, the Maritime 
Administration (MARAD), and the Coast Guard. The outcome of the efforts 
of this committee will figure in drafting the final rule.
    Because of the wide variety of interpretations given to the term 
``simulation,'' the Coast Guard invites comments on the need for 
introducing definitions, or technical performance standards, into the 
rules, and on the extent to which, or the conditions under which, 
personal computer-based training should be classified as falling within 
the scope of simulator training.
    10. Effective dates. As noted earlier, the 1995 Amendments to STCW 
come into force on February 1, 1997. However, STCW Regulation I/15, on 
transitional provisions, allows some requirements to come into force 
more gradually. The Coast Guard will be working at IMO to establish an 
international agreement on precisely which requirements must come into 
force as of February 1, 1997. Any agreement reached at IMO will be 
taken into figure in drafting the final rule.
    STCW Regulation I/15 provides that a Party may continue, until 
February 1, 2002, to issue certificates (licenses) in accordance with 
the domestic rules it has in place before the 1995 Amendments come into 
force (February 1, 1997) only in respect to seafarers who begin their 
sea service or their approved maritime training before August 1, 1998. 
Candidates who begin their service or their training after then will be 
subject to the full application of the revised STCW requirements.
    Where options presented by this proposed rule would be to the 
advantage of the maritime industry in the United States, there may be 
no need to defer or delay implementation. Comments on the most suitable 
effective dates for new requirements associated with such matters as 
the QSS and the process for identifying qualified instructors and 
assessors should be submitted to the docket.

46 CFR Part 10--Licensing of Maritime Personnel

1. Purpose of Regulations

    The Coast Guard would revise Sec. 10.101(a) to reflect that the 
purpose of part 10 is twofold. This proposed rule is intended to 
provide, first, a means of determining that an applicant is qualified 
to hold a U.S. license and, second, a means of determining that an 
applicant is competent to hold an STCW certificate or endorsement to 
serve in a particular shipboard position. The use of the term ``STCW 
certificate or endorsement'' would allow the Coast Guard to combine the 
U.S. license and the STCW endorsement into a single document at some 
time in the future, for administrative convenience.

2. Approved Training

    The Coast Guard would revise Sec. 10.101(c) to indicate that 
Subpart C of Part 10 would apply not only to approved training used for 
remission of seagoing service but also to all training and assessment 
that must be approved as meeting the requirements of STCW. For 
additional discussion of approved training see the discussion of 
Sec. 10.309 under Approved training other than approved courses.

3. Incorporation by Reference

    The Coast Guard would introduce the necessary language in 
Sec. 10.102 to allow technical requirements of the 1995 Amendments to 
STCW and to the STCW Code to be incorporated by reference into specific 
rules in part 10.

4. Definitions

    The Coast Guard would add a number of new definitions in 
Sec. 10.103. These include approved training because virtually all 
training required under STCW is subject to approval to ensure that it 
meets the relevant provisions of STCW. However, such training is 
distinct from training provided in the context of a course approved by 
the Coast Guard for use as a substitute for sea service. Under this 
proposed rule, training could be ``approved'' for the purposes of STCW 
if it met certain minimal conditions, as set out in Sec. 10.309. Refer 
to the discussion of that section (paragraph 12) for more details.
    The proposal also includes a definition for Coast-Guard-accepted. 
This term is used in a number of regulations to indicate that, although 
the Coast Guard would not in some cases engage in a formal approval 
process, it would maintain certain standards of practice by accepting 
materials or processes as meeting the applicable requirements, or by 
authorizing a third party to do so on its behalf under a Memorandum of 
Agreement.
    This proposed rule also defines approved instructor as a person 
trained or instructed in instructional techniques and qualified to 
provide required training to candidates for licenses, documents, and 
endorsements.
    A definition of STCW endorsement also appears in Sec. 10.103 
because that term occurs with some frequency in the proposed rule, and 
the definition would give this endorsement a special legal significance 
as a document issued under Part 10 to those found in compliance with 
STCW Standards of Competence.
    For the purposes of this proposed rule, the Coast Guard assumes 
that Part 10 will also include a number of new definitions along the 
lines of those being developed for docket number CGD 94-055, the 
project on licensing requirements for officers of towing vessels, 
including the following:
    (a) Designated examiner means an individual trained or instructed 
in assessment techniques and otherwise qualified to evaluate whether a 
candidate for a license, document, or endorsement has achieved the 
level of competence necessary to hold the license, document, or 
endorsement. This individual may be personally designated by the Coast 
Guard, or be designated within the context of a Coast-Guard-approved 
program of training or assessment.
    (b) Standard of competence means the level of proficiency necessary 
for the proper performance of duties on board vessels in accordance 
with national and international criteria.
    (c) Practical demonstration means the performance of an activity 
under the direct observation of a designated examiner for the purpose 
of establishing that the performer is sufficiently proficient in a 
practical skill to meet a specified standard of competence or other 
objective criterion.
    These are not final definitions, and comments made on their 
applicability to STCW requirements will be taken into account in the 
rule on towing vessels to ensure that that final rule winds up 
consistent with all the changes being made to Part 10 by this. Both 
rules will also maintain uniformity with the definitions of identical 
terms used in

[[Page 13290]]
part 12. This will be discussed further under Sec. 12.01-6.

5. Paperwork Approval

    If this proposed rule finally results in new reporting and 
recordkeeping requirements, Sec. 10.107 will refer to the appropriate 
OMB control numbers.

6. Eligibility for Licenses

    The Coast Guard would revise paragraph (a) of Sec. 10.207 to 
reflect that, in some cases, candidates must provide proof of having 
successfully completed practical demonstrations of certain skills. 
Demonstration requirements are further specified in proposals relating 
to Secs. 10.205, 10.910, and 10.950.

7. Issuance of Licenses

    The Coast Guard would revise Sec. 10.202 to ensure that anyone 
qualified for an STCW certificate or endorsement is issued the 
appropriate documents at the same time as a license.

8. Requirements for Original Licenses

    Under Sec. 10.205, the Coast Guard would incorporate a number of 
new requirements from the 1995 Amendments to STCW, as follows:
    (a) Firefighting. Under paragraph (g) of Sec. 10.205, every 
candidate for a license--as master or mate of a vessel on near-coastal 
or ocean service, as an operator of an uninspected passenger vessel 
operating beyond the boundary line, for service on a MODU, and as an 
engineer--will have to meet the standard of competence in basic and 
advanced firefighting set out in STCW Regulations VI/1 and VI/3 and in 
Part A of the associated sections of the STCW Code. This proposed rule 
assumes that operators of seagoing towing vessels will be classified as 
masters or mates under a separate rulemaking [CGD 94-055]. If they are 
not, then the final rule in this will restore the reference to 
operators of such vessels.
    A second provision would allow the Coast Guard to approve a 
firefighting course or training program specially designed for a 
particular ship or type of service. This is consistent with the 
exemption in STCW Regulation II/3 of the 1995 Amendments, which 
concerns certification of masters and mates on ships of less than 500 
GT and states that

[t]he Administration, if it considers that a ship's size and the 
conditions of its voyage are such as to render the application of 
the full requirements of this regulation and section A-II/3 of the 
STCW Code unreasonable or impracticable, may to that extent exempt 
the master and the officer in charge of a navigational watch on such 
a shop or class of ships from some of the requirements, bearing in 
mind the safety of all ships that may be operating in the same 
waters.

    The Coast Guard expects to apply this flexibility, for instance, in 
approval of a firefighting course or training program for licensed 
personnel serving on small passenger vessels engaged in near-coastal 
voyages. In these cases, the Coast Guard would take into consideration 
the firefighting equipment whose fitting is actually required on such 
vessels, as well as the complexity of firefighting that may take place 
on such vessels. The Coast Guard invites comments on the scope, 
content, and skills-assessment techniques that it should include in 
these limited or modified courses or training programs.
    (b) Automatic Radar-Plotting Aids (ARPA). The Coast Guard would 
revise Sec. 10.205 by adding a new STCW requirement for every candidate 
for a license--as master or mate of vessels on near-coastal or ocean 
service, or as operator of uninspected passenger vessels operating 
beyond the boundary line--to establish competence in the use of ARPA. 
Candidates would have to have ARPA-simulator training. However, this 
requirement would not apply to those who will be serving on vessels not 
fitted with ARPA; in such cases, the license and STCW endorsement would 
state the lack of the training. (For further discussion of radar-
training requirements, see the discussion of Sec. 10.480 at page 46.)
    (c) Certificate for Operator of Radio in Global Maritime Distress 
and Safety System (GMDSS). The Coast Guard would revise Sec. 10.205 by 
adding a new STCW requirement that every candidate for a license--as 
master or mate of a vessel on near-coastal or ocean service--hold a 
Certificate for Operator of Radio in Global Maritime Distress and 
Safety System issued by the Federal Communications Commission (FCC) 
under its regulations (47 CFR Part 13), or a certificate of completion 
of an FCC-approved or Coast Guard-approved Certificate for Operator of 
Radio in Global Maritime Distress and Safety System. However, this 
requirement would not apply to those who will be serving on vessels not 
required to participate in the GMDSS system under FCC regulations (47 
CFR Part 80) and Chapter IV of the International Convention on Safety 
of Life At Sea (SOLAS). Seagoing cargo ships of 300 GTs and seagoing 
passenger ships must meet GMDSS requirements. On the other hand, some 
mates or masters may have to hold GMDSS certificates before this 
proposed rule would become final in any form, if they are designated to 
serve as primary or secondary GMDSS operators under FCC regulations.
    One comment submitted in response to the request for comments 
published in the Federal Register on August 2, 1995 [60 FR 39306], 
urged the Coast Guard to provide for ``maintenance of GMDSS and radio 
equipment in the revisions of the licensing and documentation 
regulations to reflect the STCW Amendments.'' The comment also said ``a 
communications and electronics position should be established 
incorporating the skills of the traditional Radio Officer and those of 
an electronics specialist.'' The comment also asserted that the Coast 
Guard, rather than the FCC, should certify training facilities and 
testing facilities for the GMDSS. Lastly, the comment said the Coast 
Guard should consider establishing standards of competence for 
shipboard radio-electronics personnel responsible for distress and 
emergency communications.
    For regulatory purposes, the Coast Guard considers this comment to 
raise four distinct issues. Only two of these fall directly in the 
scope of the present rulemaking, to implement the 1995 Amendments to 
STCW. Qualifications of those who will be maintaining GMDSS and radio 
equipment, and their training and testing, are subjects within the 
scope of this project. A proposal for establishing an electronics-
technician endorsement appears under part 12 (in new Sec. 12.25-45).
    Proposals for the establishment of a new crew position on U.S. 
ships, to be dedicated to communications and electronics, or 
modification of radio officers' role to encompass all GMDSS-related 
responsibilities, lie outside the scope of this rulemaking. STCW does 
not impose manning requirements on seagoing ships. On the other hand, 
the new certification standards may have implications for crew 
complements; therefore, the Coast Guard has included a proposal for 
revising part 15 concerning the ability of the electronics technician 
to perform at-sea maintenance of GMDSS installations when the ship is 
required to have that onboard-maintenance capability as one of the 
options under the GMDSS provisions of SOLAS. That proposal pertains to 
Sec. 15.401.
    With respect to the role of the Coast Guard and the FCC in 
regulating maritime communications, the Coast Guard currently 
recognizes the FCC as the agency with primary responsibility for 
establishing U.S. requirements for holding radiocommunications licenses 
or radio operators' certificates. This responsibility is complemented 
by the

[[Page 13291]]
Coast Guard's authority for issuing radio officers' licenses. This 
proposed rule honors the complementary roles of both agencies, while 
taking into account the fact that adjustments may be made in the future 
on how these roles are allocated and carried out. Comment to the docket 
is welcome on whether the Coast Guard should be involved in approving 
the GMDSS training program, as it is proposing to be. The Coast Guard 
will also be looking at this issue in light of section 365 of the 
Telecommunications Act of 1996 (Public Law 104-104) which will allow a 
vessel to operate without a radio officer if it is determined that the 
vessel is properly fitted with equipment to implement GMDSS, and the 
equipment is in good working condition.
    (d) Personal survival techniques. The Coast Guard is proposing to 
revise Sec. 10.205 by adding a new STCW requirement--for every 
candidate for a license as master, mate, or engineer on a vessel on 
near-coastal or ocean service, or for a license as operator of 
uninspected passenger vessels operating beyond the boundary line, or 
for a license for service on a MODU--to present proof of having 
received approval training or instruction in personal survival 
techniques (i.e., survival at sea in the event of abandoning ship). The 
object of the training is to ensure that the candidate meets the 
standard of competence in personal survival techniques set out in STCW 
Regulation VI/1 and in table VI/1-1 in section A/VI/1 of the STCW Code. 
The Coast Guard intends to accept training and assessment which is 
based on documented practical experience.
    The Coast Guard is also proposing to approving a personal survival 
course of training especially designed for a particular ship or type of 
service. This is consistent with the flexibility conferred by section 
A-VI/1, paragraph 3, of the STCW Code that concerns familiarization and 
basic safety-training and states that

[t]he Administration may, in respect of ships other than passenger 
ships of more than 500 gross tonnage engaged on international 
voyages and tankers, if it considers that a ship's size and the 
conditions of its voyage are such as to render the application of 
the full requirements of this section of the STCW Code unreasonable 
or impracticable, exempt to that extent the seafarers on such a ship 
or class of ships from some of the requirements, bearing in mind the 
safety of people on board, the ship and property and the protection 
of the environment.

    The Coast Guard expects to apply this flexibility, for instance, in 
approval of personal survival training for licensed personnel serving 
on small vessels engaged in near-coastal voyages. The Coast Guard 
invites comment on the scope, content, and skills-assessment techniques 
that should be included in this limited or modified training.
    (e) Personal safety and social responsibilities. The Coast Guard is 
proposing to revise Sec. 10.205 by adding a new STCW requirement--for 
every candidate for a license as master, mate, or engineer on a vessel 
in near-coastal or ocean service, or for a license as an operator of 
uninspected passenger vessels operating beyond the boundary line, or 
for a license for service on a MODU--to present a certificate of 
completion of approved training in personal safety and social 
responsibilities (e.g., taking proper actions in emergencies, taking 
precautions to prevent pollution, observing safe working practices, 
understanding and communicating orders, and contributing to effective 
human relationships on board ship by being aware of employment 
conditions, individual rights and obligations, dangers of alcohol 
abuse, etc.). The object is to ensure that the candidate meets the 
standard of competence in personal safety and social responsibility set 
out in STCW Regulation VI/1 and in table A-VI/1-4 in section A/VI/1 of 
the STCW Code.
    The Coast Guard is also proposing to let itself approve a course in 
personal safety and social responsibilities especially designed for a 
particular ship or type of service. This is consistent with the 
exemption in section A-VI/1, paragraph 3, of the STCW Code quoted under 
paragraph (d) Personal survival techniques.
    The Coast Guard invites comments on the scope, content, and skill-
assessment techniques that belong in this limited or modified training.
    The Coast Guard anticipates that the requirements for firefighting, 
personal survival, and personal safety and social responsibility 
including pollution prevention can be combined into a single course of 
training or instruction, which also includes elementary first aid, to 
meet the basic safety-training requirements of section A-VI/1, 
paragraph 2, of the STCW Code. This will be particularly true with 
respect to operators of uninspected passengers vessels (OUPVs) 
operating seaward of the boundary line. The Coast Guard intends to 
develop a checklist of elementary basic safety-instruction that 
candidates for OUPV licenses could have confirmed by boating-safety 
instructor from the Coast Guard Auxiliary or the Red Cross, or by a 
suitable official from the local firefighting department. The Coast 
Guard invites comments on what belongs in this elementary basic safety 
checklist.
    After receiving the basic safety-training or instruction, the 
license-holder must every 5 years provide evidence of having maintained 
the required standard of competence, by providing evidence at the time 
of renewal that he or she has demonstrated competence and has been 
examined or continuously assessed as part of an approved training 
program, in accordance with the tables in section A-VI/1, paragraph 2, 
of the STCW Code. This matter gets closer scrutiny in the discussion 
under paragraph 9, Requirements for renewal of licenses.
    (f) Procedures for bridge team-work. The Coast Guard would revise 
Sec. 10.205 by adding a new STCW requirement for every candidate for a 
license as master, or mate, on a vessel on near-coastal or ocean 
service to know effective bridge-team-work procedures as an essential 
element of the competence to maintain a safe navigational watch. The 
Coast Guard understands bridge-team-work procedures to encompass the 
processes by which the watchkeeping personnel work together efficiently 
and effectively to maintain a continuously safe watch. The concepts 
applied in training and assessment to that end should reflect the 
principles of bridge-resource management that contribute to the most 
effective performance of watchkeeping duties. In this regard, refer to 
the principles of bridge-resource management outlined in section B-VIII 
of the STCW Code.
    (g) Practical demonstration. The Coast Guard would add a new 
subsection to Sec. 10.205 to require that, when a practical 
demonstration of a skill is called for under this section or under a 
provision of STCW referred to in this section the candidate must 
provide sufficient evidence that the skill has been demonstrated 
properly in the presence of a designated examiner. A written record, 
including skills demonstrated, identity of the designated examiner, and 
the results of the demonstration, must be maintained in the applicant's 
license file. The Coast Guard invites comments on the best format for 
maintaining this record. For related proposals, refer to the discussion 
on tables 10.910 and 10.950.

9. Requirements for Raise in Grade of License

    The Coast Guard would revise Sec. 10.207 to require proof that 
candidates for a raise in grade of license have been examined and 
otherwise assessed, to establish that they meet standards of 
competence. In many cases, STCW will

[[Page 13292]]
require assessment by examination and by demonstration of practical 
skills, which will be in addition to any basic qualifications such as 
age, seagoing experience, and training.

10. Requirements for Renewal of Licenses

    The Coast Guard is proposing to add a new subsection under 
Sec. 10.209 to indicate that after July 31, 1998, applicants for 
renewals will have to meet new requirements for holding the original 
licenses at the grades concerned.
    Candidates for renewal of licenses as masters or mates for service 
on vessels in ocean or near-coastal service, or as operators of 
uninspected passenger vessels operating beyond the boundary line, will 
have to have the appropriate training or instruction in firefighting, 
personal survival techniques, and personal safety and social 
responsibility. If the instruction took place more than 5 years ago, 
the candidates will also have to provide proof that competence was 
assessed and validated within the last 5 years. Regardless of the 
schedule under which a candidate's license is renewed, he or she will 
need to receive basic safety training in accordance with dates of 
compliance established in paragraph (b) of Sec. 15.403 for service on a 
seagoing vessel. The Coast Guard intends to accept training and 
assessment which is based on documented practical experience.
    Candidates for renewal of licenses will also need to be trained in 
ARPA if they will be serving on vessels fitted with ARPA and they will 
need to hold a Certificate for Operator of Radio in Global Maritime 
Distress and Safety System if they will be serving on vessels that 
participate in GMDSS.
    The proposed deadline of July 31, 1998, derives from the 
transitional provisions of the 1995 Amendments to STCW, which allow for 
a phase-in of new requirements up to August 1, 1998. STCW Regulation I/
15 permits a Party to renew certificates (licenses) until February 1, 
2002, in accordance with rules that will be in effect before February 
1, 1997. However, to meet the target for full implementation in 2002, 
it is necessary to process renewals in accordance with new requirements 
beginning in 1998.
    With these changes, the renewal process will conform to the 
requirements of new STCW Regulation I/11 (Revalidation of Certificates) 
of the 1995 Amendments.

 11. Required use of Training--And Assessment--record Books

    As noted, the 1995 Amendments to STCW require the use of a 
training- and assessment-record book under some circumstances. The 
Coast Guard is proposing to revise Sec. 10.304 to require use of Coast-
Guard-accepted training- and assessment-record books when candidates 
for deck licenses are using training to substitute of service, and when 
candidates for engineer licenses need onboard training to meet the 
requirements of STCW. A training- and assessment-record book must 
provide certain basic information including an indication, by means of 
the initials or signature of a clearly identified, designated examiner, 
that the candidate has established, through practical demonstrations, 
that he or she is competent in each of the subjects of knowledge, 
understanding, and proficiency set forth in the tables of the 
appropriate section in Part A of the STCW Code.
    The Coast Guard proposes to require the designated examiner to 
certify that he or she has in fact personally witnessed the practical 
demonstration by the candidate.
    STCW requires the training- and assessment-record book to be 
``approved.'' The Coast Guard plans to issue a NVIC or suitable 
regulation in due course that would set out the format or formats that 
it will consider approved (i.e., Coast-Guard-accepted) for the purposes 
of complying with this regulation. Formal approval would take place 
when the record book is submitted as proof that competence has been 
assessed.

12. Approved Training Other Than Approved Courses

    The 1995 Amendments to STCW refer to ``approved training'' in the 
following eight contexts:
    (a) STCW Regulation II/1 states that a candidate for certification 
as officer in charge of a navigational watch must have approved 
seagoing service of not less than 1 year ``as part of an approved 
training program which includes onboard training which meets the 
requirements of section A-II/1 of the STCW Code and is documented in an 
approved training-record book.'' In the absence of an approved training 
program, the candidate must have at least 3 years of approved seagoing 
service.
    (b) STCW Regulation III/1 states that a candidate for officer in 
charge of an engineering watch, or for designated duty engineer, must 
have completed ``approved education and training of at least 30 months 
which includes onboard training documented in an approved training-
record book and meets the standards of competence specified in section 
A-II/1 of the STCW Code.''
    (c) STCW Regulation IV/2 states that candidates for certification 
as persons in charge of or performing radio duties on a ship required 
to participate in the GMDSS must have completed ``approved education 
and training and meet the standard of competence specified in section 
A-IV/2 of the STCW Code.''
    (d) STCW Regulation V/1 requires certain personnel on tankers to 
have completed ``an approved tanker familiarization course'' and ``an 
approved specialized training program.''
    (e) STCW Regulation V/2 requires certain personnel on ro-ro 
passenger ships to have completed ``approved training in crisis 
management and human behavior.''
    (f) Section A-VI of the STCW Code refers to ``approved 
familiarization training'' for all persons employed or engaged on 
seagoing ships other than passengers, and to ``approved basic training 
or instruction'' for seafarers with designated safety or pollution-
prevention duties.
    (g) The table of competence for deck officers (A-II/1) refers to 
``approved radar simulator and ARPA simulator training.''
    (h) The tables of competence throughout part A of the STCW Code 
refer to ``approved training,'' ``approved simulator training'' and 
``approved laboratory equipment training'' as alternative methods 
constituting evidence to prove a candidate's competence.
    The Coast Guard's current course-approval system, as provided in 
Secs. 10.301 to 10.307, applies only to specific mandatory courses such 
as firefighting, radar, and first aid or cardiopulmonary resuscitation, 
and to training used as a substitute for required service or for a 
written examination. There are almost 400 Coast-Guard-approved courses. 
(The procedures necessary to process course approvals appear (as 
outlined in NVIC 5-95, ``Marine Licensing Program's Quality Standards 
System for Approved Training''). An alternative system may be needed to 
regulate approved training conducted to meet STCW requirements but not 
used for remission of seagoing service under Part 10.
    The Coast Guard is working with MERPAC to identify the criteria for 
instructors of approved courses. MERPAC is also looking at the 
relationship of these criteria to the overall requirements for 
monitoring

[[Page 13293]]
training under a quality-standards system that ensures the meeting of 
training objectives. Preliminarily, the MERPAC working groups engaged 
in these efforts have settled on a concept under which the Coast Guard 
would individually certify instructors and examiners whom it finds to 
meet professional and instructional experience. The status and content 
of MERPAC's recommendations on these criteria will influence the final 
rule.
    The Coast Guard is including in this proposed rule an alternative 
to its current course-approval system. Proposed new Sec. 10.309 rests 
on the principle of self-certification with minimum Coast Guard 
oversight based on acceptance by the Coast Guard of certain materials 
and procedures to maintain standards. In other words, completion 
certificates issued by training programs that meet the conditions 
stated in that section could be accepted as meeting the ``approved 
training'' requirements of STCW when such training is not being used 
for remission of seagoing service.
    This could be done by a process like that used to credit ``approved 
seagoing service'' after the fact, on sufficient documentary proof. If 
the Coast Guard learned that the conditions set out in new Sec. 10.309 
were not being met by a particular training program, it would not 
accept certificates of completion as proof that the necessary training 
had been completed. The conditions for conducting approved training 
other than approved courses are set out in new Sec. 10.309.
    This proposal is intended to comply with the requirements of new 
STCW Regulations I/6 and I/8 of the 1995 Amendments. STCW Regulation I/
6 concerns qualifications of those who train or assess the competence 
of seafarers; and STCW Regulation I/8 requires that training and 
assessment of seafarers be continuously monitored through a quality-
standards system to ensure achievement of defined objectives, including 
those concerning the qualifications and experience of instructors and 
assessors.
    The Coast Guard welcomes comments on this alternative approach, 
particularly with respect to (a) Coast Guard involvement in conducting 
oversight and maintenance of standards through a Coast-Guard-acceptance 
procedure and (b) specific training or instruction in instruction or 
assessment that those who instruct or assess candidates for STCW 
certificates or endorsements should be proficient in.

13. Radar Training

    The Coast Guard would revise Sec. 10.480 to require that radar 
simulators used in radar training meet the performance standards set 
out in section A-I/12 of the STCW Code.

14. Requirements for Radio Operators' Certificates

    The Coast Guard would expand Secs. 10.601 and 10.603 to cover 
certification or radio operators for service on ships required to 
participate in GMDSS. Candidates must meet the standard of competence 
set forth in STCW Regulation IV/2 of the 1995 Amendments.
    This proposal is intended to complement that under Sec. 10.205, 
which would require masters and mates to hold a Certificate for 
Operator of Radio in Global Maritime Distress and Safety System (GMDSS) 
if they serve on vessels that participate in GMDSS, and with FCC 
regulations in 47 CFR parts 13 and 80 also allows persons other than 
masters and mates to acquire radio operators certificates from the 
Coast Guard if they have the necessary training and have met standards 
of competence by means of an examination and practical demonstration.
    The Coast Guard invites comment on the most effective process for 
implementing the Certificate requirements for GMDSS radio operator, 
particularly in light of section 365 of the Telecommunications Act of 
1996 which promotes implementation of GMDSS on U.S. vessels.

15. Practical Demonstration

    Subpart I of part 10 (Secs. 10.901 through 10.950) is currently 
limited to identification of subjects in which candidates must be 
examined to qualify for certain licenses. Because qualification for 
STCW certificates or endorsements under the 1995 Amendments to the 
Convention will typically require candidates to prove their competence 
by means of both an examination and a demonstration of skills, the 
Coast Guard is proposing to expand Sec. 10.901 to cover practical 
demonstrations.
    Proposed new Sec. 10.901 provision would incorporate by reference 
the tables in Part A of the STCW Code, with the effect of permitting 
candidates for U.S. licenses to demonstrate their competence by any of 
the methods authorized under those tables.
    The table of subjects (a) adds subjects that will be treated under 
STCW; (b) highlights those subjects for which candidates must perform 
practical demonstrations; and (c) suggests subjects that can be removed 
from the table because not treated under STCW.
    The Coast Guard is also proposing a new subsection to require that 
simulators used in assessment of competency or demonstration of 
continued proficiency must meet the appropriate performance standards 
set out in section A-I/12 of the STCW Code. However, simulators 
installed or brought into use before February 1, 2002, would be exempt 
from full compliance with these standards to the extent that they 
remained capable of meeting the objectives of the assessment of 
competence or demonstration of continued proficiency.

16. Ro-Ro Passenger Ships

    The 1995 Amendments to STCW include new special provisions for 
personnel serving on ro-ro passenger ships. New STCW Regulation V/2 in 
Chapter V of the Annex, and section A-V/2 of the STCW Code, establish 
mandatory minimum standards for the training and certification of 
masters, officers, ratings (i.e., unlicensed seamen with certain 
ratings), and other personnel on ro-ro passenger ships.
    Because there are a number of ro-ro passenger ships documented in 
the United States, of which six operate on international voyages 
between the United States and Canada, the Coast Guard is proposing to 
add a new subpart J in part 10, on ``Professional requirements for 
officers serving on ro-ro passenger ships,'' to implement STCW 
Regulation V/2 in the U.S. licensing system. Primarily, the new subpart 
would incorporate by reference STCW Regulation V/2 and section A-V/2 of 
the STCW Code. This proposed rule would apply only to U.S. Ro-Ro 
passenger ships to which SOLAS Certificates are issued. Comments on 
whether application should be expanded to other classes of U.S. ro-ro 
passenger ships may be submitted to the docket.
    The International Maritime Organization (IMO) will be undertaking 
further work to clarify certain requirements under STCW Regulation V/2. 
In particular, the STCW of IMO will consider training in crisis 
management for masters and senior officers. Any recommendations that 
IMO ultimately adopts in this regard will influence the Coast Guard in 
approving training programs or course materials on this subject.

[[Page 13294]]


46 CFR Part 12--Certification of Seamen

1. Purpose of Regulations

    The Coast Guard would revise Sec. 12.01-1 to reflect that the 
purpose of part 12 is twofold. Part 12 is intended to provide, first, a 
means of determining the qualifications an applicant must possess to be 
eligible for certification to serve on U.S. merchants vessels and, 
second, a means of determining whether an applicant is competent under 
STCW to serve in a particular shipboard position. The Coast Guard is 
also proposing to indicate that new subpart 12.03 prescribes the 
requirements applicable to training and assessment associated with 
meeting the standards of competence under amended STCW.

2. Incorporation by Reference (Sec. 12.01-3)

    The Coast Guard would introduce the necessary language in 
Sec. 12.01-3 to allow technical requirements of the 1995 Amendments to 
STCW and to the STCW Code to be incorporated by reference into specific 
rules in Part 12.

3. Definitions

    As noted in the discussion of Sec. 10.103, the Coast Guard intends 
to maintain consistency in the definitions for identical terms used in 
parts 10 and 12. Consequently, the Coast Guard is proposing for 
Sec. 12.01-6 a number of new definitions that correspond with those 
proposed for Sec. 10.103. These comprise approved training, Coast-
Guard-accepted, designated examiner, practical demonstration, qualified 
instructor, STCW endorsement, and standard of competence.

4. When Documents are Required

    The Coast Guard would revise Sec. 12.02-7 to require individuals 
serving in certain capacities on seagoing ships to hold STCW 
certificates or endorsement stating that they are so qualified.

5. General Provisions Respecting Merchant Mariner's Document (MMD)

    The Coast Guard is proposing to revise Sec. 12.02-11 to ensure that 
everyone qualified for an STCW certificate or endorsement is issued the 
appropriate certificate or endorsement when he or she is issued an MMD, 
or when the MMD is renewed or endorsed. One may be qualified to hold an 
endorsement for a rating forming part of a navigation or engineering 
watch, under STCW Regulation II/4 or III/4 and the corresponding 
section of the STCW Code (A-II/4 or A-III/4), without being qualified 
as an AB or QMED.
    The Coast Guard is also proposing to allow the endorsement of an 
MMD to indicate that the holder has received the familiarization or 
basic safety-training required by chapter VI of STCW as amended. This 
would not be mandatory, but it should be a convenience to those who 
move from ship to ship, or company to company. As in the relevant parts 
of Sec. 10.205, the Coast Guard would be able to approve courses which 
are designed for particular ships or types of service, within the 
limits allowed by STCW.

6. Medical Fitness

    The Coast Guard is proposing to add a new subsection to Sec. 12.02-
17, requiring an applicant for an MMD to present documents issued by a 
qualified medical practitioner attesting the applicant's medical 
fitness to perform the functions for which the document is issued. 
There are currently no medical-fitness requirements for entry-level 
seamen.
    This proposal is intended to comply with new STCW Regulation I/9 of 
the 1995 Amendments, which states that ``each party shall establish 
standards of medical fitness for seafarers, particularly regarding 
eyesight and hearing.'' For further discussion of medical fitness, 
refer to General, at page 9.
    The Coast Guard invites comments on whether additional procedures 
or criteria belong in the rule to regulate medical fitness of entry-
level seamen.

7. Approved Training Other Than Approved Courses

    As discussed under Sec. 10.309, the Coast Guard is proposing an 
alternative to the course-approval system, for accepting training 
programs as ``approved'' to satisfy STCW as amended. The proposal in 
Sec. 12.03-1 is almost identical to the proposal in Sec. 10.309 (with 
necessary editorial adjustments to fit in the context of Part 12). The 
conditions are intended to meet the quality-standards provisions of 
STCW as amended.

8. Able Seaman

    The Coast Guard is proposing to revise the able seamen 
qualifications in Subpart 12.05 to conform with the requirements of the 
1995 Amendments to STCW.
    Section 12.05-3 would expand the reference to ``lifeboatman'' to 
include everyone with ``proficiency in survival craft and rescue 
boats.''
    This section would also add a new subsection to require candidates 
for AB certificates for service on seagoing vessels to receive approved 
basic safety-training as set out in STCW Regulation VI/1 and section A-
VI/1 of the STCW Code (i.e., personal survival techniques; firefighting 
and fire prevention; elementary first aid; and personal safety and 
social responsibilities). As in the relevant parts of Sec. 10.205, the 
Coast Guard would be able to approve courses designed for particular 
ships or types of service, within the limits allowed by STCW. Also, as 
in Sec. 10,209, an applicant for renewal of an MMD with an AB 
endorsement would have to prove that competency was assessed within the 
last 5 years, if instruction took place more than 5 years ago.
    Section 12.05-3 would also require a candidate for an AB 
certificate for service on seagoing ships of 500 GT or more to meet the 
requirements of STCW Regulation II/4, and be qualified to hold an STCW 
certificate or endorsement for a rating forming part of a navigational 
watch. The standard of competence set out in section A-II/4 of the STCW 
Code would be incorporated by reference.
    The table in section A-II/4 of the STCW Code includes a number of 
subjects areas (such as use of gyro compasses, change-over from auto-
pilot, maintenance of a safe watch, knowledge of EPIRBs, and avoidance 
of false alerts) that are not currently required under Sec. 12.05-9 
(examination and demonstration of ability). That section would refer to 
the STCW table.
    Also, each candidate would have to prove that he or she had a 
stated minimum of seagoing service including training and experience 
associated with navigational watchkeeping under the direct supervision 
of the Master, the officer in charge of the navigational watch, or a 
qualified rating.
    The Coast Guard is also proposing to revise Sec. 12.05-11 (general 
provisions respecting MMDs endorsed for able seaman) to indicate that, 
on seagoing ships of 500 GT ton and more, ABs who serve in navigational 
watchkeeping must hold STCW certificates or endorsements for a rating 
forming part of a navigational watch and be qualified in accordance 
with STCW Regulation II/4.

9. Lifeboatman

    The Coast Guard is proposing to revise the lifeboatman 
qualifications in subpart 12.10 to conform with the requirements of the 
1995 Amendments to STCW.
    Section 12.10-3 would expand the reference to ``lifeboatman'' to 
include every mariner with ``proficiency in survival craft and rescue 
boats.'' This section would require candidates to (a) be at least 18 
years of age and (b) have a minimum of 6 months of seagoing

[[Page 13295]]
service when associated with approved training.
    This section would also add a new subsection to require a candidate 
for a certificate for lifeboatman or survival craft to receive approved 
basic safety-training as set out in STCW Regulation VI/1 and section A-
VI/1, paragraph 2, of the STCW Code (i.e. personal survival techniques; 
firefighting and fire prevention; elementary first aid; and personal 
safety and social responsibilities). As in the relevant parts of 
Sec. 10.205, the Coast Guard would be able to approve courses designed 
for particular ships or types of service, within the limits allowed by 
the STCW. Also, a candidate for renewal of an MMD with a lifeboatman 
endorsement would have to prove that competence was established within 
the last 5 years if instruction took place more than 5 years ago.
    Section 12.10-5 would incorporate by reference the standard of 
competence set out in STCW Regulation VI/2 and section A-VI/2 of the 
STCW Code. This would expand the coverage under this section to such 
subjects as methods of starting survival-craft engines use of the fire 
extinguisher provided method of helicopter rescue, effects of 
hypothermia, use of rescue boats for persons in the sea, use of EPIRBS 
and pyrotechnic distress signals, and first aid for survivors. The 
Coast Guard would be able to approve courses designed for a particular 
class of ship or type of service, to take into account such conditions 
as small ships required only to carry liferafts. It would place an 
appropriate limitation on the certificate issued on the basis of such 
training.
    The Coast Guard is proposing to delete Sec. 12.10-7. Individuals 
qualified under STCW Regulation VI/2 must hold certificates stating 
they are qualified. However, by policy, the Coast Guard proposes to 
grandfather those who currently hold AB endorsements. Until August 1, 
1998, it would issue to holders of MMDs with AB endorsements, 
endorsements for proficiency in survival craft when they renew their 
MMDs.
    The Coast Guard is proposing to add a new Sec. 12.10-9 on 
certificates of proficiency in fast rescue boats. This section would 
incorporate by reference both the requirements of STCW Regulation VI/2, 
paragraph 2, and the relevant portions of section A-VI/2 of the STCW 
Code, including table A-VI/2-2. Fast rescue boats are those that can 
sustain speeds of over 20 knots with crews of 3, and over 8 knots with 
full complements of persons and equipment.
    The Coast Guard is also proposing to add a new Sec. 12.10-11 for 
those designated to provide medical care on board ship. This section 
would incorporate by reference the requirements of STCW Regulation VI/4 
and those of section A-VI/4 of the STCW Code. This allows individuals 
not already having to be trained in first aid under other regulations 
(e.g., Sec. 10.205(h) for licenses and certificates of registry) to 
acquire endorsements to provide medical care on board ship.

10. Qualified Member of the Engine Department

    The Coast Guard is proposing to revise the qualifications for 
qualified members of the engine department (QMEDs) in subpart 12.15 to 
conform with the requirements of the 1995 Amendments to STCW.
    Section 12.15-3 would get a new subsection to require candidates 
for QMED certificates for service on seagoing vessels driven by main 
propulsion machinery of 750 kW [1,000 hp] of propulsion power or more 
to receive approved basic safety-training as set out in STCW Regulation 
VI/1 and section A-VI/1 of the STCW Code (i.e., personal survival 
techniques; firefighting and fire prevention; elementary first aid, and 
personal safety and social responsibilities, including pollution 
prevention). As in the relevant parts of Secs. 10.205 and 12.05-3, the 
Coast Guard would be able to approve courses designed for particular 
ships or types of service, within the limits allowed by the STCW. Also, 
as in Sec. 12.05-3, an applicant for renewal of an MMD with a QMED 
endorsement would have to prove that competency was assessed within the 
last 5 years if instruction took place more than five years ago.
    Section 12.15-3 would also require candidates for QMED certificates 
for service on seagoing vessels driven by main propulsion machinery of 
750 kW [1,000 hp] of propulsion power or more to meet the requirements 
of STCW Regulation III/4, and either be qualified to hold an STCW 
certificate or endorsement for a rating forming part of a watch in a 
manned engine-room or be designated to perform duties in a periodically 
unmanned engine-room. The standard of competence set out in section A-
III/4 of the STCW Code would be incorporated by reference.
    The table in section A-III/4 of the STCW Code includes a number of 
subjects (such as engine-room watchkeeping and knowledge of escape 
routes from machinery spaces) not currently covered under Sec. 12.15-9.
    Section 12.15-7 would require a minimum of seagoing service 
performing duties associated with engine-room watchkeeping under the 
direct supervision of a qualified engineer officer or of a member of a 
qualified rating.
    Section 12.15-9 would refer to table A-III/4 of the STCW Code, and 
would require practical demonstration of abilities.
    Section 12.15-11 would indicate that, on seagoing vessels driven by 
main propulsion machinery of 750 kW [1,000 hp] of propulsion power or 
more, QMEDs who serve in a watchkeeping capacity in a manned engine-
room or are designated to perform duties in a periodically unmanned 
engine-room must hold STCW certificates or endorsements stating that 
they are qualified in accordance with STCW Regulation III/4.

11. Electronics Technician

    The Coast Guard would establish a new rating under part 12 by 
adding a section to Subpart 12.25 (Certificates of service for ratings 
other than AB or QMED). New Sec. 12.25-45 would allow an individual to 
hold a certificate or MMD stating that he or she is qualified to serve 
as an electronics technician on board a vessel.
    Section 12.25-45 would require candidates for this endorsement to 
provide sufficient proof of competence. This would comprise (a) a 
certificate of completion from a Coast Guard-approved training program 
that includes instruction and assessment by qualified instructors and 
designated examiners, and makes the student complete appropriate 
examinations and practical demonstrations to establish competence in 
the basic skills, knowledge, and understanding necessary to perform 
maintenance, diagnosis, and repair of electronic equipment and 
installations on board ships, in accordance with the manuals normally 
provided for such equipment and installations and (b) a certificate of 
completion from a course approved by the FCC or Coast Guard and 
covering at least the scope and content of training outlines in the 
relevant sections of B-IV/2 of the STCW Code relating to maintenance of 
GMDSS installations on board ships.
    Under Sec. 12.25-45 an individual could receive an electronic-
technician rating without completing the GMDSS course. However, in that 
case, the endorsement would contain a limitation to the effect that the 
individual could not serve as the person designated to perform at-sea 
maintenance of GMDSS installations when such a person was necessary to 
meet the maintenance requirements imposed by SOLAS Regulation IV/15 
(i.e., ``electronics technician--non-GMDSS)''. When at-sea maintenance 
is

[[Page 13296]]
to be used as a means of meeting the SOLAS requirement for maintenance 
of GMDSS, the person designated to perform the maintenance must have an 
electronics-technician endorsement, without the limitation. While this 
proposed rule would establish an electronics-technician endorsement in 
part 12, the intent is not that there be any restriction on the ability 
of a licensed engineer to acquire the endorsement. The Coast Guard 
solicits comments on whether Part 10 should include additional 
requirements on electronics as a shipboard skill or responsibility, 
particularly in light of section 365 of the Telecommunications Act of 
1996 which promotes the implementation of GMDSS on U.S. vessels.

12. Qualifications for Service on Ro-Ro Passenger Ships

    The Coast Guard would add a new subpart (Sec. 12.30) under part 12 
to establish requirements for certification (i.e., by endorsement of an 
MMD) of unlicensed seamen for service on ro-ro passenger ships. The 
requirements would essentially incorporate by reference the provisions 
of STCW Regulation V/2 as they relate to personnel with specific duties 
on such ships, and those with duties for care of passengers. The 
proposed rule would apply only to U.S. ro-ro passenger ships to which 
SOLAS certificates are issued. Comments on whether application should 
be expanded to other classes of ro-ro passenger ships may be submitted 
to the docket.

46 CFR Part 15--Manning Requirements

    The 1995 Amendments to STCW contain a number of provisions that 
affect manning and watchkeeping on seagoing vessels, as well as 
conditions that must be met before crewmembers can be assigned to 
duties. The Coast Guard is proposing to revise part 15 to incorporate 
these new requirements on U.S. merchant vessels that operate seaward of 
the boundary line.

1. Incorporation by Reference (Sec. 15.105)

    The Coast Guard would introduce the necessary language in 
Sec. 15.105 to allow technical requirements of the 1995 Amendments to 
STCW and to the STCW Code to be incorporated by reference into specific 
rules in part 15.

2. Definitions (Sec. 15.301)

    The Coast Guard would revise this section to reflect changes 
proposed in parts 10 and 12. For example, a reference to GMDSS radio 
operator, electronics technician--non-GMDSS, and electronics technician 
must each be added to paragraph (b) or (c).

3. Employment and Service Within Restrictions of License or Document 
(Sec. 15.401)

    The Coast Guard would expand this section to include references to 
STCW certificates and endorsements. The section would also propose 
that, as of February 1, 2002, only persons with the appropriate 
training and certification as GMDSS radio operators be employed or 
engaged as masters, chief mates, or officers in charge of navigational 
watches on ships required to participate in the GMDSS system under 
SOLAS Chapter IV. Additionally, only persons trained in the use of ARPA 
could be employed or engaged as masters, chief mates, officers in 
charge of navigational watches, or operators of uninspected passenger 
vessels on vessels fitted with ARPA. These requirements would 
complement those for Secs. 10.205 and 10.209.
    Section 15.401 would also, as of February 1, 2002, let only persons 
holding electronic-technician endorsements not limited to non-GMDSS 
electronics installations be designated to perform at-sea maintenance 
of GMDSS installations, when such designation is used to meet the 
maintenance requirements imposed by SOLAS Regulation IV/15. This would 
complement the proposal for Sec. 12.25-45.
    Section 15.401 would also allow only those with proper training 
under subpart J of part 10 and Sec. 12.24-30 of part 12 to be employed 
or engaged on ro-ro passenger ships.

4. Familiarization and Basic Safety-Training (Sec. 15.403)

    The Coast Guard would implement STCW Regulation VI/1 of the 1995 
Amendments by adding new Sec. 15.403 to Part 15 on familiarization and 
basic safety-training. The section would propose that after February 1, 
1997 no person may be assigned to perform any duties on a seagoing 
vessel unless he or she has received approved familiarization training 
in personal survival or has received sufficient information and 
instruction in a number of subjects affecting personal safety, in 
accordance with A-VI/1 of the STCW Code.
    This section would also state that no person may be employed or 
engaged in any capacity on board a seagoing vessel in the business of 
that vessel as part of the crew with designated duties for safety or 
pollution prevention in the operation of the ship unless he or she has 
received approved basic safety-training or instruction in accordance 
with A-VI/1 of the STCW Code. Designated duties for safety include 
those associated with fire-team emergency squads and with assisting 
passengers in emergencies.
    Additionally, this section would provide that no person may perform 
duties on board a seagoing vessel unless he or she has received the 
required familiarization training or instruction, or has achieved the 
required standard of competence through basic safety-training, as 
appropriate.
    Under the relevant parts of Secs. 10.205 and 12.02-11, the Coast 
Guard would be able to approve training designed for particular ships 
or types of service, within the limits allowed by STCW.
    One comment submitted to the docket following the public meeting in 
August expressed concern about the application of these requirements of 
familiarization and basic safety-training to personnel serving on 
MODUs. Again, to the extent a MODU was a seagoing ship under STCW, the 
implementing regulations being proposed at this time would apply to its 
personnel. On the other hand, in approving specific training, the Coast 
Guard will take into consideration, and use as the basis for its 
evaluation, any IMO resolutions that provide special guidance on the 
training of personnel on MODUs.

5. Maintenance of Seamen's Records by Owner or Operator (Sec. 15.411)

    STCW Regulation I/14 of the 1995 Amendments requires 
Administrations to impose certain responsibilities on companies that 
own or operate seagoing vessels. These responsibilities are fundamental 
to good management, are consistent with the principles reflected in the 
International Management Code for Safe Operation of Ships (ISM Code), 
and are to a large extent already covered by domestic regulations.
    For example, the obligation under item 1.1 of STCW Regulation I/14, 
concerning the need to ensure that each seafarer holds the appropriate 
STCW certificate, is addressed by 46 CFR 15.401. The obligation in item 
1.2 of STCW Regulation I/14, concerning compliance with manning 
requirements, is addressed by 46 CFR 15.401 and 15.515, and to some 
extent by 46 CFR 15.801, with statutory support (e.g., 46 U.S.C. 8101 
(c) and (f) and 8104(j)). Similarly, the object of item 1.4 of STCW 
Regulation I/14, ensuring that seafarers are familiar with ship-
specific arrangements, equipment, and so forth, before being assigned 
to duties, is already addressed in 46 CFR 15.405.
    But, because Sec. 15.405 does not explicitly require companies to 
ensure

[[Page 13297]]
that a level of familiarity has been achieved, the Coast Guard is 
inviting comment on whether it should be revised. If so, the Coast 
Guard also invites comments on whether the term company (or, 
alternatively, the term owner or operator) should be defined in Part 
15. The Coast Guard also invites comments on how Sec. 15.405 should be 
revised to effectively implement paragraph 2 of section A.I/14 of the 
STCW code, which states the following:

    The company shall provide written instructions to the master of 
each ship to which the Convention applies, setting forth the 
policies and the procedures to be followed to ensure that all 
seafarers who are newly employed on board the ship are given a 
reasonable opportunity to become familiar with the shipboard 
equipment, operating procedures and other arrangements needed for 
the proper performance of their duties, before being assigned to 
those duties.

    To some extent, the requirements for maintaining certain records, 
as set out in item 1.3 of STCW Regulation I/14, are already addressed 
by statutory and regulatory provisions on shipping articles and other 
records of seamen (e.g., 46 U.S.C. 10302, 10320, and 10502 and 46 CFR 
part 14). Additionally, it is considered routine practice for U.S. 
companies that employ seaman to maintain a personnel record for each 
employee, or to ensure that one is maintained by an agency acting on 
behalf of the company in such matters (such as a labor union that has 
entered into a collective-bargaining agreement).
    Taking the above into account, the rule proposed as Sec. 15.411 
focuses on the recordkeeping requirements in STCW Regulation I/14 of 
the 1995 Amendments. The object is to allow companies a suitable range 
of flexibility for complying with these requirements in a manner most 
consistent with good management. Furthermore, the policy of the Coast 
Guard will be to presume, in the absence of information to the 
contrary, that companies holding valid ISM certificates, issued in 
accordance with the appropriate international, and domestic 
regulations, are fulfilling their obligations under STCW Regulation I/
14.
    One comment submitted in response to the notice published on August 
2, 1995 [60 FR 39306], asked that the requirements of item 1.4 of STCW 
Regulation I/14 (on familiarization with specific equipment and 
procedures) not be extended to apply to duties of industrial personnel 
on industrial vessels (e.g., MODUs) or research crew on research 
vessels. The Coast Guard would not expect this proposed rule to impose 
an unreasonable obligation on companies that employ such personnel. 
However, in keeping with earlier statements in this preamble, the Coast 
Guard recognizes that IMO will be giving further consideration to 
issues of industrial personnel. Therefore, the proposals relating to 
paragraph 1.4 of STCW Regulation 1/14 should be understood not to apply 
to industrial personnel on MODUs or research personnel on research 
vessels. Such personnel, however, would be subject to the 
familiarization and basis safety training requirements, of STCW 
Regulation VI/I, as described in section 4.

6. Watchkeeping Arrangements

    The Coast Guard is proposing to revise Sec. 15.705 (Watches) by 
requiring masters on seagoing vessels to observe the principles on 
watchkeeping arrangements set out in STCW Regulation VIII/2 of the 1995 
Amendments.

7. Workhours and Rest Periods

    The Coast Guard is proposing to implement the rest-hour 
requirements of STCW Regulation VIII/1 of the 1995 Amendments, and of 
section A-VIII/1 of the STCW Code, by adding new subparagraphs to 
Sec. 15.710. Essentially, the STCW Amendments will require that every 
person assigned duty as an officer in charge of a watch or as a rating 
forming part of a watch shall receive a minimum of 10 hours of rest in 
any 24-hour period. These 10 hours of rest may be divided into two 
parts as long as one segment is at least 6 hours.
    Deviation from the requirement for 10 total and 6 continuous hours 
of rest is permissible in the case of ``an emergency or drill or in 
other overriding operational conditions.'' Additionally, the 10 hours 
of rest in a 24-hour period may drop to 6 consecutive hours in a 24-
hour period over 2 days, as long as the watch-keeper receives 70 hours 
of rest in each 7-day period. Watch schedules that ensure compliance 
with these rest-hour requirements must be posted when they are easily 
accessible to watchkeeping personnel and to port-control officers in 
foreign ports.
    Section B-VIII/1 of the STCW Code provides some guidance on the 
meaning of the terms used in section A-VIII/1, and on the correct 
interpretation of the rest-hour requirements when calculating workhours 
outside of the periods of watchkeeping responsibility. For instance, it 
construes the phrase ``overriding operational conditions'' to mean 
``only essential shipboard work which cannot be delayed for safety or 
environmental reasons or which could not reasonably have been 
anticipated at the commencement of the voyage.''
    The guidance in section B-VIII/1 of the STCW Code also states that 
the minimum rest periods should not be interpreted as implying that all 
other hours may be devoted to watchkeeping or other duties. It also 
invites administrations to consider a requirement for recordkeeping to 
ensure compliance with that for hours of the rest.
    One comment submitted in response to the notice published on August 
2, 1995 [60 FR 39306], expressed concern that an individual serving in 
a two-watch rotation on a towing vessel would be considered unfit for 
duty if he or she got only 5 hours of sleep in one 6-hour off-duty 
period, and 2 hours of sleep in the next off-duty period. The Coast 
Guard does not view the rest-hour requirements of STCW as mandating a 
period in which the individual concerned is actually in his or her bunk 
asleep. However, over any period of 24 hours, the watchkeeping 
personnel must be provided the opportunity for an uninterrupted period 
of rest for at least 6 hours, and an additional 4-hour period during 
which no duties are assigned or performed. The operative word is 
``opportunity''. This would not prevent a person from attending to 
routine personal affairs, or engaging in recreational or other off-duty 
activities.
    Another comment submitted on this matter suggested that the rest-
hour requirements of STCW could have an adverse impact on the operation 
of towing vessels and small passenger vessels because it would permit a 
14-hour workday or a 98-hour workweek, in violation of U.S. statutory 
and regulatory provisions that limit the number of hours a seaman may 
be required to work.
    Note, however, that the introduction of a rest-hour requirement 
into U.S. regulations would not change any existing work-hour limits or 
rest-hour requirements that apply to personnel on U.S. vessels. Limits 
that apply to seagoing ships under 46 U.S.C. 8104 and 46 CFR 15.705 and 
15.710 would remain fully in effect. Additionally, operators of towing 
vessels and tankers already have to comply with both the work-hour 
limits under 46 U.S.C. 8104(h) and 8104(n), respectively, and the rest-
hour requirements under STCW and 46 U.S.C. 8104(a).
    In any specific set of circumstances, the stricter rule would 
apply. For example, although the rest-hour requirements proposed here 
would technically permit the operator of a seagoing towing vessel to 
stand watch for up to 14 hours a day, 46 U.S.C. 8104(h) would limit the 
operator to no more than 12 hours in a 24-hour period.

[[Page 13298]]
Similarly, although 46 U.S.C. 8104(n) technically permits a mate on a 
tanker to work up to 15 hours in a 24-hour period, the rest-hour 
requirements proposed here would limit his or her periods of duty to 
not more than 14 hours in that same 24-hour period, unless there were 
an emergency or other overriding operational condition; and then an 
adjustment would subsequently be necessary to ensure that the mate 
received 70 hours of rest in 7 days.
    Although calculating work and rest may be complex under some non-
routine circumstances, the Coast Guard considers the STCW rest-hour 
requirements of STCW and the existing work-hour limits in U.S. statutes 
and regulations to be compatible and enforceable, and in keeping with 
the object of safe watchkeeping.
    Further comment to the docket is welcome, on the implementation of 
the rest-hour requirement, and particularly on the extent to which the 
terms rest hours and overriding operational conditions should be 
clarified or interpreted either in this proposed rule itself or in the 
policy on its enforcement. Comment is also welcome on the kinds of 
shipboard activity (such as personal housekeeping) that should be 
allowed to watchkeeping personnel who are off duty and on the need for 
recordkeeping to ensure compliance with the rest-hour requirements.

Incorporation by Reference

    The following material would be incorporated by reference in 
Secs. 10.102, 12.01-3, and 15.105: Amendments to the Annex to the 
International Convention on Standards of Training, Certification and 
Watchkeeping for Seafarers, 1978, and the associated Seafarers' 
Training, Certification and Watchkeeping (STCW) Code, as adopted under 
resolutions 1 and 2, respectively, by the Conference of Parties to the 
International Convention on Standards of Training, Certification and 
Watchkeeping for Seafarers, 1978, held at IMO from June 26 to July 7, 
1995.
    Copies of the material are available for inspection where indicated 
under ADDRESSES. Copies of the material are also available from IMO, 4 
Albert Embankment, London, SE1 7SR, England, telephone in London 0171-
735-7611.
    Before publishing a final rule, the Coast Guard will submit this 
material to the Director of the Federal Register for approval of the 
incorporation by reference.

Regulatory Evaluation

    This proposed rule is not a significant regulatory action under 
section 3(f) of Executive Order 12866 and does not require an 
assessment of potential costs and benefits under section 6(a)(3) of 
that Order. It has not been reviewed by the Office of Management and 
Budget under that Order. It is not significant under the regulatory 
policies and procedures of the Department of Transportation (DOT) [44 
FR 11040 (February 26, 1979)].
    A preliminary regulatory assessment has been prepared and is 
available for inspection where indicated under ADDRESSES.
    The regulatory assessment is preliminary at this stage. The Coast 
Guard published a notice of inquiry on November 13, 1995 [60 FR 56970], 
to solicit information that would be useful in calculating the costs 
and benefits of implementing the 1995 Amendments to STCW. Some of those 
calling the Coast Guard to discuss the notice said they could not give 
a detailed or accurate assessment of impacts until they had seen the 
specific proposals. Others indicated they did not foresee a cost impact 
since they felt that their current practices and procedures generally 
conformed with the requirements of the amendments to STCW.
    To a great extent, the STCW revisions are introducing, as 
requirements, practices already successfully promoted through the 
current U.S. regulations (e.g., use of approved training, and the use 
of simulators in training as predicates of remission of seagoing 
service). In most cases, the new requirements would involve 
modification or enhancement of existing training and oversight rather 
than establishment of new programs.
    The Coast Guard estimates that the proposal will affect 
approximately 19,500 seafarers over a 5-year period. The estimated 
composition of this group is 10,335 deck and other officers, 1,755 
engineering officers, 3,900 able seamen, and 3,510 qualified members of 
the engineering department.
    The approximate vessel population that operate outside the boundary 
line and may be affected by the proposed regulation are 136 MODUs; 95 
industrial vessels; 271 freight ships; 103 oil recovery vessels; 696 
offshore supply vessels; 20 passenger vessels; 2,112 small passenger 
vessels; 14 research vessels; 14 maritime school ships; 162 tank ships; 
15 towboats and tugboats; 462 tank barges; 3 ferries; and 486 freight 
barges.

Costs

    The Coast Guard estimates that costs fall into the following 
categories: medical fitness, training costs, training infrastructure 
costs, company and/or owner/operator costs, and government costs.
    The Coast Guard estimates that approximately 12,000 seafarers apply 
for MMDs annually. Approximate costs of $1,900,000 annually are 
estimated for mariners certifying their medical fitness when applying 
for an MMD.
    Deck, radio, and other officers will be required to demonstrate 
competency and knowledge in a combination of courses including GMDSS, 
ARPA, Personal Survival, Personal Safety and Social Responsibility, and 
Bridge Teamwork. The Coast Guard estimates that as many as 4,091 
officers may be affected annually while the proposed regulation has a 
high level of flexibility built into it for mariners, the Coast Guard 
has assumed that mariners will attend formal, classroom courses to 
comply with the requirements. Annual training costs for deck, radio, 
and other officers are estimated at $21,804,580.
    Engineering officers will be required to demonstrate competence and 
knowledge in a combination of courses including Personal Survival, 
Personal Safety and Social Responsibility, and Electronic and Control 
Engineering. The Coast Guard estimates that as many as 645 engineering 
officers may be affected annually. Annual training costs for 
engineering officers are estimated at $3,247,575.
    ABs will be required to demonstrate competence and knowledge in a 
combination of courses including Personal Survival, Personal Safety and 
Social Responsibility, Shipboard Orientation, Firefighting and Fire 
Prevention, and estimates that as many as 1,369 ABs may be affected 
annually. Annual training costs for ABs are estimated at $11,568,050.
    QMEDs will be required to demonstrate competence and knowledge in a 
combination of courses including Personal Survival, Personal Safety and 
Social Responsibility, Shipboard Orientation, and Firefighting and Fire 
Prevention. The Coast Guard estimates that as many as 1,253 QMEDs may 
be affected annually. Annual training costs for QMEDs are estimated at 
$7,580,650.
    Ro/Ro personnel will be required to attend specialized training 
including crowd management, passenger safety, cargo safety, and hull 
integrity. The Coast Guard estimates that this may affect 225 Seafarers 
every 5 years. Estimated annual cost is $67,500.
    The Coast Guard has estimated a new electronics technician rating 
for vessels equipped with GMDSS. Electronic technicians will be 
required to demonstrate competence and knowledge to perform 
maintenance,

[[Page 13299]]
diagnosis and repair of electronic equipment and installations. The 
Coast Guard estimates that this may affect 1,128 Seafarers. The Coast 
Guard has estimated this as a one-time cost of $6,204,000.
    The Coast Guard has determined that training infrastructure costs 
include QSS, Approved Instructor, Designated Examiner, Capital 
Investments, and Course Development.
    For QSS, the Coast Guard estimates that 100 training institutions 
may be affected at an initial cost of $7,500, $1,000 annual maintenance 
costs, and an independent evaluation estimated at $5,000. Total cost is 
estimated at $1,750,000.
    For Approved Instructors, the Coast Guard estimates that 1,500 
instructors at 100 training institutions may be affected. Annual 
approved instructor costs are estimated at $1,500,000.
    For Designated Examiners, the Coast Guard estimates each will be 
required to provide 20 hours of service. Annual designated examiner 
costs are estimated at $3,900,000 for 1997 through 2001 and $780,000 
for 2002 through 2003.
    The Coast Guard has determined that there are likely to be some 
GMDSS and ARPA Capital Investments necessary by training institutions 
to accommodate the anticipated annual through-put of deck and other 
officers. A one-time cost of $3,160,000 is estimated.
    The Coast Guard has determined that there are likely to be some 
course-development costs associated with the proposed rulemaking. A 
one-time cost of $889,000 is estimated.
    The Coast Guard has determined that costs for companies and for 
owners and operators are likely to include those associated with rest-
hour and recordkeeping requirements.
    The Coast Guard has determined that rest-hour requirements are 
likely to affect 83 vessels annually. Crew augmentation costs for these 
vessels is estimated at $2,120,650 annually.
    The Coast Guard has determined that records on Seafarer training 
and competence, medical fitness, and rest hour requirements will be 
required. The Coast Guard estimates that this will likely affect 19,500 
seafarers annually at an estimated cost of $1,462,500.
    The Coast Guard does not anticipate any additional costs in 
implementing the regulation at this time.

Total Costs

    Costs of the proposal are forecast to 2003. The Coast Guard 
estimates that these requirements will be fully integrated into the 
marine infrastructure by 2003 and, thus, a regular part of doing 
business. Costs are estimated at $45,789,021 in 1997, $36,218,521 in 
1998, $35,568,521 in 1999 through 2001, $12,767,724 in 2002, and 
$13,200,224 in 2003. The present value of the costs of this proposed 
regulation discounted at 7 percent to 1997 would total $172,685,673.

Benefits

    The Coast Guard has determined that the proposed rule has potential 
economic benefits and a potential to reduce marine casualties.
    Economics play a significant role in safety. While the U.S. 
commercial fleet has long been among the safest in the world, 
differences between U.S. standards and those of other maritime nations 
put our vessels at a competitive disadvantage. Responsible operators 
can be forced to operate with lower profit margins and less capital to 
invest in safe operations, and in some cases forced out of the market 
entirely. More aggressively holding all ships to the same standards set 
for U.S. ships is key to shifting the balance. This proposal would 
allow the U.S. to hold mariners aboard all vessels entering its ports 
to the same competency standards which the U.S. holds its own vessels, 
without foreign retaliation. Consequently, U.S. vessels visiting 
foreign ports would not be faced with increased scrutiny that could 
result in costly vessel delays. Such delays would otherwise likely 
decrease the value of trade carried in U.S. bottoms. Conversely, under 
this proposal, the U.S. could expect to increase its market share of 
cargo carried which could result from the more even competitive playing 
field accorded U.S. and foreign fleets because of this proposal. 
Appendix F provides a summary of the value of U.S. international trade 
and ocean trade worldwide.
    U.S. ships only carry about 8 percent of the value of U.S. export 
trade and 7 percent of the value of U.S. import trade. If, as a result 
of complying with international standards proposed in this rulemaking, 
U.S. vessels gain one tenth of one percent of the value of U.S. 
international trade in any given year of implementation (approximately 
$56,000,000), the annual benefits will outweigh the costs.
    On average, there were 29 fatalities and 76 injuries annually as a 
result of errors that potentially could be linked to training 
deficiencies. The training required by this proposal has the potential 
to significantly decrease the number of fatalities and injuries in 
maritime transportation. Based on the $27,700,000 value of a human 
life, if this proposal causes a reduction in the number of fatalities 
by 17 in 1997, 13 in 1998-2001, and 55 in 2002-2003, the benefits will 
exceed the costs.
    The complex cumulative effect of human error makes it difficult to 
quantify the exact benefits of the proposed rulemaking. One way to 
reduce the risks associated with human error in operating seagoing 
ships is to ensure that seafarers maintain the highest practicable 
standards of training, certification, and competence. The proposal is 
intended to reduce the risk of maritime casualties and pollution 
incidents caused by human error. Benefits are expected to accrue from a 
reduction of shipboard accidents and injuries because personnel will 
have an increased awareness of safe shipboard practices. As the Coast 
Guard reviews comments resulting from the proposal and formulates a 
final rule, further review of benefits based on risk is anticipated.

Small Entities

    Under the Regulatory Flexibility Act [5 U.S.C. 601 et seq.], the 
Coast Guard must consider whether this proposal, if adopted, would have 
a significant economic impact on a substantial number of small 
entities. ``Small entities'' may include independently owned and 
operated small businesses that are not dominant in their field and that 
otherwise qualify as ``small business concerns'' under Section 3 of the 
Small Business Act (15 U.S.C. 632). ``Small entities'' also include 
small not-for-profit organizations and small governmental 
jurisdictions.
    The proposed rule has built in sufficient flexibility and options 
to allow small entities to comply with its proposed requirements at 
modest cost. For the most part, it is expected to affect only large 
business enterprises and individuals mariners. There is no requirement 
that one entity perform all the STCW training and assessment 
requirements that are being proposed.
    Those small entities engaged in training may choose to obtain 
assessment from individual qualified assessors who may also be 
organized as small entities. The Coast Guard does not limit the 
arrangements as to who may offer instruction or assessment. Any 
combination may be used by a mariner to achieve the desired 
qualifications licenses, or certificates.
    The proposed rule applies to individual mariners and allows for 
small entities to remain in and actively compete in the maritime-
training sector of the maritime industry with options to teach and 
assess as many courses or functions as any entity chooses. The proposal 
covers requirements that

[[Page 13300]]
would not begin to go into effect until early 1997, through the phase-
in period.
    Because of these accommodations and characteristics, the Coast 
Guard certifies under 5. U.S.C. 605(b) that this proposal will not have 
a significant economic impact on a substantial number of small 
entities.

Collection of Information

    Under the Paperwork Reduction Act [44 U.S.C. 3501 et seq.], the 
Office of Management and Budget (OMB) reviews each proposed rule that 
contains a collection-of-information requirement to determine whether 
the practical value of the information is worth the burden imposed by 
its collection. Collection-of-information requirements include 
reporting, recordkeeping, notification, and other, similar 
requirements.
    This proposal contains collection-of-information requirements in 
the following sections: 10.304 (training and assessment-record books); 
10.309 and 12.03-1 (approved training); and 15.411 (maintenance of 
seamen's records by owner or operator). The following particulars 
apply:
    Training conducted on board ships, when part of an approved program 
based on 1 year of seagoing service for deck licenses (6 months for 
engineer licenses), would have to make use of a training- and 
assessment-record book to document that required training and 
assessment of competency has been completed properly. The books would 
be submitted to the Coast Guard as part of an application for a 
license.
    The QSS that would monitor training and assessment to ensure that 
they were meeting objectives would compel organizations offering 
training to document certain information and to maintain records for 1 
year. The records would cover such matters as the course syllabus, 
students performance, and the qualifications of instructors and 
examiners. Additionally, an independent evaluation would need to be 
documented periodically. Records would be subject to review by the 
Coast Guard in its oversight function to ensure that training and 
assessment satisfy minimum conditions.
    The proposed rule would allow for wide variation in the means for 
complying with new requirements to ensure that the scope of the QSS is 
reasonably related to the scope of training and assessment conducted by 
the entity concerned.
    Companies owning or operating U.S.-documented seagoing vessels 
would have to arrange for the maintenance of certain records concerning 
the medical fitness, experience, training, and competence, of the 
seamen employed or engaged on their ships. The records could be 
maintained by a third party on behalf of the company, but they would 
need to be readily accessible to those in management responsible for 
the safety of vessel operations and the prevention of marine pollution. 
The recordkeeping requirement would be in effect only during the period 
of service of the seaman concerned.
    The proposed rest-hour schedule would require documentation 
necessary for the safe operation of the vessel. This would ensure that 
the crew was informed of rest-hour requirements.
    The proposed recordkeeping generally reflects routine practices for 
U.S. ship-operating companies and training institutions. However, the 
international rules in STCW were drafted to apply to companies and 
training programs worldwide. In due course, by its obligation under 
STCW as amended, the United States must demonstrate to the IMO that it 
has in place certain specific regulations that implement the 
international rules.

    Dot No: 2115.
    Administration: U.S. Coast Guard.
    Title: Implementation of the 1995 Amendments to the International 
Convention on Standards of Training, Certification and Watchkeeping for 
Seafarers, 1978 (STCW).
    Need for Information: To ensure compliance with international 
requirements, and to maintain an acceptable level of quality in the 
training and assessment of merchant mariners.
    Proposed use of Information: The Coast Guard would have access to 
information to monitor compliance with regulations and to identify 
where corrective action may be needed. Coast Guard officials involved 
in issuing licenses, documents, and STCW certificates would have a 
reliable source for determining whether training and assessment had 
been completed by candidates in accordance with domestic and 
international rules.
    Frequency of Response: Under this proposed rule, records would have 
to be maintained for 1 year. In one case a certification of continued 
compliance would have to be provided to the Coast Guard once a year.
    Burden Estimate: 40,215 hours.
    Respondents: 28,645.
    Form(s): N/A.
    Average Burden-Hours per Respondent: 1.4 hours.
    The Coast Guard has submitted the requirements to OMB for review 
under Sec. 3504(h) of the Paperwork Reduction Act. Persons submitting 
comments on the requirements should submit their comments both to OMB 
and to the Coast Guard where indicated under ADDRESSES.

Federalism

    The Coast Guard has analyzed this proposal under the principles and 
criteria contained in Executive Order 12612 and has determined that 
this proposal does not have sufficient federalism implications to 
warrant the preparation of a Federalism Assessment.
    This rulemaking should not have a direct impact on State, local, or 
tribal governments. However, States that operate or charter maritime-
training institutions would have to bring the relevant training 
programs into line with the new requirements. For the most part, the 
existing State-sponsored maritime-training institutions have programs 
that would need little adjustment to meet the new requirements. And the 
accreditation process for these institutions should satisfy the new 
quality-assurance provisions.

Environment

    The Coast Guard considered the environmental impact of this 
proposed rule proposal and concluded that, under paragraph 
2.B.2.e(34)(C) of Commandant Instruction M16475.1B, this rulemaking is 
categorically excluded from further environmental documentation.
    This rulemaking would have no direct environmental impact. The 
implementation of the 1995 Amendments to STCW should reduce the risk 
that human error will result in a maritime casualty or pollution 
incident by ensuring that seafarers on seagoing ships are meeting the 
highest practicable standards of competence. However, there are few 
objective criteria for quantifying the reduction in this risk. A 
``Categorical Exclusion Determination'' is available in the docket for 
inspection or copying where indicated under addresses.

List of Subjects

46 CFR Part 10

    Fees, Marine safety, Incorporation by reference, Reporting and 
recordkeeping requirements, Schools, Seamen, Vessels.

46 CFR Part 12

    Fees, Marine safety, Incorporation by reference, Reporting and 
recordkeeping requirements, Schools, Seamen, Vessels.

46 CFR Part 15

    Marine safety, Navigation (water), Incorporation by reference, 
Reporting and recordkeeping requirements,

[[Page 13301]]
Schools, Seamen, Vessel manning, Vessels.

    For the reasons set out in the preamble, the Coast Guard proposes 
to amend 46 CFR parts 10, 12, and 15 as follows:
PART 10--LICENSING OF MARITIME PERSONNEL
    1. the authority citation for part 10 continues to read as follows:

    Authority: 31 U.S.C. 9701; 46 U.S.C. 2103, 7101, 7106, 7107; 49 
CFR 1.45, 1.46; Sec. 10.107 also issued under the authority of 44 
U.S.C. 3507.

    2. Section 10.101 is amended by revising paragraphs (a) and (c) to 
read as follows:
Sec. 10.101  Purpose of regulations.
    (a) The purpose of the regulations in this part are to provide--
    (1) A comprehensive means of determining the qualifications an 
applicant must possess to be eligible for a license as deck officer, 
engineer, pilot, radio officer, or radio operator on merchant vessels, 
or for a license to operate uninspected towing vessels or uninspected 
passenger vessels, or for a certificate of registry as staff officer; 
and
    (2) A means of determining that an applicant is competent to serve 
as a master, chief mate, officer in charge of a navigational watch, 
chief engineer officer, second engineer officer, officer in charge of 
an engineering watch, designated duty engineer, or radio operator, in 
accordance with the provisions of the International Convention on 
Standards of Training, Certification and Watchkeeping for Seafarers, 
1978, as amended (STCW), and to receive the appropriate certificate or 
endorsement as required by STCW.
* * * * *
    (c) The regulations in subpart C of this part prescribe the 
requirements applicable to--
    (1) Each approved training course if the training course is to be 
acceptable as a partial substitute for service or for a required 
examination, or as training required for a particular license or 
license endorsement; and
    (2) All training and assessment associated with meeting the 
standards of competence established by STCW.
    3. Section 10.102 is added to read as follows:
Sec. 10.102  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register under 5 
U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that 
specified in paragraph (b) of this section, the Coast Guard must 
publish notice of change in the Federal Register and the material must 
be available to the public. All approved material is available for 
inspection at the Office of the Federal Register, 800 North Capitol 
Street NW., Suite 700, Washington, DC, and at the U.S. Coast Guard, 
Operating and Environmental Standards Division, 2100 Second Street SW., 
Washington, DC 20593-0001, and is available from the sources indicated 
in paragraph (b) of this section.
    (b) The material approved for incorporation by reference in this 
part and the sections affected are as follows:

International Maritime Organization (IMO)

    4 Albert Embankment, London, SE1 7SR, England.
    Amendments to the Annex to the International Convention on 
Standards of Training, Certification and Watchkeeping for Seafarers, 
1978 (STCW), and the associated Seafarers' Training, Certification and 
Watchkeeping Code (STCW Code), as adopted under resolutions 1 and 2, 
respectively, by the Conference of Parties to the International 
Convention of Standards of Training, Certification and Watchkeeping for 
Seafarers, 1978, held at IMO from June 26 to July 7, 1995--10.103; 
10.205; 10.304; 10.480; 10.602; 10.901.
    4. Section 10.103 is amended by adding in alphabetical order the 
following new definitions to read as follows:
Sec. 10.103  Definitions of terms used in this part.
    Approved training means training that is approved by the Coast 
Guard or meets the requirements of Sec. 10.309.
* * * * *
    Coast-Guard-accepted means that the Coast Guard has officially 
acknowledged in writing that the material or process at issue meets the 
applicable requirements; that the Coast Guard has issued an official 
policy statement listing or describing the material or process as 
meeting the applicable requirements; or that an entity acting on behalf 
of the Coast Guard under a Memorandum of Agreement has determined that 
the material or process meets the applicable requirements.
* * * * *
    Designated examiner means an individual who has been trained or 
instructed in techniques of training or assessment and is otherwise 
qualified to evaluate whether a candidate for a license, document, or 
endorsement has achieved the level of competence required to hold the 
license, document, or endorsement. This individual may be designated by 
the Coast Guard or by a Coast-Guard-approved program of training or 
assessment.
* * * * *
    Practical demonstration means the performance of an activity under 
the direct observation of a designated examiner for the purpose of 
establishing that the performer is sufficiently proficient in a 
practical skill to meet a specified standard of competence or other 
objective criterion.
    Qualified instructor means an individual who has been trained or 
instructed in instructional techniques and is otherwise qualified to 
provide required training to candidates for licenses, documents, and 
endorsements.
* * * * *
    Standard of competence means the level of proficiency to be 
achieved for the proper performance of duties on board vessels in 
accordance with national and international criteria.
    STCW endorsement means a certificate or endorsement issued in 
accordance with the International Convention on Standards of Training, 
Certification and Watchkeeping for Seafarers, 1978, as amended (STCW). 
An STCW endorsement issued by the Officer in Charge, Marine Inspection, 
will be valid only when accompanied by the appropriate U.S. license or 
document; and, if the license or document is revoked, then the 
associated STCW endorsement will no longer be valid for any purpose.
* * * * *
    5. In Sec. 10.107, paragraph (b)(3) is added to read as follows:
Sec. 10.107  Paperwork approval.

* * * * *
    (b) * * *
    (3) OMB 2115--46 CFR 10.304, 10.309.
    6. In Sec. 10.201, paragraph (a) is revised to read as follows:

Sec. 10.201  Eligibility for licenses and certificates of registry, 
general.

    (a) The applicant shall establish to the satisfaction of the 
Officer in Charge, Marine Inspection (OCMI), that he or she possesses 
all of the qualifications necessary (e.g., age, experience, character 
references and recommendations, physical examination, citizenship, 
approved training, passage of a professional examination, as 
appropriate, and, when required by this part, a practical demonstration 
of skills) before the OCMI will issue a license or certificate of 
registry.
* * * * *

[[Page 13302]]

    7. In Sec. 10.202, paragraph (j) is added to read as follows:


Sec. 10.202  Issuance of licenses and certificates of registry.

* * * * *
    (j) When an original license is issued, renewed, upgraded, or 
otherwise modified, the Officer in Charge, Marine Inspection (OCMI), 
will determine whether the holder of the license must hold an STCW 
certificate or endorsement for service on a seagoing vessel and, if so, 
and if the holder is qualified, will issue the appropriate certificate 
or endorsement. The OCMI will also issue an STCW certificate or 
endorsement at other times, if circumstances so require and if the 
holder of the license is qualified to hold the certificate or 
endorsement.
    8. In Sec. 10.205, paragraph (g) is revised, and paragraphs (k), 
(l), (m), (n), (o), and (p) are added, to read as follows:


Sec. 10.205  Requirements for original licenses and certificates of 
registry.

* * * * *
    (g) Firefighting certificate. (1) Applicants for licenses in the 
following categories shall each present a certificate of completion 
from an approved course or approved training in firefighting. The 
course must be sufficient to establish that the applicant meets the 
standard of competence in basic and advanced firefighting set forth in 
STCW Regulations VI/1 and VI/3. The course must have been completed 5 
years or less before the date of application for the license requested:
    (i) All masters' or mates' licenses for service on vessels in ocean 
or near-coastal service.
    (ii) All licenses for operators of uninspected passenger vessels 
for service beyond the boundary line.
    (iii) All licenses for service on mobile offshore drilling units.
    (iv) all engineers' licenses.
    (2) The officer in charge, Marine Inspection (OCMI), may accept a 
certificate of completion from an approved course or approved training 
in firefighting designed for a particular ship or type of service; 
however, in that case, the OCMI will limit the endorsement by 
indicating the ship or type of service.
* * * * *
    (k) Competence in the use of Automatic Radar-Plotting Aids (ARPA). 
(1) Subject to paragraph (j)(2) of this section, all candidates for 
masters' or mates' licenses for service on vessels in ocean or near-
coastal service, or for licenses for operators of uninspected passenger 
vessels for service beyond the boundary line, shall each present a 
certificate of completion from an approved course or approved training 
on an ARPA simulator. The course must be sufficient to establish that 
the applicant is competent to maintain safe navigation through the 
proper use of ARPA, by correctly interpreting and analyzing the 
information obtained from that device and taking into account both the 
limitations of the equipment and the prevailing circumstances and 
conditions. The simulator used in the course must meet or exceed the 
performance standards established under STCW Regulation I/12 of the 
1995 Amendments.
    (2) Training and assessment in the use of ARPA is not required for 
those who serve exclusively on ships not fitted with ARPA. However, 
when the simulator training has not been completed, the license must be 
endorsed to indicate this limitation.
    (l) Certificate for operator of radio in the Global Maritime 
Distress and Safety System (GMDSS). (1) Subject to paragraph (l)(2) of 
this section, candidates for all masters' or mates' licenses for 
service on vessels in ocean or near-coastal service shall each present 
either a certificate for operator of radio in the GMDSS issued by the 
Federal Communication Commission (FCC) or a certificate of completion 
from a Coast-Guard- or an FCC-approved course for operator of radio in 
the GMDSS. The course must be sufficient to establish that the 
applicant is competent to perform radio duties on a ship participating 
in the GMDSS and meets the standard of competence under STCW Regulation 
IV/2 of STCW.
    (2) Candidates intending to serve only on ships not required to 
comply with the provisions of the GMDSS in Chapter IV of SOLAS need not 
comply with those of paragraph (k)(1) of this section.
    (m) Personal survival techniques. (1) Applicants for licenses in 
the following categories shall each present a certificate of completion 
from an approved course or approved training in personal survival 
techniques. The course must be sufficient to establish that the 
applicant meets the standard of competence under STCW Regulation VI/1 
and table A-VI/1-1 of the STCW Code. The course must have been 
completed 5 years or less before the date of application for the 
license requested:
    (i) All masters' or mates' licenses for service on vessels in ocean 
or near-coastal service.
    (ii) All licenses for operators of uninspected passenger vessels 
for service beyond the boundary line.
    (iii) All licenses for service on mobile offshore frilling units.
    (iv) All engineers' licenses.
    (2) The officer in charge, Marine Inspection (OCMI), may accept a 
certificate of completion from an approved course or approved training 
in firefighting designed for a particular ship or type of service; 
however, in that case the OCMI will limit the endorsement by indicating 
the ship or type of service.
    (n) Personal safety and social responsibilities. (1) Applicants for 
licenses in the following categories shall each present a certificate 
of completion from an approved course or approved training in personal 
safety and social responsibilities. The course must be sufficient to 
establish that the applicant meets the standard of competence under 
STCW Regulation VI/1 and table A-VI/1-4 of the STCW Code. The course 
must have been completed 5 years or less before the date of application 
for the license requested:
    (i) All masters' or mates' licenses for service on vessels in ocean 
or near-coastal service.
    (ii) All licenses for operators of uninspected passenger vessels 
for service beyond the boundary line.
    (iii) All licenses for service on mobile offshore drilling units.
    (iv) All engineers' licenses.
    (2) The officer in charge, Marine Inspection (OCMI), may accept a 
certificate of completion from an approved course or approved training 
in firefighting designed for a particular ship or type of service; 
however, in that case, the OCMI will limit the endorsement by 
indicating the ship or type of service.
    (o) Procedures for bridge team-work. Candidates for all masters' or 
mates' licenses for service on vessels in ocean or near-coastal service 
shall each present sufficient documentary proof that they understand 
and can effectively apply procedures for bridge team-work as an 
essential aspect of maintaining a safe navigational watch, taking into 
account the principles of bridge-resource management enumerated in 
section B-VIII/2 of the STCW Code.
    (p) Practical demonstration of skills. Candidates for original 
licenses must each successfully complete any practical demonstrations 
required under this part and appropriate to the particular licenses 
concerned, to prove that they are sufficiently proficient in skills 
required under subpart I of this part. The OCMI must be satisfied as to 
the authenticity and acceptability of all evidence that each candidate 
has successfully completed those demonstrations in the presence of a 
designated examiner. The OCMI will place in each candidate's file a 
written record of the skills required, the results

[[Page 13303]]
of the practical demonstrations, and the identification of the 
designated examiner in whose presence those occurred.
    9. In Sec. 10.207, the section heading, the heading for paragraph 
(c), and paragraph (c)(1) are revised to read as follows:


Sec. 10.207  Requirements for raise in grade of license.

* * * * *
    (c) Age, experience, training, and assessment. (1) Applicants for a 
raise of grade of licenses shall establish that they possess the age, 
experience, and training qualifications necessary, and that they have 
been examined and otherwise assessed as may be required by this part to 
establish competence to hold the particular license requested, before 
they are entitled to a raise in grade of license.
* * * * *
    10. In Sec. 10.209, paragraphs (k), (l), and (m) are added to read 
as follows:


Sec. 10.209  Requirements for renewal of licenses and certificates of 
registry.

* * * * *
    (k) After July 31, 1998, each applicant for renewal of a license in 
any of the following categories shall meet the applicable requirements 
of Secs. 10.205(g), 10.205(l), and 10.205(m) unless he or she has 
previously done so:
    (1) All masters' or mates' licenses for service on vessels in ocean 
or near-coastal service.
    (2) All licenses for operators of uninspected passenger vessels for 
service beyond the boundary line.
    (3) All licenses for service on mobile offshore drilling units.
    (4) All engineers' licenses.
    (l) After July 31, 1998, each applicants for renewal of a license 
in any of the following categories of license shall provide evidence of 
having both demonstrated competence in firefighting, personal survival 
techniques, and personal safety and social responsibility and been 
examined or continuously assessed in these areas as part of an approved 
training program, within the previous 5 years:
    (1) All masters' or mates' licenses for service on vessels in ocean 
or near-coastal service.
    (2) All licenses for operators of uninspected passenger vessels for 
service beyond the boundary line.
    (3) All licenses for service on mobile offshore drilling units.
    (4) All engineers' licenses.
    (m) After July 31, 1998, each applicant for renewal of any master's 
or mate's license for service on vessels in ocean or near-coastal 
service, or any license for operator of an uninspected passenger vessel 
for service beyond the boundary line, shall meet the applicable 
requirements of Secs. 10.205(k), 10.205(l), and 10.205(o) if he or she 
has not previously done so.
    11. In Sec. 10.304, the heading is revised and paragraphs (e), (f), 
and (g) are added to read as follows:


Sec. 10.304   Substitution of training for required service, and use of 
training- and assessment-record books.

* * * * *
    (e) Where a candidate for ocean and near-coastal deck licenses uses 
completion of approved training to substitute for required service, 
then not less than 1 year of the remaining service must be part of 
approved training that meets the appropriate requirements of Chapter II 
of STCW and the requirements of subpart C of this part. The candidate's 
training must be documented in a Coast-Guard-accepted training- and 
assessment-record book.
    (f) Each candidate for an engineer's licenses for service on 
seagoing vessels shall complete onboard training as part of approved 
training that meets the appropriate requirements of Chapter III of STCW 
and the requirements of subpart C of this part. The training must be 
documented in a Coast-Guard-accepted training- and assessment-record 
book.
    (g) The training- and assessment-record book referred to in 
paragraphs (e) and (f) of this section must contain at least the 
following:
    (1) Identification of the candidate, including full name, home 
address, photograph or photo-image, and personal signature.
    (2) The objectives of the training and assessment.
    (3) The tasks to be performed or the skills to be demonstrated, 
based on the standards of competence set forth in the tables of the 
appropriate sections in Part A of the STCW Code.
    (4) The criteria to be used in determining that the tasks or skills 
have been performed properly, based on the standards of competence set 
forth in the tables of the appropriate sections in Part A of the STCW 
Code.
    (5) A place for a qualified instructor to indicate by his or her 
initials that the candidate has received training in the proper 
performance of the task or skill.
    (6) A place for a qualified examiner to indicate by his or her 
initials that the candidate has successfully completed a practical 
demonstration and has proved competent in the task or skill under the 
criteria.
    (7) Identification of each qualified instructor by full name, home 
address, employer, job title, ship name or business address, number of 
any Coast Guard license or document held, and personal signature.
    (8) Identification of each designated examiner by full name, home 
address, employer, job title, ship name or business address, number of 
any Coast Guard license or document held, and personal signature 
confirming that his or her initials certify that he or she has 
witnessed the practical demonstration of a particular task or skill by 
the candidate.
    12. Section 10.309 is added to read as follows:


Sec. 10.309   Approved training other than approved courses.

    (a) When the training and assessment of competence required by 
these regulations are not subject to Sec. 10.302 of this part and are 
not being used to substitute for seagoing service, they must meet the 
following requirements:
    (1) The training and assessment program must have written, clearly 
defined objectives that emphasize specific knowledge, skills, and 
abilities, and include criteria to use in establishing a candidate's 
successful achievement of the objectives.
    (2) The training must be set out in a written syllabus that 
conforms to a Coast-Guard-accepted outline for such training and 
includes--
    (i) The sequence of subjects to be covered;
    (ii) The number of classroom hours in the presence of a qualified 
instructor to be spent on each subject;
    (iii) The identity and professional qualifications of the 
instructor(s) to be conducting the training;
    (iv) The identification of other media or facilities to be used in 
conducting training; and
    (v) Measurements at appropriate intervals of each candidate's 
progress toward acquisition of the specific knowledge, skills, and 
abilities stated in the objectives.
    (3) Except as provided in paragraphs (a)(4) and (a)(5) of this 
section, documentary evidence must be readily available to establish 
that all instructors--
    (i) Have experience, training, or instruction in effective 
instructional techniques;
    (ii) Are qualified in the task for which the training is being 
conducted; and
    (iii) Hold the level of license, endorsement, or other professional 
credential required of those who would apply, on board a vessel, the 
relevant level of knowledge, abilities, and skills described in the 
training objectives.
    (4) Neither a specialist in a particular field of non-maritime 
education, such as

[[Page 13304]]
mathematics or first aid, nor an individual with at least 3 years of 
service as a member of the Armed Forces of the United States 
specializing in the field in which he or she is to conduct training, 
need hold a maritime license or document to conduct training in that 
field.
    (5) A simulator may be used in training if--
    (i) The simulator meets applicable performance standards;
    (ii) The instructor has gained practical operational experience on 
the particular type of simulator being used; and
    (iii) The instructor employing the simulator has received 
appropriate guidance in instructional techniques involving the use of 
simulators.
    (6) Essential equipment and instructional materials must afford all 
candidates adequate opportunity to participate in exercises and acquire 
practice in performing required skills.
    (7) A process or routinely assessing the effectiveness of the 
instructors, including the use of confidential evaluations by 
candidates, must be in place.
    (8) Records of candidates' performance must be maintained for at 
least a year.
    (9) To ensure that the training is meeting its objectives and the 
requirements of paragraph (a) of this section, its offeror must monitor 
it at suitable intervals in accordance with a Coast-Guard-accepted 
quality-standards system, which must include the following features:
    (i) Those monitoring the trading, shall be persons knowledgeable 
about the subjects being monitored and about the national and 
international requirements that apply to the training, and they shall 
not themselves be involved in the training.
    (ii) Those monitoring the training must enjoy convenient access to 
all appropriate documents and facilities, and opportunities both to 
observe all appropriate activities and to conduct confidential 
interviews when necessary.
    (iii) Arrangements must be such as to ensure that persons 
monitoring the training are not penalized or rewarded, directly or 
indirectly, by the sponsor of the training for making any particular 
observations or for reaching any particular conclusions.
    (10) Those monitoring the training shall communicate their 
conclusions to the Coast Guard within 1 month of the completion of the 
monitoring.
    (11) Upon prior notice by the Coast Guard, those providing the 
training shall let the Coast Guard observe the training and review 
documentation relating to paragraphs (a)(1) through (a)(10) of this 
section.
    (b) The Coast Guard will maintain a list of training each of whose 
providers annually submits a certificate, signed by the provider or its 
authorized representative, starting that the training fully complies 
with requirements of this section. Training on this list will 
presumptively offer the training necessary for licenses and STCW 
endorsements under this part. The Coast Guard will update this list 
periodically and make it available to members of the public on request.
    (c) If the Coast Guard determines, on the basis of observations or 
conclusions either of its own or by those monitoring the training, that 
particular training does not satisfy one or more of the conditions 
described in paragraph (a) of this section--
    (1) The Coast Guard will so notify the provider of the training by 
letter enclosing a report of the observations and conclusions;
    (2) The provider will have a specified period to appeal the 
conclusions to the appropriate official at Coast Guard Headquarters, or 
to bring the training into compliance; and
    (3) If the appeal is denied--or the deficiency is not corrected in 
the allotted time, or within any additional period held by the Coast 
Guard, considering progress toward compliance, to be appropriate--the 
Coast Guard will remove the training from the list referred to in 
paragraph (b) of this section until it can verify full compliance; and 
it may deny applications based in whole or in part on training not on 
the list until additional training or assessment can be documented.
    13. In Sec. 10.480, paragraph (d)(1) is added and paragraph (d)(20 
is added and reserved to read as follows:


Sec. 10.480  Radar observer.

* * * * *
    (d) * * *
    (1) Each applicant for an STCW certificate or endorsement as master 
or deck officer must complete approved radar-simulator training that 
meets the appropriate requirements of sections A-I/12 and A-II of the 
STCW Code.
* * * * *
    14. Section 10.601 is revised to read as follows:


Sec. 10.601  Applicability.

    This subpart provides for the licensing of radio officers for 
employment on vessels, and for the certification of radio operators for 
service on ships subject to the provisions on the Global Maritime 
Distress and Safety System (GMDSS) of Chapter IV of SOLAS.
    15. In Sec. 10.603, the heading is revised, and paragraphs (d) and 
(e) are added to read as follows:


Sec. 10.602  Requirements for radio offices' licenses and radio 
operators' certificates.

* * * * *
    (d) Each applicant for a radio operator's certificate required for 
service on ships subject to the Global Maritime Distress and Safety 
System (GMDSS) shall provide evidence that he or she meets the standard 
of competence set out in STCW Regulation IV/2 including the competence 
to transmit and receive information using subsystems of GMDSS, to 
fulfill the functional requirements of GMDSS, and to provide radio 
services in emergencies.
    (e) Evidence required by paragraph (d) of this section must include 
a certificate of completion of a Coast Guard-approved or FCC-approved 
course on the GMDSS.
    16. In Sec. 10.901, paragraphs (c) and (d) are added to read as 
follows:


Sec. 10.901  General provisions.

* * * * *
    (c) Each applicant for a license for service in the following 
capacities on vessels that operate beyond the boundary line must also 
provide sufficient documentary evidence that he or she has successfully 
performed practical demonstrations using one or more of the methods for 
demonstrating competence authorized under the tables set out under the 
appropriate regulations of STCW:
    (1) Deck Department--(i) Officer in charge of the navigational 
watch on seagoing ships of 500 gross tons or more.
    (ii) Officer in charge of the navigational watch on seagoing ships 
of less than 500 gross tons not engaged on near-coastal voyages.
    (iii) Officer in charge of the navigational watch on seagoing ships 
of less than 500 gross tons engaged on near-coastal voyages.
    (iv) Master and chief mate on seagoing ships of 3,000 gross tons or 
more.
    (v) Master and chief mate on seagoing ships of between 500 and 
3,000 gross tons or more.
    (vi) Master on seagoing ships of less than 500 gross tons not 
engaged on near-coastal voyages.
    (vii) Master on seagoing ships of less than 500 gross tons engaged 
on near-coastal voyages.
    (2) Engine Department--(i) Officer in charge of the an engineering 
watch in a manned engine-room on a seagoing ship.

[[Page 13305]]

    (ii) Designated duty engineer in a periodically unmanned engine-
room on a seagoing ship.
    (iii) Chief engineer officer of a seagoing ship driven by main 
propulsion machinery of 3,000 kW [4,000 hp] of propulsion power or 
more.
    (iv) Second engineer officer of a seagoing ship driven by main 
propulsion machinery of 3,000 kW [4,000 hp] of propulsion power or 
more.
    (v) Chief engineer officer of a seagoing ship powered by main 
propulsion machinery of between 750 kW [1,000 hp] and 3,000 kW [4,000 
hp] of propulsion power or more.
    (vi) Second engineer officer of a seagoing ship driven by main 
propulsion machinery of between 750 kW [1,000 hp] and 3,000 kW [4,000 
hp] of propulsion power or more.
    (d) Simulators used in assessment of competence under paragraph (c) 
of this section must meet the appropriate performance standards set out 
in section A-I/12 of the STCW Code. However, simulators installed or 
brought into use before February 1, 2002, need not meet them so far as 
they fulfill the objectives of the assessment of competence or 
demonstration of proficiency.
    17. In Sec. 10.910, the introductory text and table 10.910-2 are 
revised to read as follows:


Sec. 10.910  Subjects for deck licenses.

    On each topic indicated by an ``X'', each applicant for an ocean or 
near-coastal license is subject to an assessment of his or her command 
of the practical skills included within each professional topic, as 
well as to a written test of his or her knowledge. On each topic 
indicated by a ``T'' he or she is subject only to an assessment of 
evidence obtained from his or her completion of approved training. On 
each topic indicated by an ``A'' he or she is subject only to an 
assessment of his or her command of those practical skills.
* * * * *

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[[Page 13311]]

    18. Section 10.950 is revised to read as follows:


Sec. 10.950  Subjects for engineer licenses.

    (a) On each topic indicated by an ``X'', each applicant for an 
engineering license is subject to a written test of his or her 
knowledge. On each topic indicated by a ``T'', he or she is subject 
only to an assessment of evidence obtained from his or her completion 
of approved training. On each topic indicated by an ``A'' he or she is 
subject only to an assessment of his or her practical skills assessed 
by an established regime of on-board practical factors, simulator 
demonstration, or a combination.
    (b) A distinct engineering license for steam-driven vessels of 
limited power or tonnage is no longer practicable, because of the small 
number of these vessels. When such a license is necessary for these 
vessels, the owner or operator is responsible for the engineer's 
competence in the operation of steam propulsion. Engineer licenses 
endorsed for steam must first hold a comparable license for motor-
driven vessels and attend a course approved for limited steam engines.

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[[Page 13315]]

    19. Subpart J, consisting of Secs. 10.1001 through 10.1005, is 
added to read as follows:

Subpart J--Ro-Ro Passenger Ships

Sec.
10.1001  Purpose or regulations.
10.1003  Definitions.
10.1005  General requirement for license-holders.

Subpart J--Ro-Ro Passenger Ships


Sec. 10.1001  Purpose of regulations.

    The purpose of the regulations in this subpart is to establish 
requirements for officers serving on roll-on/roll-off (ro-ro) passenger 
ships.


Sec. 10.1003  Definitions.

    Roll-on/roll-off (ro-ro) passenger ship means a passenger ship with 
ro-ro cargo spaces or special-category spaces as defined in the 
International Convention for the Safety of Life at Sea, 1974, as 
amended (SOLAS), and to which a SOLAS certificate is issued.


Sec. 10.1005  General requirement for license-holders.

    To serve on a ro-ro passenger ship after January 30, 1997, a person 
licensed as master, chief mate, licensed mate, chief engineer, or 
licensed engineer shall meet the appropriate requirements of STCW 
Regulation V/2 and section A-V/2 of the STCW Code, and hold documentary 
evidence to show his or her meeting these requirements.

PART 12--CERTIFICATION OF SEAMEN

    1. The authority citation for part 12 continues to read as follows:

    Authority: 31 U.S.C. 9701; 46 U.S.C. 2101, 2103, 2110, 7301, 
7302, 7503, 7505, 7701; 49 CFR 1.46.

    2. Section 12.01-1 is revised to read as follows:


Sec. 12.01-1  Purpose of regulations.

    (a) The purposes of the regulations in this part are to provide--
    (1) A comprehensive and adequate means of determining the identity 
or the qualifications an applicant must possess to be eligible for 
certification to serve on merchant vessels of the United States; and
    (2) A means of determining that an applicant is competent to serve 
in a ``rating forming part of a navigational watch'' or a ``rating 
forming part of an engine-room watch'', or is otherwise ``designated to 
perform duties in a periodically unmanned engine-room'', on a seagoing 
ship, in accordance with the provisions of the International Convention 
on Standards of Training, Certification and Watchkeeping for Seafarers, 
1978, as amended (STCW), and to receive the certificate or endorsement 
required by STCW.
    (b) The regulations in subpart 12.03 of this part prescribe the 
requirements applicable to all training and assessment associated with 
meeting the standards of competence established by STCW.
    3. Section 12.01-3 is added to read as follows:


Sec. 12.01-3  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register under 5 
U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that 
specified in paragraph (b) of this section, the Coast Guard must 
publish notice of change in the Federal Register and the material must 
be available to the public. All approved material is available for 
inspection at the Office of the Federal Register, 800 North Capitol 
Street NW., Suite 700, Washington, DC, and at the U.S. Coast Guard, 
Operating and Environmental Standards Division, 2100 Second Street SW., 
Washington, DC, and is available from the sources indicated in 
paragraph (b) of this section.
    (b) The material approved for incorporation by reference in this 
part and the sections affected are as follows:

International Maritime Organization (IMO)

    4 Albert Embankment, London, SE1 7SR, England.
    Amendments to the Annex to the International Convention on 
Standards of Training, Certification and Watchkeeping for Seafarers, 
1978 (STCW), and the associated Seafarers' Training, Certification and 
Watchkeeping Code (STCW Code), as adopted under resolutions 1 and 2, 
respectively, by the Conference of Parties to the International 
Convention on Standards of Training, Certification and Watchkeeping for 
Seafarers, 1978, held at IMO from June 26 to July 7, 1995--12.01-1; 
12.01-6; 12.02-7; 12.02-11; 12.05-3; 12.05-7; 12.10-3; 12.10-9; 12.10-
11; 12.15-3; 12.15-7; 12.25-45; 12.30-5.
    4. Section 12.01-6 is amended by adding in alphabetical order the 
following new definitions to read as follows:


Sec. 12.01-6  Definitions of terms used in this part.

    Approved training means training that is approved by the Coast 
Guard or otherwise meets the requirements of Sec. 12.03-1.
    Coast-Guard-accepted means that the Coast Guard has officially 
acknowledged in writing that the material or process at issue meets the 
applicable requirements; that the Coast Guard has issued an official 
policy statement listing or describing the material or process as 
meeting the applicable requirements; or that an entity acting on behalf 
of the Coast Guard under a Memorandum of Agreement has determined that 
the material or process meets the applicable requirements.
    Designated examiner means an individual who is trained or 
instructed in assessment techniques and is otherwise qualified to 
evaluate whether a candidate for a license, document, or endorsement 
has achieved the level of competence required to hold the license, 
document, or endorsement. This individual may be designated by the 
Coast Guard, or is designated as part of a Coast Guard-approved 
training or assessment program.
* * * * *
    Practical demonstration means the performance of an activity under 
the direct observation of a designated examiner for the purpose of 
establishing that the performer is sufficiently proficient in a 
practical skill to meet a specified standard of competence or other 
objective criterion.
    Qualified Instructor means an individual who has been trained or 
instructed in instructional techniques and is otherwise qualified to 
provide required training to candidates for licenses, documents, and 
endorsements.
* * * * *
    Standard of competence means the level of proficiency to be 
achieved for the proper performance of duties on board vessels in 
accordance with national and international criteria.
    STCW endorsement means a certificate or endorsement issued in 
accordance with the International Convention on Standards of Training, 
Certification and Watchkeeping for Seafarers, 1978, as amended (STCW). 
An STCW endorsement issued by the Officer in Charge, Marine Inspection 
shall be valid only when accompanied by the appropriate U.S. license or 
document; and if the license or document is revoked, then the 
associated STCW endorsement is no longer valid for any purpose.
    5. In Sec. 12.02-7, paragraphs (d) and (e) are added to read as 
follows:


Sec. 12.02-7  When documents are required.

* * * * *
    (d) Every individual serving as a rating forming part of a 
navigational watch on a seagoing ship of 500 gross tons or more shall 
hold an STCW

[[Page 13316]]
endorsement certifying him or her as qualified to perform the 
navigational function at the support level, in accordance with STCW.
    (e) Every individual who are serving in a rating forming part of a 
watch in a manned engine-room or designated to perform duties in a 
periodically unmanned engine-room, on a seagoing ship driven by main 
propulsion machinery of 750 kW [1,000 hp] of propulsion power or more, 
shall hold an STCW endorsement certifying him or her as qualified to 
perform the marine-engineering function at the support level, in 
accordance with STCW.
    6. In Sec. 12.02-11, the heading is revised, and paragraphs (h) and 
(i) are added, to read as follows:


Sec. 12.02-11  General provisions respecting merchant mariners' 
documents.

* * * * *
    (h) When a merchant mariner's document is issued, renewed, or 
endorsed, the Officer in Charge, Marine Inspection (OCMI), will 
determine whether the holder of the document is required to hold an 
STCW endorsement for service on a seagoing vessel and, if so, and if 
the holder is qualified, will issue the appropriate endorsement. The 
OCMI will also issue an STCW endorsement at other times, if 
circumstances so require if the holder of and the document is qualified 
to hold the endorsement. The OCMI will issue an STCW endorsement for 
the following ratings:
    (1) A rating forming part of a navigational watch on a seagoing 
ship of 500 gross tons or more if the holder of the document is 
qualified in accordance with STCW Regulation II/4 and section A-II/4 of 
the STCW Code, to perform the navigational function at the support 
level.
    (2) A rating forming part of a watch in a manned engine-room, if 
the holder of the document is designated to perform duties in a 
periodically unmanned engine-room, on a seagoing ship driven by main 
propulsion machinery of 750 kW [1,000 hp] of propulsion power or more 
and if the holder is qualified in accordance with STCW Regulation III/4 
and section A-III/4 of the STCW Code, to perform the marine-engineering 
function at the support level.
    (i) At the request of the holder of the document, the OCMI may add 
an endorsement to indicate that the holder has received familiarization 
or basic safety-training required under, Chapter VI of STCW.
    7. In Sec. 12.02-17, paragraph (e) is added to read as follows:


Sec. 12.02-17  Rules for the preparation and issuance of documents.

* * * * *
    (e) An applicant for a merchant mariner's document shall provide a 
document issued by a qualified medical practitioner attesting the 
applicant's medical fitness to perform the functions for which the 
document is issued.
* * * * *
    8. Subpart 12.03, consisting of Sec. 12.03-1, is added to read as 
follows:

Subpart 12.03--Approved Training

Sec.
12.03-1  Approved training other than approved courses.

Subpar 12.03--Approved Training


Sec. 12.03-1  Approved training other than approved courses.

    (a) When training and assessment of competence required by these 
regulations is not subject to the course-approval provisions of 
Sec. 10.302 of this chapter, such training and assessment must meet the 
following requirements:
    (1) The program must have written, clearly defined objectives that 
emphasize specific knowledge, skills, and abilities, and include 
criteria to be used in establishing a student's successful achievement 
of the training objectives.
    (2) The course of training must be set out in a written syllabus 
which conforms to a Coast-Guard-accepted outline for such training and 
includes--
    (i) The sequence of subjects to be covered;
    (ii) The number of classroom hours (i.e., in the presence of a 
qualified instructor) to be spent on each subject;
    (iii) The identify and professional qualifications of the 
instructor(s) to be conducting the training;
    (iv) Identification of other media or facilities to be used in 
conducting the training; and
    (v) Measurements at appropriate intervals of each student's 
progress toward acquisition of the specific knowledge, skills and 
abilities stated in the training objectives.
    (3) Documentary evidence must be readily available to establish 
that all instructors--
    (i) Have experience, training, or instruction in effective 
instructional techniques;
    (ii) Are qualified in the task for which the training is being 
conducted; and
    (iii) Hold the level of license, endorsement, or other professional 
credential required of those who would apply, on board a vessel, the 
relevant level of knowledge, abilities, and skills described in the 
training objectives; provided, however--
    (A) A specialist in a particular field of non-maritime education, 
such as mathematics or first-aid, and an individual with at least 3 
years of service as a member of the Armed Forces of the United States 
specializing in the field in which he or she is to conduct training, 
need not hold a maritime license or document to conduct training in 
that field; and
    (B) A simulator may be used in training if--
    (1) The instructor employing the simulator has received appropriate 
guidance in instructional techniques involving the use of simulators;
    (2) The instructor has gained practical operational experience on 
the particular type of simulator being used; and
    (3) The simulator meets applicable performance standards.
    (4) Essential equipment and instructional materials must be 
conveniently available to allow all students adequate opportunity to 
participate in exercises and acquire practice in performing required 
skills.
    (5) A process of routinely assessing the effectiveness of the 
instructors, including the use of confidential student evaluations, 
must be in place.
    (6) Records of student performance must be maintained for a period 
of not less than 1 year.
    (7) A process must be in place for monitoring at suitable intervals 
that the training program is meeting its training objectives and is 
consistently applying the requirements in accordance with a Coast 
Guard-accepted quality-standards system, which shall include, as a 
minimum, the following:
    (i) Those monitoring the training program shall be individuals who 
are knowledgeable about the subject area being monitored and about the 
national and international requirements which apply to the training 
program, and they shall not themselves be involved in the activities 
being monitored.
    (ii) Persons engaged to conduct monitoring of training programs 
must be provided convenient access to all appropriate documents and 
facilities, as well as opportunities to observe all appropriate 
activities, and to conduct confidential interviews when necessary.
    (iii) Arrangements shall be such as to ensure that persons 
performing monitoring activities shall not be directly or indirectly 
penalized or rewarded by the sponsor of the training program being 
monitored for making any particular observations or for reaching any 
particular conclusions.
    (8) The results of the monitoring must be communicated to the Coast 
Guard within 1 month of completion of those activities.

[[Page 13317]]

    (9) Upon prior notification by the Coast Guard, an opportunity must 
be provided for the Coast Guard to observe training activities and 
review documentation relating to paragraphs (a)(1) through (a)(10) of 
this section.
    (b) The Coast Guard will maintain a list of training programs which 
annually submit a certification, signed by the sponsor or an authorized 
representative of the sponsor, stating that the program is conducted in 
a manner which fully complies with the requirements in offering a 
specified course of approved training. Programs on this list will be 
presumptively considered to offer approved training for the purposes of 
evaluating materials supporting applications for licenses and STCW 
endorsements under this part. This list shall be updated periodically 
and made available to members of the public on request.
    (c) If the Coast Guard determines, on the basis of an observation 
of training activities or a review of relevant documentation, that a 
particular program does not meet one or more of the conditions 
described in paragraph (a) of this section--
    (1) The Coast Guard will so notify the managers or sponsors of the 
program by letter enclosing a report of the Coast Guard's observations 
and its conclusions;
    (2) The managers or sponsors of the program will have a specified 
period to appeal the Coast Guard's conclusions to the appropriate 
official at Coast Guard Headquarters, or to come into compliance with 
the requirement where the program has been found to be deficient; and
    (3) If the appeal is denied, or the deficiency is not corrected in 
the allotted time, or within any additional period considered by the 
Coast Guard to be appropriate considering progress toward compliance, 
the training program shall be removed from the list referred to in 
paragraph (b) of this section until full compliance can be established 
by the Coast Guard, and applications which are based in whole or in 
part on training received from a program at a time when it was not on 
the list may be denied until additional training or assessment can be 
documented.
    9. In Sec. 12.05-3, paragraph (d) is revised, paragraph (e) is 
amended by removing the period at the end and adding a semicolon in its 
place, and paragraphs (f) and (g) are added to read as follows:


Sec. 12.05-3  General requirements.

* * * * *
    (d) Pass an examination demonstrating ability as an able seaman and 
lifeboatman with proficiency in survival craft and rescue boats;
* * * * *
    (f) Complete approved basic safety-training as set out in STCW 
Regulation VI/1 and section a-VI/1 of the STCW Code. This training must 
encompass personal survival, firefighting and fire prevention, 
elementary first aid, and personal safety and social responsibilities. 
The Coast Guard may approve a basic safety-training program designed 
for a particular ship or type of service; however, in that case, the 
Coast Guard will limit the endorsement by indicating the ship or type 
of service. The training must have been completed 5 years or less 
before the date of application for the endorsement. For renewal, the 
applicant shall prove that his or her competence in all the subjects 
encompassed by the training has been assessed and established within 
the last 5 years; and
    (g) Meet the requirements of STCW Regulation II/4 and section A-11/
4 of the STCW Code, if the applicant will be serving in a rating 
forming part of a navigational watch on a seagoing ship of 500 gross 
tons or more.
    10. In Sec. 12.05-7, paragraph (a)(5) is added before the note to 
read as follows:


Sec. 12.05-7  Service or training requirements.

    (a) * * *
    (5) For a candidate to qualify to receive an STCW endorsement for 
service in a ``rating forming part of a navigational watch'' on a 
seagoing ship of 500 gross tons or more, the candidate's seagoing 
service must include training and experience associated with 
navigational watchkeeping and involve the performance of duties carried 
out under the direct supervision of the master, the officer in charge 
of the navigational watch, or a qualified rating. The training and 
experience must be sufficient to establish that the candidate has 
achieved the required standard of competence prescribed in table A-II/4 
of the STCW Code, in accordance with the methods of demonstrating 
competence and the criteria for evaluating competence specified in that 
table.
 * * * * *
    11. In Sec. 12.05-11, the heading and paragraph (a) are revised to 
read as follows:


Sec. 12.05-11  General provisions respecting merchant mariner's 
document endorsed for service as able seaman.

    (a) The holder of a merchant mariner's document endorsed for the 
rating of able seaman may serve in any unlicensed rating in the deck 
department without obtaining an additional endorsement; provided, 
however, that the holder shall hold the appropriate STCW endorsement 
when serving in a ``rating forming part of a navigational watch'' on a 
seagoing ship of 500 gross tons or more.
 * * * * *
    12. In Sec. 12.10-3, the heading, paragraph (a) introductory text, 
and paragraph (a)(6) are revised, and paragraph (c) is added, to read 
as follows:


Sec. 12.10-3  General requirements.

    (a) To be eligible for certification as lifeboatman with 
proficiency in survival craft and rescue boats, an applicant shall be 
at least 18 years of age, shall meet the requirements of STCW 
Regulation VI/2, paragraph 1, and the appropriate provisions of section 
A-VI/2 of the STCW Code, and shall meet one of the following 
requirements:
 * * * * *
    (6) Successful completion of a training course, approved by the 
Commandant, that includes a minimum of 30 hours' actual lifeboat 
training; provided that the applicant produces evidence of having 
served a minimum of 6 months at sea aboard ocean or coastwise vessels.
 * * * * *
    (c) To be eligible for certification as lifeboatman with 
proficiency in survival craft and rescue boats, an applicant shall 
receive approved basic safety-training as set out in STCW Regulation 
VI/1 and section A-VI/1 of the STCW Code. This training must encompass 
personal survival, firefighting and fire prevention, elemental first 
aid, and personal safety and social responsibilities. The Officer in 
Charge, Marine Inspection (OCMI), may approve a basic safety-training 
program designed for a particular ship or type of service; however, in 
that case, the OCMI will limit the endorsement by indicating the 
particular ship or type of service. The training must have been 
completed 5 years or less before the date of application for the 
endorsement. For renewal, an applicant shall prove that his or her 
competence has been assessed and established within the last 5 years.


Sec. 12.10-7  [Reserved].

    13. Section 12.10-7 is removed and reserved.
    14. Section 12.10-9 is added to read as follows:
    
[[Page 13318]]



Sec. 12.10-9  Certificates of proficiency in fast rescue boats.

    (a) Every person engaged or employed in a rating as a lifeboatman 
with proficiency in fast rescue boats shall hold a certificate of 
proficiency in these boats or a merchant mariner's document endorsed 
for proficiency in them.
    (b) To be eligible for a certificate of proficiency in fast rescue 
boats or a merchant mariner's document endorsed for proficiency in 
these boats, an applicant must--
    (1) Be qualified as a lifeboatman with proficiency in survival 
craft and rescue boats under this subpart; and
    (2) Provide sufficient proof that he or she has met the 
requirements for training and competence of STCW Regulation VI/2, 
paragraph 2, and the appropriate requirements of section A-VI/2 of the 
STCW Code.
    15. Section 12.10-11 is added to read as follows:


Sec. 12.10-11  Requirements for those designated to provide medical 
care on board ship.

    (a) Every person designated to provide medical first aid on board 
ship, or to take charge of medical care on board ship, shall hold 
documentary evidence indicating that the holder has attended a course 
of training in medical first aid or medical care, as appropriate.
    (b) The Coast Guard will issue such documentary evidence to the 
person, or endorse his or her license or document, on being satisfied 
that the training required under paragraph (a) of this section was 
sufficient to establish that he or she meets the standards of 
competence set out in STCW Regulation VI/4 and the provisions of 
section A-VI/4 of the STCW Code.
    16. In Sec. 12.15-3, paragraphs (d) and (e) are added to read as 
follows:


Sec. 12.15-3  General requirements.

 * * * * *
    (d) To be eligible for certification as qualified member of the 
engine department, an applicant shall complete approved basic safety-
training as set out in STCW Regulation VI/1 and section A-VI/1 of the 
STCW Code. This training must encompass personal survival, firefighting 
and fire prevention, elementary first aid, and personal safety and 
social responsibilities. The Officer in Charge, Marine Inspection 
(OCMI), may approve a basic safety-training program designed for a 
particular ship or type of service; however, in that case, the OCMI 
will limit the endorsement by indicating the particular ship or type of 
service. The training must have been completed within 5 years or less 
before the date of application for the endorsement. For renewal, the 
applicant shall prove that his or her competence in all the subjects 
encompassed by the training has been assessed and established within 
the last 5 years.
    (e) To be eligible for certification as qualified member of the 
engine department, an applicant shall meet the requirements of STCW 
Regulation III/4 and section A-II/4 of the STCW Code, if he or she will 
be either serving in a rating forming part of a watch in a manned 
engine-room or designated to perform duties in a periodically unmanned 
engine-room on a seagoing ship driven by main propulsion machinery of 
750 kW [1,000 hp] propulsion power or more.
    17. in Sec. 12.15-7, paragraph (c) is added to read as follows:


Sec. 12.15-7  Service or training requirements.

* * * * *
    (c) To qualify to receive an STCW endorsement as ``rating forming 
part of a watch in a manned engine-room or designated to perform duties 
in a periodically unmanned engine-room'' on a seagoing vessel driven by 
main propulsion machinery of 750 kW [1,000 hp] propulsion power or 
more, an applicant shall prove seagoing service that includes training 
and experience associated with engine-room watchkeeping and involves 
the performance of duties carried out under the direct supervision of a 
qualified engineer officer or a member of a qualified rating. The 
training must be sufficient to establish that the applicant has 
achieved the standard of competence prescribed in table A-I/4 of the 
STCW Code, in accordance with the methods of demonstrating competence 
and the criteria for evaluating competence specified in that table.
    18. in Sec. 12.15-11, the heading is revised, paragraphs (a) 
through (j) are redesignated as paragraphs (1) through (10), the 
introductory text is designated as paragraph (a), and paragraph (b) is 
added, to read as follows:


Sec. 12.15-11  General provisions respecting merchant mariner's 
document endorsed for service as qualified member of the engine 
department.

* * * * *
    (b) The holder of a merchant mariner's document endorsed for the 
rating of qualified member of the engine department shall hold the 
appropriate STCW endorsement when either serving in a ``rating forming 
part of a watch in a manned engine-room or designated to perform duties 
in a periodically unmanned engine-room'' on a seagoing vessel driven by 
main propulsion machinery of 750 kW [1,000 hp] propulsion power or 
more.
    19. Section 12.25-45 is added to read as follows:


Sec. 12.25-45  Electronics technician.

    (a) An applicant is eligible to have his or her merchant mariner's 
document endorsed for the rating of electronics technician if he or she 
holds a certificate of completion from--
    (1) Approved training that includes instruction and assessment by 
qualified instructors and designated examiners, and requires the 
student both to complete appropriate examinations and practical 
demonstrations to establish competence in the basic knowledge, 
understanding, and skills necessary to perform maintenance, diagnosis, 
and repair of electronic equipment and installations on board ships and 
to make practical use of maintenance and repair manuals provided for 
such equipment and installations; or
    (2) An FCC- or Coast-Guard-approved course that covers at least the 
scope and content of training outlined in section B-IV/2 of the STCW 
Code for training in maintenance of GMDSS installations on board ships.
    (b) Only an applicant fulfilling the requirements of paragraph 
(a)(2) of this section may be designated to perform at-sea maintenance 
requirements imposed by SOLAS Regulation IV/15.
    (c) An applicant fulfilling only the requirements of paragraph 
(a)(1) of this section will have his or her document endorsed as 
follows: ``electronics technician--non-GMDSS.'' No one whose document 
bears this endorsement may be designated to perform at-sea maintenance 
of GMDSS installations when such a designation is used to meet the 
maintence requirements imposed by SOLAS Regulation IV/15.
    20. Subpart 12.30, consisting of 12.30-1 through 12.30-5, is added 
to read as follows:

Subpart 12.30--Ro-Ro Passenger Ships

Sec.

12.30-1  Purpose of regulations.

12.30-3  Definitions.

12.30-5  General requirements.

Subpart 12.30--Ro-Ro Passenger Ships


Sec. 12.30-1  Purpose of regulations.

    The purpose of the regulations in this subpart is to establish 
requirements for certification of seamen serving on roll-on/roll-off 
(Ro-Ro) passenger ships.


Sec. 12.30-3  Definitions.

    Roll-on/roll-off (Ro-Ro) passenger ship means a passenger ship with 
ro-ro cargo

[[Page 13319]]
spaces or special-category spaces as defined in the International 
Convention for the Safety of Life at Sea, 1974, as amended (SOLAS), and 
to which a SOLAS Certificate is issued.
    MMD means merchant mariner's document.


12.30-5  General requirements.

    To serve on a ro-ro passenger ship after January 30, 2002, a person 
holding an MMD and performing duties toward safety, cargo-handling, or 
care for passengers shall meet the appropriate requirements of STCW 
Regulation V/2 and section A-V/2 of the STCW Code, and have his or her 
MMD endorsed to show his or her meeting those requirements.

PART 15--MANNING REQUIREMENTS

    1. The authority citation for part 15 continues to read as follows:

    Authority: 46 U.S.C. 3703, 8105; 49 CFR 1.46.

    2. Section 15.105 is added to subpart A to read as follows:


Sec. 15.105  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register under 5 
U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that 
specified in paragraph (b) of this section, the Coast Guard must 
publish notice of change in the Federal Register and the material must 
be available to the public. All approved material is available for 
inspection at the Office of the Federal Register, 800 North Capitol 
Street NW., Suite 700, Washington, DC and at the U.S. Coast Guard, 
Operating and Environmental Standards Division, 2100 Second Street SW., 
Washington, DC 20593-0001, and is available from the sources indicated 
in paragraph (b) of this section.
    (b) The material approved for incorporation by reference in this 
part and the sections affected are as follows:

International Maritime Organization (IMO)

    4 Albert Embankment, London, SE1 7SR, England.
    Amendments to the Annex to the International Convention on 
Standards of Training, Certification and Watchkeeping for Seafarers, 
1978 (STCW), and the associated Seafarers' Training, Certification and 
Watchkeeping Code (STCW Code), as adopted under resolutions 1 and 2, 
respectively, by the Conference of parties to the International 
Convention on Standards of Training, Certification and Watchkeeping for 
Seafarers, 1978, held at IMO from June 26 to July 7, 1995--15.401; 
15.403; 15.705.
    3. In Sec. 15.301, the periods at the ends of paragraphs (b)(7) and 
(b)(10) are removed, a semicolon is added in each place, the word 
``and'' is added after the semicolon after paragraph (b)(10), and 
paragraph (b)(11) is added; and paragraphs (c)(7) and (c)(8) are added 
to paragraph (c) as that paragraph will stand after the revision 
effective on March 31, 1996, all to read as follows:


Sec. 15.301  Definitions of terms used in this part.

* * * * *
    (b)* * *
    (11) GMDSS radio operator.
    (c) * * *
    (7) Electronics technician.
    (8) Electronics technician--Non-GMDSS.
* * * * *
    4. In Sec. 15.401, the heading is revised, the existing text is 
designated as paragraph (a), and paragraphs (b), (c), (d), (e), (f), 
(g), (h), and (i) are added, to read as follows:


Sec. 15.401  Employment and service within restrictions of license, 
document, and STCW endorsement.

* * * * *
    (b) On a vessel operating beyond the boundary line, no person may 
employ or engage any person to serve, and no person may serve, in a 
position in which a person shall hold an STCW endorsement, including 
master, chief mate, chief engineer, second engineer, officer of the 
navigational or engineering watch, or radio operator, unless the person 
serving holds an appropriate, valid STCW certificate or endorsement 
issued in accordance with part 10 or 12 of this chapter.
    (c) On a seagoing vessel of 500 gross tons or more, no person may 
employ or engage any person to serve, and no person may serve, in a 
rating forming part of the navigational watch, except for training, 
unless the person serving holds an appropriate, valid STCW certificate 
or endorsement issued in accordance with part 12 of this chapter.
    (d) After January 31, 1997, no person may either be engaged or 
employed to serve on a roll-on/roll-off (ro-ro) passenger ship to which 
a SOLAS certificate has been issued, or perform duties on such a ship, 
unless he or she holds a license or document endorsed for service on 
ro-ro passenger ships in accordance with Sec. 10.1005 or Sec. 12.30-5, 
of this chapter, whichever is appropriate to the service or the duties.
    (e) On a seagoing vessel driven by main propulsion machinery of 750 
kW [1,000 hp] propulsion power or more, no person may employ or engage 
any person to serve, and no person may serve, in a rating forming part 
of a watch in a manned engine-room, nor may any person be designated to 
perform duties in a periodically unmanned engine-room, except for 
training or for the performance of duties of an unskilled nature, 
unless the person serving holds an appropriate, valid STCW certificate 
or endorsement issued in accordance with part 12 of this chapter.
    (f) After January 31, 2002, on a seagoing vessel required to comply 
with provisions of the Global Maritime Distress and Safety System 
(GMDSS) in Chapter IV of SOLAS, no person may employ or engage any 
person to serve, and no person may serve, as the master, chief mate, or 
officer of the navigational watch, unless the person serving holds the 
appropriate Certificate for Operator of Radio in Global Maritime 
Distress and Safety System (GMDSS).
    (g) After January 31, 1997, on a seagoing vessel required to comply 
with provisions of the GMDSS in Chapter IV of SOLAS, no person may 
employ or engage any person to serve, and no person may serve, as the 
person designated to perform at-sea maintenance of GMDSS installations, 
when such designation is used to meet the maintenance requirements 
imposed by STCW Regulation IV/15, unless the person serving holds an 
electronic-technician endorsement not limited to non-GMDSS electronic 
installations.
    (h) After January 31, 2002, on a seagoing vessel fitted with an 
Automatic Radar-Plotting Aid (ARPA), no person may employ or engage any 
person to serve, and no person may serve, as the master, chief mate, or 
officer of the navigational watch, unless the person serving has been 
trained in the use of ARPA in accordance with Sec. 10.205 or 
Sec. 10.209 of this chapter.
    (i) The provisions of paragraphs (b) through (g) of this section 
are effective as of August 1, 1998.
    5. Section 15.403 is added to read as follows:


Sec. 15.403  Familiarization and basic safety-training.

    (a) After January 31, 1997, on a seagoing vessel, no person may 
assign any person to perform shipboard duties, and no person may 
perform those duties, unless the person performing them has received--
    (1) Familiarization training in personal survival techniques as set 
out in the standard of competence under STCW Regulation VI/1; or
    (2) Sufficient training or instruction, to be able to--
    
[[Page 13320]]

    (i) Communicate with other persons on board on elementary safety 
matters and understand information symbols, signs, and alarm signals 
covering information on safety;
    (ii) Know what to do if a person falls overboard; if fire or smoke 
is detected; or if the fire or abandon-ship alarm sounds;
    (iii) Identify stations for muster and embarkation, and emergency-
escape routes;
    (iv) Locate and don life-jackets;
    (v) Raise the alarm and know the use of portable fire 
extinguishers;
    (vi) Take immediate action upon encountering an accident or other 
medical emergency before seeking further medical assistance on board; 
and
    (vii) Close and open the fire, weathertight, and watertight doors 
fitted in the particular ship other than those for hull openings.
    (b) After January 31, 1997, on a seagoing vessel, no person may 
assign any person on board a ship, as part of the complement with 
designated safety or pollution-prevention duties in the operation of 
the ship, to perform shipboard duties, and no person may perform those 
duties, unless the person performing them has--
    (1) Received approved basic safety-training or instruction as set 
out in the standards of competence under STCW Regulation VI/1, 
particularly with respect to personal survival techniques, fire 
prevention and fire-fighting, elementary first aid, and personal safety 
and social responsibilities; and
    (2) Established competence within the last 5 years as part of an 
approved training program, in accordance with the methods and criteria 
prescribed under STCW Regulation VI/1.
    (c) Each person who has met the requirements of either Secs. 10.205 
and 10.209 of this chapter or Secs. 12.05-3, 12.10-3, and 12.15-3 of 
this chapter meets the requirements of this section without further 
training or assessment.
    6. Section 15.411 is added to read as follows:


Sec. 15.411  Maintenance of seamen's records by owner or operator.

    Each owner or operator of a U.S.-documented vessel that operates 
beyond the boundary line shall ensure that procedures are in place, in 
respect of licensed and unlicensed seamen who serve on each such 
vessel, to ensure that the following information is maintained 
throughout their service, and is readily accessible to those in 
management responsible for the safety of vessels and prevention of 
marine pollution:
    (a) Medical fitness.
    (b) Experience and training relevant to assigned shipboard duties.
    (c) Assessment of competence in performance of assigned shipboard 
duties.
    7. In Sec. 15.705, paragraph (f) is revised to read as follows:


Sec. 15.705  Watches.

* * * * *
    (f) Masters of vessels that operate beyond the boundary line shall 
observe the principles concerning watchkeeping as set out in STCW 
Regulation VIII/2 and section A-VIII/2 of the STCW Code.
    8. In Sec. 15.710, the heading is revised, paragraphs (a) through 
(d) are redesignated as paragraphs (1) through (4), respectively, the 
introductory text is designated as paragraph (a), and paragraphs (b) 
and (c) are added to read as follows:


Sec. 15.710  Working hours and rest periods.

* * * * *
    (b) After January 31, 1997, each person assigned duty as officer in 
charge of a navigational or engineering watch, or duty in a rating 
forming part of a navigational or engineering watch, on any vessel that 
operates beyond the boundary line shall receive a minimum period of 10 
hours of rest in any 24-hour period, except in an emergency, a drill, 
or any other overriding operation condition, provided--
    (1) The hours of rest are divided into no more than two periods, 
one of which must be at least 6 hours in length; and
    (2) The minimum period of 10 hours of rest may be reduced to not 
less than 6 consecutive hours as long as--
    (i) No reduction extends beyond 2 days; and
    (ii) He or she receives at least 70 hours of rest in each 7-day 
period.
    (c) The Master shall post watch schedules where they are easily 
accessible. Each schedule must include each affected person.
    (d) For purposes of applying this section--
    (1) Rest period means a period of time during which no tasks are 
assigned to the person concerned, the person is not scheduled to 
perform any duty, and the person is allowed to sleep without being 
interrupted; and
    (2) Overriding operational conditions means circumstances in which 
essential shipboard work cannot be delayed for reasons of safety or 
environment or for reasons not foreseeable at the commencement of the 
voyage.

    Dated: 5 March 1996.
Joseph J. Angelo,
Acting Chief, Office of Marine Safety, Security and Environmental 
Protection.
[FR Doc. 96-7019 Filed 3-25-96; 8:45 am]
BILLING CODE 4910-14-M