[Federal Register Volume 62, Number 123 (Thursday, June 26, 1997)]
[Rules and Regulations]
[Pages 34506-34541]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-16109]



[[Page 34505]]

_______________________________________________________________________

Part II





Department of Transportation





_______________________________________________________________________



Coast Guard



_______________________________________________________________________



46 CFR Parts 10, 12, and 15



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

  Federal Register / Vol. 62, No. 123 / Thursday, June 26, 1997 / Rules 
and Regulations  

[[Page 34506]]



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: Interim rule with request for comments.

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

SUMMARY: The Coast Guard is revising the current domestic rules on 
licensing and documentation of personnel serving on U.S. seagoing 
vessels. This interim rule implements the 1978 International Convention 
on Standards of Training, Certification and Watchkeeping for Seafarers, 
as amended in 1995. Issuing a rule at this time is necessary because 
the 1995 Amendments to STCW came into force on February 1, 1997. The 
Coast Guard is inviting public comments on this rule because the ones 
it got on its proposed rule earlier this year were so useful that this 
rule differs appreciably from that rule.

DATES: This interim rule is effective on July 28, 1997. Comments must 
be received on or before December 23, 1997. The Director of the Federal 
Register approves the incorporation by reference of certain 
publications listed in this rule as of July 28, 1997.

ADDRESSES: Comments may be mailed to the Executive Secretary, Marine 
Safety Council (G-LRA/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-MSO), 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. The 1995 STCW 
amendments are published by the International Maritime Organization 
(IMO) in ``STCW Convention 1995'' (IMO publication No. IMO-938E. This 
publication is available from the International Maritime Organization, 
Publications Section, 4 Albert Embankment, London SE1 7SR, England, 
telephone 011-44-171-735-7611.
    Navigation and Vessel Inspection Circulars (NVICs) are available by 
subscription from the Government Printing Office, Washington, DC 20402, 
telephone (202) 512-1800. Previously issued NVICs available in paper or 
CDROM may be purchased from National Technical Information Services, 
5285 Port Royal Road, Springfield, VA 22161, telephone (703) 487-4650. 
NVICs are located on the World Wide Web at: http://www.dot.gov/dotinfo/
uscg/hq/g-m/gmhome.htm (Go to ``Publications, Reports, and Forms'').

FOR FURTHER INFORMATION CONTACT: Mr. Christopher Young, Project 
Manager, Operating and Environmental Standards (G-MSO), 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 
interim rule 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 rule in view of the comments.
    The Coast Guard plans no additional public hearings. Persons may 
request a public hearing by writing to the Marine Safety Council at the 
address under ADDRESSES. The request should include the reasons why a 
hearing would be beneficial. If it determines that the opportunity for 
oral presentations will aid in this rulemaking, the Coast Guard will 
hold another public hearing at a time and place announced by a later 
notice in the Federal Register.

Regulatory History

    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 enter into force on February 1, 
1997. In the notice of proposed rulemaking (NPRM) published on March 
26, 1996 (61 FR 13284), the Coast Guard proposed a number of changes it 
considered necessary to implement the revised requirements to ensure 
that U.S. documents and licenses are issued in compliance with the 1995 
Amendments to STCW (1995 Amendments).
    STCW sets qualifications for masters, officers, and watchkeeping 
personnel on seagoing merchant ships. It was originally adopted in 1978 
by a conference at IMO Headquarters and it entered into force in 1984. 
Currently, there are 119 Parties to STCW 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 the provisions of 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 STCW had become apparent. They included 
requirements that were too vague and left too much to the discretion of 
the Parties; the absence of clear, uniform standards of competence; 
ineffective international oversight to verify that the Parties were in 
fact complying with the requirements of STCW; limited provisions for 
port-state control; and outdated technical references that failed to 
address modern shipboard systems, job descriptions, and

[[Page 34507]]

approaches to maritime training, such as the use of simulation 
technology.
    The amendments adopted in July 1995 are comprehensive and detailed. 
They concern port-state control, communication of information to IMO to 
allow for mutual oversight, and responsibilities of all 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 
within a quality standards system (QSS) to ensure that stated 
objectives are being achieved.
    The Coast Guard held seven public meetings in the months leading up 
to the conference on STCW to determine what positions U.S. delegations 
should advocate at preparatory meetings held by IMO, and to exchange 
views about amendments to STCW that were under discussion.
    The Coast Guard also took advantage of advisory panels' meetings, 
particularly those of 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 amendments to STCW and the domestic implementation of 
these amendments.
    Again, the Coast Guard published an NPRM in the Federal Register on 
March 26, 1996 (61 FR 13284). That NPRM described the 1995 Amendments, 
and proposed changes to implement them in existing domestic rules on 
licensing (46 CFR part 10), documentation (46 CFR part 12), and manning 
(46 CFR part 15). It also invited comments on the proposed rule. Over 
500 letters were submitted to the public docket. Additionally, a number 
of comments, received by voice mail or in telephone conversations, were 
summarized for the docket. These letters and comments are addressed in 
the ``Discussion of Comments and Changes'' section of this preamble.
    Three public meetings were held to receive comments on the proposed 
rule. These meetings were announced in the Federal Register notice on 
April 8, 1996 (61 FR 15438). Fifty-seven persons attended the meeting 
in New Orleans on May 8, 1996; thirteen persons presented oral comments 
during the meeting. Sixty-four persons attended the meeting in Seattle 
on May 14, 1996; twenty-two persons presented oral comments during that 
meeting. Thirty-four persons attended the meeting in Washington, DC, on 
May 23, 1996; twelve persons presented oral comments during that 
meeting. Comments received during the three meetings are discussed in 
the ``Discussion of Comments and Changes'' section of this preamble.
    Before publication of the NPRM, the Coast Guard held a public 
meeting on August 31, 1995, to discuss the amendments that had been 
adopted by an international conference in July 1995. It invited public 
comments at that time on how the 1995 Amendments should be implemented 
by the United States. Subsequently, it published a Notice of Inquiry 
(NOI) in the Federal Register (60 FR 56970; November 13, 1995) to 
solicit information on the costs that may be associated with 
implementing the 1995 Amendments.
    The comments submitted at the August 1995, public meeting, and in 
response to the Notice of Inquiry, were taken into account in preparing 
the NPRM and the preliminary regulatory analysis.
    The Coast Guard is now seeking comments on this Interim Rule, 
because it has made a number of important changes, particularly as they 
relate to small vessels on domestic voyages, as a result of comments 
received in the docket or at the public meetings. It will take into 
account any comments received in response to this Rule before it 
publishes a final rule.

Discussion of Comments and Changes

     The Coast Guard received over 500 comments responding to the NPRM 
published on March 29, 1996. These comments consisted of both letters 
to the docket and remarks at the public meetings in New Orleans, 
Seattle, and Washington, DC. The following paragraphs contain an 
analysis of comments received and an explanation of any changes made in 
the rule as proposed.
    Several comments noted editorial errors in the NPRM. The Coast 
Guard has incorporated these comments where appropriate, without 
further discussion. In addition, a few comments addressed subjects 
beyond the scope of the revisions proposed in the NPRM. The Coast Guard 
does not discuss these comments in detail.

General Comments

    Many of the comments found parts of the NPRM too vague to determine 
the precise requirements that they would have to meet, or for them to 
estimate the cost of compliance. The Coast Guard has tried to clarify 
the requirements, either by providing examples in the preamble when a 
requirement is under discussion or by adding specificity to the Interim 
Rule. However, in some instances, a degree of generality is needed to 
allow the rules to apply to a wide variety of conditions, and to 
prevent the rules for U.S. merchant mariners and U.S. vessels from 
being unfairly more restrictive than those applying to non-U.S. 
seafarers and non-U.S. ships under the international rules.
    Several comments requested an extension of the comment period 
announced in the NPRM. One comment recommended use of an Interim Rule. 
The 1995 Amendments come into force on February 1, 1997. Therefore, the 
Coast Guard should publish and implement a rule without delay. To 
accommodate requests for an additional comment opportunity, the Coast 
Guard has decided to issue an Interim Rule with a 180-day comment 
period.
    A few comments asserted that domestic operations should not be 
regulated through an international treaty. The application of STCW to 
ships on domestic voyages is not a result of the 1995 Amendments. STCW, 
as adopted in 1978 and as ratified by the United States in 1991, 
applied to personnel serving on ``seagoing ships,'' not only ships on 
international voyages. This scope of application was not modified under 
the 1995 Amendments. Consequently, the Coast Guard is not able to 
provide a general exemption for seagoing vessels on domestic-only 
voyages. Where flexibility is available under STCW for modifying rules 
to be more suitable for smaller vessels on near-coastal voyages, this 
Interim Rule introduces appropriate adjustments.
    Several comments suggested that the new requirements not be imposed 
for at least 2 to 5 years to allow for compliance. There is a 5-year 
transitional period provided under the 1995 Amendments that is intended 
to avoid disruption in the industry by allowing current license holders 
to have their licenses renewed under the prior rules until 2002. The 
Coast Guard has redrafted the rule as proposed to allow for the phasing 
in of new requirements in accordance with the guidance developed by the 
Subcommittee of IMO on Standards of Training and Watchkeeping (STW) at 
its 28th session in September 1996. This guidance was issued in the 
form of an STCW circular (STWC-7/Circ.1; September 24, 1996), which is 
available on request from the Commandant (G-MSO) at the address given 
under ADDRESSES. Where appropriate, the circular is quoted in the 
following discussion.
    Many comments offered observations on the potential impacts of the 
proposed rule. The Coast Guard has taken these

[[Page 34508]]

observations into account in preparing a final regulatory-impact 
assessment. This assessment is discussed under the section entitled 
``Cost-Benefit Evaluation.''
    One comment said the Coast Guard should avoid incorporation by 
reference and should publish all applicable STCW requirements in the 
actual rule. While in specific instances wording from STCW and the STCW 
Code are employed in this Interim Rule, the voluminous nature of the 
materials make this request impracticable. However, STCW and its Code 
are available from the Coast Guard on request, and are readily 
available for purchase from IMO and distributors of maritime 
publications in the U.S.
    Comments concerning specific new requirements or other aspects of 
the NRPM are discussed in the following paragraphs:

Scope of Application

1. General

    The majority of comments expressed a view on the scope of 
application of the proposed rule. A few recommended that the scope be 
expanded to include vessels navigating on inland waters. Most, however, 
sought to restrict the scope by exempting vessels at certain tonnage 
limits engaged in domestic-only voyages, or by exempting vessels 
engaged in a specific type of activity. These comments are summarized 
and discussed in the following paragraphs:

2. International Voyages

    The Coast Guard received twenty-five comments suggesting that STCW 
apply only to ships on international voyages. The Coast Guard does not 
agree. With certain narrow exceptions, STCW applies to all seagoing 
vessels, and the United States, as a Party to STCW, is not able to 
exempt seagoing vessels on the grounds that they operate only to and 
from U.S. ports.

3. Inland Waters and Great Lakes

    Five comments suggested that the rule be expanded to include 
vessels operating on inland waters and on the Great Lakes. The Coast 
Guard does not agree. The rule was and is intended only to implement 
the 1995 Amendments. The 1995 Amendments do not apply to vessels 
operating solely on inland waters, which includes the Great Lakes. To 
apply STCW to such vessels would exceed the scope of this rulemaking.
    In discussions with the Coast Guard, Canadian officials have agreed 
that vessels navigating exclusively within the Great Lakes are outside 
the scope of STCW. However, in issuing certificates to its own 
mariners, Canada does not plan to distinguish the Great lakes from 
other waters.
    One comment expressed concern about the application of STCW to 
vessels navigating between Seattle, Washington, and Vancouver, British 
Columbia, which is an international voyage on waters that require only 
an inland license. Canada has indicated that it expects mariners on 
these vessels to hold the appropriate STCW endorsement. The Coast 
Guard, however, considers vessels operating on the ``inside passage,'' 
between Seattle and Vancouver, to be on inland waters, and therefore, 
outside the scope of STCW.
    The Coast Guard will issue STCW endorsements on request to licensed 
merchant mariners who may be required to display such documents when 
operating within Canadian jurisdiction. The endorsements will be 
limited to service on the ``Inside Passage.''

4. Short Voyages

    Five comments suggested that the Coast Guard exempt vessels that 
operate beyond the Boundary Line but within a short distance of a U.S. 
port (i.e., 20 miles), or on short international voyages. The Coast 
Guard cannot agree with this suggestion because the Convention does not 
provide authority for granting such a broad exemption. STCW, however, 
provides administrative flexibility to allow for exemptions from 
unreasonable or impracticable requirements when personnel are serving 
on vessels engaged in near-coastal voyages. This Interim Rule is 
drafted in a way that allows for the full use of this flexibility, and 
a broad exemption based on length of voyage or distance offshore would 
not be appropriate.

5. Lower-Level Licenses

    One comment stated that the Coast Guard was not taking into account 
the impacts of the STCW requirements on lower-level licenses, and on 
small companies that operate small commercial vessels, such as in the 
charter-boat industry. As explained in this preamble, the Coast Guard 
is taking steps to mitigate any unreasonable or adverse impact the new 
requirements might otherwise have on small vessels and on their 
operations and personnel.

6. Fish-Tender Vessels

    The Coast Guard received 443 comments suggesting that fish-tender 
vessels be classed as fishing vessels, and, so be covered by the 
exemption applying to fishing vessels. These comments explained that 
fish-tender vessels in the Pacific Northwest and in Alaska work hand in 
hand with fishing vessels and even are occassionally used for catching 
fish. After publication of the NPRM, the fishing tenders received this 
exemption under the Coast Guard Authorization Act of 1996 (the Act). 
Section 1146 of the Act states that STCW will not apply to ``a fishing 
vessel, including a fishing vessel used as a fish tender vessel.'' The 
Coast Guard understands the terms ``fishing vessels.'' and ``fish 
tender vessels'' according to their definition in 46 U.S.C. 2101. 
Because of this exemption, the Coast Guard will not discuss in detail 
the range of impacts identified by those in the fish-tender industry 
who commented to the docket expressing concern about the costs of 
complying with the NPRM.

7. Fish-Processing Vessels

    While many comments called for a broad exemption for all fishing-
industry vessels, four comments specifically recommend that the 
exemption for fishing vessels also apply to fish-processing vessels. 
STCW does not provide authority for granting the suggested exemption. 
However, for fish-processing vessels of 200 gross register tons (GRT) 
and over, the Coast Guard can accept compliance with the requirements 
in 46 CFR part 28 (Requirements for Commercial Fishing Industry 
Vessels) as an equivalency for the requirements of basic safety-
training under STCW. Watchkeeping personnel on fish-processing vessels 
will still be subject to the rest-hour rules; but these should not be a 
problem, because most operate on a two-watch system. Licensed and 
unlicensed personnel would be subject to the new requirements for 
receiving and renewing licenses and documents (e.g., medical fitness 
standards; training on automatic radar-plotting aids (ARPA), if the 
ship is fitted with ARPA; and an understanding of bridge teamwork 
procedures).
    For fish-processing vessels less than 200 GRT, the Coast Guard will 
accept compliance with existing laws (statutes and rules), policies, 
and industry standards as an equivalency for the purposes of meeting 
the requirements of STCW.

8. Small Passenger Vessels

    The Coast Guard received twenty-six comments suggesting that STCW 
and the implementing rules not apply to small passenger vessels on 
domestic voyages. STCW does not provide authority for a general 
exemption for these vessels. As previously noted, STCW applies to 
seagoing commercial vessels (except fishing vessels).

[[Page 34509]]

However, special provisions allow for exempting smaller vessels on 
near-coastal voyages from unreasonable or impracticable requirements.
    Two comments suggested that the Coast Guard use equivalences to 
relieve small passenger vessels of unreasonable impacts that are 
perceived to exist if the requirements of the 1995 Amendments are 
imposed. One comment noted that training currently being provided is 
tailored to equipment the carriage of which is required on these 
vessels. A second provided a copy of the deckhand training manual 
currently being used in the small passenger vessel industry to indicate 
how seriously safety is taken. The Passenger Vessel Association (PVA) 
submitted to the docket a video tape as an example of materials being 
used as training aids.
    The Coast Guard has determined that an equivalency between STCW 
requirements and current U.S. laws and industry practice is justified. 
The revisions to the rules on inspection and certification of small 
passenger vessels (subchapters T and K) of Title 46 CFR in CGD 85-080, 
as well as the fact that the Coast Guard has opportunity to perform 
direct oversight over the operational aspects of these vessels, 
supports such an equivalency. Therefore, this Interim Rule imposes no 
new requirements either on personnel serving on these vessels or on 
their owners or operators.

9. Uninspected Passenger Vessels

    While the docket contains only a few comments from the uninspected-
passenger-vessel industry, a couple of charter-boat operations 
commented on the negative impact the proposed rule could have on their 
industry. Although STCW technically encompasses such vessels, domestic 
law generally excludes them. The Coast Guard is exempting personnel 
serving on these vessels from the application of STCW and this Interim 
Rule on the grounds that application of STCW would constitute excessive 
and inappropriate regulation of an activity that has traditionally 
undergone a minimum of Federal scrutiny. The Coast Guard sees no need 
to alter that long-standing condition.

10. Towing Vessels

    While one comment supported application of ``some of the new terms 
and concepts of the 1995 Amendments to the towing industry,'' another 
stated that the rule implementing STCW should be fully consistent with 
the proposals in CGD 94-055, ``Licensing and Manning for Officers of 
Towing Vessels.'' To avoid confusion and possible inconsistencies, 
rules on licenses and documents for towing-vessel personnel will be 
promulgated primarily under CGD 94-055. Only matters directly related 
to implementation of the 1995 Amendments and requirements for holding 
an STCW certificate or endorsement are covered under this Interim Rule.
    In general, the principle of equivalency applies broadly to vessels 
of less than 200 GRT that are not subject to 46 U.S.C. 8304 (i.e., are 
outside the scope of the Officers' Competency Certificates Convention). 
The equivalency will be based, at least in part, on voluntary 
activities taking place within the towing-vessel industry to improve 
safety programs, such as the Responsible Carrier Program of the 
American Waterway Operators (AWO).
    Those interested in issues of towing vessel licensing, however, 
should be aware that STCW endorsements are required for those serving 
on towing vessels operating beyond the Boundary Line.

11. Mobile Offshore-Drilling Units (MODUs)

    Although one comment recommended that the new STCW requirements be 
applied to all MODU personnel, two comments stated that MODUs should 
not be subject to the rules that implement the 1995 Amendments. 
According to the comment, when a MODU is on location off the coast of a 
foreign country, the coastal state can impose its own personnel 
requirements, and neither the U.S., nor the company, has control over 
the training and assessment taking place in that country.
    In domestic law, MODU is the term most commonly used, but IMO 
terminology employs the broader term ``mobile offshore unit.'' This 
term can include a construction barge used in constructing an offshore 
platform. Since the NPRM was published, the Subcommittee of IMO on STW 
has begun discussing the appropriate means of ensuring that maritime 
safety training is provided to personnel on mobile offshore units. STW 
has tentatively determined that only the traditional `maritime crew' on 
a MOU should be subject to the requirements of STCW but that industrial 
personnel (who are neither seafarers nor passengers) should have 
separate and unique competency standards. These special standards for 
industrial personnel cannot definitely be established until IMO has 
completed work on consolidating existing resolutions concerning 
training for personnel on mobile offshore units. Currently, this 
subject is addressed in 46 CFR 10.468 through 10.474 and 10.920. These 
sections are not affected by the Interim Rule.
    For the purposes of implementing STCW under this interim rule, the 
Coast Guard identifies the maritime crew on a self-propelled MODU as 
the crew required by the Certificate of Inspection (COI) and does not 
address other personnel. It will determine whether other implementing 
rules are necessary once the outcome of the IMO deliberations is known.

12. Offshore Supply Vessels (OSVs)

    One comment stated that it was necessary to use equivalences when 
applying STCW to small-vessel operators in the OSV industry, given the 
special characteristics, methods of operation, and nature of service of 
these vessels. The Coast Guard agrees that OSVs require separate 
consideration when determining the most effective way to introduce the 
new STCW requirements. This interim rule takes account of, the special 
characteristics, methods of operation, and nature of service of OSVs, 
particularly in license structure and tonnage thresholds. This matter 
is discussed in more detail under ``Licensing Structure.''
    For OSVs of less than 200 GRT, the Coast Guard considered the size 
and operating conditions of these vessels, in conjunction with the 
existing laws, policies, and industry practices, and has determined 
that such laws and practices serve as an equivalency for the purpose of 
meeting the full requirements of STCW.

Licensing Structure

    Six comments discussed possible revisions to align the U.S. 
licensing structure more closely with the licensing structure in STCW.
    One comment favored a ``dual system,'' under which current 
licensing rules would apply to personnel on domestic service, while the 
new STCW requirements could apply to personnel in international 
service. As indicated under ``Scope of Application'', the Coast Guard 
has determined that such a distinction is not necessary or appropriate.
    One comment suggested that the Coast Guard move from the four-tier, 
four-examination structure to the three-tier, two-examination system of 
STCW. Another comment, however, said that the four-tier structure 
should be retained but that simulator training should be used to reduce 
the total sea-service requirements to upgrade a license.
    Two comments recommended substantial changes in the engineering

[[Page 34510]]

department. Four expressed support for the introduction of some form of 
alternative certification under the U.S. licensing system. One of these 
four recommended consideration of an alternative for smaller ships. 
Another said, ``We support the alternative certification system 
envisioned in STCW and encourage the Coast Guard to work towards 
implementation of this approach. The concept of allowing skills to be 
mixed and matched will help broaden the experience and expertise of all 
onboard.'' This comment, however, gave no details or examples of how an 
alternative certification scheme should be introduced in the U.S. 
licensing and documentation system under current statutory constraints 
(such as the ``cross-over'' prohibition in 46 U.S.C. 8104(e)).
    Two comments stated that the Coast Guard should not introduce 
alternative certification. One of these said it had the potential to 
cause unintended reductions in shipboard manning. The other said that 
the provisions of Chapter VII in STCW were too vague and that 
alternative certification should not be introduced in the U.S. until 
impacts on the crew could be evaluated.
    Because adoption of the Alternative Certification System under 
Chapter VII of the 1995 Amendments involves consideration of how the 
seven functional areas and three levels of responsibility in STCW are 
to be integrated in a new licensing structure, the Coast Guard believes 
that the implications of making changes should first be considered in 
depth by MERPAC.
    One comment expressed concern about meeting the Chief Mate's 
requirements on a two-watch ship with one master and one mate. This 
comment suggested that the mate meet the Chief Mate's requirements. 
Another noted a similar situation in the engine department. When a 
Designated Duty Engineer (DDE) is serving as the only licensed 
engineer, the DDE is in effect the Chief Engineer. This comment stated 
that using the same terminology for the license, the STCW endorsement, 
and the manning section on the COI is of great importance.
    While the above ideas and comments are relevant to a review of the 
U.S. licensing structure (as well as of the review of the system of 
ratings used for unlicensed personnel), the Coast Guard views the 
specific proposals as outside the scope of this rulemaking or as not 
necessary at this time to implement the requirements of the 1995 
Amendments.
    One comment stated that a more suitable license structure is needed 
for the OSV industry. It recommended the following new categories of 
license: (1) Master--OSV; (2) Chief Mate--OSV; (3) Chief Engineer--OSV. 
It stated that introduction of these new license categories would 
``necessitate an in-depth analysis of the functional skills required 
for OSV operation.'' It also said the requirements for training and 
sea-service associated with the new classes of `Chief Engineer--OSV' 
licenses should be based on the current requirements for the 
corresponding classes of DDE licenses: DDE 1000 HP (750 KW), DDE 4000 
HP (3000 kW), and DDE--unlimited.
    The Coast Guard agrees that creating new categories of licenses for 
the OSV industry would be appropriate, particularly in light of the 
development of larger OSVs, and the publication of an interpretive rule 
on alternative tonnage in the Federal Register on December 18, 1996 (61 
FR 66613). Therefore, this Interim Rule provides for the proposed 
categories in part 10. These new categories will have to meet new STCW 
standards, except where the Coast Guard determines that certain STCW 
requirements are inappropriate or unnecessary for service on an OSV, or 
where equivalencies are established under Article IX of STCW. Comments 
submitted to the docket on this approach will be taken into account 
when the Final Rule is prepared.

License Issuance and Renewal

    One comment stated that the new requirements for approved training 
and practical demonstration of competency should apply only to 
seafarers who commence training or sea service on or after August 1, 
1998. The Coast Guard agrees that those new requirements (other than 
basic safety-training and training for Ro-Ro passenger ships) should 
apply only to those seafarers and only on or after that date. But it 
notes that seafarers renewing their licenses for any service that will 
take place on or after February 1, 2002, will have to meet requirements 
for approved training and demonstration of skills to qualify for an 
STCW endorsement which will be valid for such service.
    After publication of the NPRM, the IMO Subcommittee on STW 
developed guidance on the revalidation of certificates after February 
1, 1997, for service on seagoing ships after February 1, 2002. 
Essentially, the STW guidance (as contained in STCW.-7/circ.1; 
September 24, 1996) provides that certificates (i.e., licenses) should 
not be revalidated (or endorsed) for service after February 1, 2002, 
and so makes the certificate holder meet the standards of competence 
required by the 1995 Amendments. However, where the holder does not 
meet specific standards (such as ARPA), the shortfall can be expressed 
as a limitation on the endorsement, which, otherwise is valid for 
service beyond February 1, 2002.
    When renewing U.S. licenses and documents after February 1, 1997, 
the Coast Guard will issue the renewal for 5 years; but the associated 
STCW endorsement will be valid only through January 31, 2002, unless 
the candidate can provide sufficient evidence of having met the 
appropriate new requirements imposed by STCW (i.e., medical fitness; 
thorough understanding of bridge teamwork procedures; assessment of 
continued competency in basic safety within the previous 5 years; 
training with an ARPA simulator, if the ship is fitted with ARPA; 
approved training or assessment of competency as a GMDSS radio operator 
for service on ships with GMDSS; and assessment of continue proficiency 
in Survival Craft within the previous 5 years); and can otherwise meet 
the continued proficiency and recency requirements as set out under the 
current rules on renewal (46 CFR 10.209 and 46 CFR subpart 12.02). 
Where the candidate does not meet the ARPA or GMDSS requirements, an 
appropriate limitation will be placed on the STCW endorsement.
    One comment stated that ARPA and GMDSS certification should be 
required for renewal of all unlimited-tonnage ocean deck licenses, 
regardless of the employment status of the deck officer. Another 
comment recommend that all mates be required to have ARPA training. 
This Interim Rule implements the requirements of the 1995 Amendments 
that require ARPA training only for masters and mates serving on ships 
fitted with ARPA, though it retains the option for limiting a license 
to service on ships not fitted with ARPA or ships outside GMDSS.
    Two comments expressed concern about the impact of the 1995 
Amendments on the pool of mariners available when needed on ships of 
the Ready Reserve Fleet (RRF). One of these comments recommended that 
those seeking renewals of licenses for continuity purposes only have to 
meet the new requirements. The Coast Guard does not agree with this 
suggestion. The ``continuity only'' endorsement is issued when the 
candidate is unwilling or unable to meet the professional or physical 
requirements set out in Sec. 10.209. To make a candidate meet either 
kind of requirement would be inconsistent with the purposes stated in 
Sec. 10.209(g).
    In addition, the Coast Guard will work with the Maritime 
Administration (MARAD) and the Military Sealift

[[Page 34511]]

Command (MSC) to identify whether any new STCW requirement creates a 
problem for manning of ships of the RRF and will use existing authority 
to make any necessary adjustments on the COI if the need arises.
    One comment said State pilots applying for renewal of Federal 
licenses should have to be trained in ARPA, bridge teamwork procedures, 
and personal survival. This comment recommended a special endorsement 
for pilots: ``Non-sailing license valid for pilotage only.'' The Coast 
Guard does not agree there is a need for the recommended endorsement. 
Anyone who applies for a license or renewal under 46 CFR part 10, even 
a State pilot, must meet the requirements for that license. Where 
limitations are available (as they are for ARPA and GMDSS) the 
applicant can receive a license with the appropriate restricted 
endorsement. The section on GMDSS contains further discussion of pilot 
requirements.

Documentation

    Two comments recommended that the Coast Guard take steps to combine 
the U.S. license and the STCW endorsement into a single, 
internationally acceptable document, as permitted under the 1995 
Amendments. For now, the Coast Guard will issue two separate documents 
in most cases; the STCW endorsement will be valid only when accompanied 
by the valid license of a holder. In the near future, the Coast Guard 
will begin issuing a combined document to licensed personnel serving on 
some classes of small vessels on domestic voyages. The possible 
combination of the STCW endorsement with all licenses and documents for 
seagoing service will be reviewed at a later date, since this 
combination does not appear feasible during the transitional period 
(1997 to 2002) when the 1978 STCW endorsements are phased out and the 
1995 STCW endorsements are phased in.

Tonnage

    Tonnage is a parameter used in the shipping laws to regulate a 
vessel according to its size. The traditional system used in the United 
States for measuring a vessel to determine its tonnage (called the 
``regulatory measurement system or Gross Register Tonnage (GRT)'') 
consists of the standard, dual, and simplified measurement systems 
promulgated under 46 CFR part 69, subparts C, D, and E, respectively. 
The regulatory measurement system (with the exception of the simplified 
system used primarily for smaller vessels) is authorized under 46 
U.S.C. chapter 145 and provides for a complex series of internal 
measurements and exemptions to arrive at gross tonnage. Over time, this 
system has become increasingly susceptible to manipulation because the 
system allows vessel designers to use features, such as excessive 
framing and tonnage openings, solely to reduce the gross tonnage of the 
vessel artificially. In this manner, increasingly larger vessels can be 
designed to fall within the tonnage bounds of their class.
    In response to this development, the United States ratified the 
International Convention on the Tonnage Measurement of Ships, 1969, 
which establishes a worldwide system of measurement that provides a 
genuine representation of a vessel's size. Convention measurement is 
authorized under 46 U.S.C. chapter 143 and is implemented in 46 CFR 
part 69, subpart B. Under the convention measurement system, gross 
tonnage (GT) is based on a logarithmic function of the total enclosed 
volume of the vessel and is not subject to manipulation by the use of 
tonnage reduction techniques. Because convention measurement does not 
allow for artificial tonnage reduction techniques, vessels measured 
using this system often are greater in tonnage than vessels measured 
using regulatory measurement.
    Six comments discussed the introduction of the tonnage thresholds 
in the 1995 Amendments (i.e., 500 and 3,000 gross tons (GT)) into the 
U.S. licensing regulations (46 CFR part 10). MERPAC recommended that a 
threshold of 3,000 GT be added as a new category of license without 
deleting any existing category. MERPAC also suggested that the 
requirements for the 3,000-GT license be identical to the requirements 
for a 1,600-GRT license. Therefore, anyone holding a 1,600-GRT license 
for a service on a ship on near-coastal or ocean service should be 
entitled to hold an STCW endorsement for service on seagoing ships of 
3,000 GT.
    Furthermore, MERPAC recommended that a merchant mariner holding a 
200-GRT license for service on a ship on near-coastal or ocean service 
be entitled to hold an STCW endorsement for service on seagoing ships 
of 500 GT. This is explicitly permitted by STCW Regulation I/15.
    One comment suggested that the Coast Guard make use of equivalents 
to align domestic and international tonnage on U.S. licenses and STCW 
endorsements. Another comment stated that it had no preference on how 
tonnage thresholds were introduced, as long as license holders were not 
penalized or precluded from serving on vessels for which they are 
presently qualified. A third comment said that the 1600-ton Master 
license should be retained, because its removal could have many 
implications.
    Two comments recommended that the threshold for an unlimited U.S. 
deck license be raised to 3000 GT, but one comment stated that 
retaining parallel tonnage (i.e., both GRT and GT) would be confusing. 
One comment supported the idea of adjusting 1600 GRT to 3000 GT, but 
said there needed to be a clear path for advancement from unlicensed 
rating to licensed officer when service has been on a vessel with a low 
GRT (e.g., 97) but a high GT (e.g., 1671).
    After publication of the NPRM, the Coast Guard Authorization Act of 
1996 (the Act) opened up a new possibility for addressing the 
difference between tonnage thresholds employed in U.S. licensing rules 
(GRT) and those employed in international conventions, such as STCW, 
and based on the international tonnage-measurement system (GT). A 
special mechanism (interpretive rule) will enable the Coast Guard to 
align the tonnage thresholds used in domestic statutes and rules with 
the appropriate ones used in international conventions. Additionally, 
the Act allows for the issuance of licenses and documents on the basis 
of the international tonnage. In light of these new statutory 
provisions, the Coast Guard will defer deciding whether it is necessary 
to include a new STCW tonnage threshold in the licensing rules.
    In preparing a final rule and any policy guidance on issuance of 
STCW endorsements, the Coast Guard will take into account developments 
relating to the interpretation of tonnage equivalencies as authorized 
by the Act. It also notes that STCW Regulation I/15, paragraphs (3), 
explicitly allows an Administration to change 200 GRT (under the 
national tonnage system) to 500 GT (under the international tonnage 
system), and 1600 GRT to 3000 GT.
    Meanwhile, the Coast Guard considers it appropriate to reconfirm an 
understanding that was expressed at the time the Senate gave its 
consent to ratification of STCW in 1991. The Coast Guard will apply the 
domestic tonnage-measurement system in determining the application of 
STCW to vessels of less than 1600 GRT that operate exclusively to and 
from U.S. ports. (See letter from Secretary Skinner to Chairman Pell of 
the Senate Foreign Relations Committee dated January 29, 1991, and 
printed in S. Hrg. 102-106).

Seagoing Service

    One comment noted that the sea-service requirements in the existing 
rules for licenses for service on small

[[Page 34512]]

ships were not fully consistent with those in STCW. This comment, 
however, did not recommend any specific changes to the existing rules. 
The sea-service requirements in 46 CFR part 10 are linked to size of 
vessel, area of operation (ocean or near-coastal), and category of 
license. Since no changes were proposed in the NPRM, and none have been 
proposed to the docket, the Coast Guard is retaining the current sea 
service requirements under the Interim Rule.

Medical Fitness

    Four comments made recommendations for addressing standards of 
medical fitness for U.S. merchant mariners in this interim rule. One 
comment said the industry would benefit from Coast Guard guidance on 
``performance requirements,'' (such as lift and carry so many pounds, 
and flexibility) in a revision of NVIC 6-89, Physical Evaluation 
Guidelines for Merchant Mariner's Documents and Licenses. Another 
comment suggested a revision of this NVIC to address several factors in 
determining fitness, including diagnosis, specific physical or mental 
impairment, job description, likelihood of recurrence, and feasibility 
of obtaining effective medical treatment offshore.
    MERPAC suggested that the standards used by the Coast Guard for 
issuance of an original license (as set out in NVIC 6-89) be applied to 
all applicants for merchant mariners' documents (MMDs). Two comments 
suggested that the Coast Guard regard the Seafarers Health Improvement 
Program (SHIP) as the guidelines to be used by medical practitioners 
conducting physical examinations of merchant mariners. (SHIP is a 
MARAD-sponsored program that has developed guidance on physical 
standards for ``Original Entry of Seafarers into the U.S. Merchant 
Marine'' and for ``Retention of Seafarers in the U.S. Merchant 
Marine.'' The guidance was adopted by a joint committee of government 
and industry in 1985, and is currently being revised). One comment 
stated that this would assist in compliance with the Americans with 
Disabilities Act (ADA). Another comment said medical standards should 
apply equally to all crew members on board: they all must be equally 
fit.
    Taking into account the above suggestions, as well as ongoing 
efforts by the International Labor Organization (ILO) and the World 
Health Organization (WHO) to define international standards of medical 
fitness for seafarers, the Coast Guard, in consultation with MERPAC, 
plans to revise NVIC 6-89 to reflect the appropriate material in SHIP. 
Under this Interim Rule, the NVIC in its current or revised form will 
apply as of August 1, 1998, to candidates for NMDs), licenses, and 
renewals for service on seagoing ships (except those ships explicitly 
exempted from this rule and those for which current rules are used as 
an equivalency for meeting STCW requirements.
    One comment said that this rule should require mariners to report 
any taking of prescribed medicine. The Coast Guard agrees that this is 
important information, particularly in the case of watchkeeping 
personnel; however, no such requirement was proposed in the NPRM and 
none is mandatory for implementing the 1995 Amendments. Therefore, this 
interim rule is not calling for it. The Coast Guard will taken into 
consideration any comments submitted to the docket in this matter in 
determining whether to make a change in the final rule.
    With respect to the qualifications of any person professionally 
competent to serve as a ``medical practitioner'' when evaluating the 
medical fitness of a merchant mariner, three comments said a certified 
physician should perform this function. One comment suggested that a 
licensed nurse practitioner be allowed to certify medical fitness; 
otherwise, some mariners would have difficulty locating a qualified 
medical practitioner.
    The Coast Guard is not convinced that a licensed or certified 
physician is necessary in all cases to determine whether a seafarer is 
medically fit for duty. Certainly, in circumstances where a medical 
condition suggests unfitness, a physician should be consulted. However, 
current policy is to permit licensed medical doctors, licensed nurse 
practitioners, and licensed physicians' assistants to certify medical 
fitness. Appeals in all cases reach a licensed physician with special 
knowledge of maritime work. The Coast Guard will continue this policy 
for the time being. Comments identifying special concern with this 
approach must be submitted to the docket during the comment period. 
According to comments received, the Coast Guard will dispose of this 
matter in preparing the Final Rule.

Approved Training

    One comment said allowing training programs to be ``self-
certified'' as meeting Coast Guard standards could unfairly place 
mariners at risk. This comment suggested that training be certified 
ahead of time by an independent third party. The Coast Guard agrees 
that either the Coast Guard or the entity performing monitoring under a 
QSS must certify that the training meets certain standards before it is 
offered to students. This Interim Rule requires provisional 
certification, based on an initial evaluation under a Coast Guard-
accepted QSS, that the training is capable of meeting its stated 
objectives. Comments on this approach will be taken into account in the 
Final Rule.
    One comment suggested that the proposed process for removing 
training from the Coast Guard's list of approved training be applied to 
all Coast Guard-approved courses. The Coast Guard is not convinced that 
this would be appropriate at this time. The higher degree of direct 
Coast Guard oversight involved in Coast Guard-approved courses allows 
for immediate action if the conditions for approval are not being met.
    One comment stated that the Coast Guard should accept 
responsibility for approving and monitoring training provided on board 
ships. The Coast Guard agrees that the standards for approval fall 
within its responsibility, but insists that its ongoing oversight would 
be impracticable unless third parties were available to help administer 
the QSSs.
    One comment stated that the Coast Guard places too much emphasis on 
classroom hours in its course approvals. This can inhibit innovative 
approaches to training based on performance criteria and the use of 
remote technology. The Coast Guard understands the number of classroom 
hours to be one indication of how much time a course assigns to 
theoretical material as opposed to practical instruction. This remains 
an important, though not an exclusive, consideration in evaluating the 
suitability of a particular course for approval. However, the Coast 
Guard agrees that references in Sec. 10.309(a)(2)(ii) as proposed might 
have been unduly restrictive. Therefore, it is replacing the phrase 
``classroom hours in the presence of a qualified instructor'' with the 
phrase ``number of hours devoted to instruction in relevant areas of 
knowledge.''

Quality Standards System

    One comment suggested that the requirements for QSSs be effective 
by August 1, 1997, to ensure that the QSSs themselves are fully in 
place by August 1, 1998. This Interim Rule puts a QSS in place for any 
training that implements a requirement of the 1995 Amendments to STCW. 
For most training, this will begin with candidates entering the system 
as of August 1, 1998. In the interim, when training is being modified 
to satisfy STCW, the

[[Page 34513]]

Coast Guard course-approval process will be available to serve as 
equivalent to or substitute for the QSS required by STCW.
    Ten comments responded to possible methods for meeting the 
requirement that elements of training and assessment be monitored by a 
QSS. Two comments stressed the need for flexibility by the Coast Guard 
in determining what qualifies as an acceptable QSS. Another comment 
stated that effective QSSs require both a standard of quality and a 
process for overseeing those who apply the standards.
    One comment preferred the concept of the ``regional accrediting 
body,'' under option (a) in the NPRM (61 FR 13288; March 26, 1996), for 
overseeing maritime training institutions. This comment suggested that 
``teams of visitors'' be coordinated by the Coast Guard, and that 
rankings range from ``fully accredited'' through ``conditionally 
accredited,'' to ``probationary status.'' While not opposed in 
principle to degrees of accreditation, the Coast Guard has determined 
that it would not need to be directly involved in assembling and 
managing ``teams of visitors'' for there to be an effective 
accreditation system.
    One comment specifically suggested that the QSS option (d), under 
the preamble to the NPRM, remain available to the industry for meeting 
the QSS requirements. This option would let an organization or company 
that has developed a QSS for maritime training be accepted or 
authorized by the Coast Guard to perform the monitoring. Another 
comment suggested this should be the only approach to meeting the QSS 
requirements. The Coast Guard, however, has determined flexibility for 
meeting QSS requirements should be retained in this Interim Rule.
    Two comments expressed a preference for option (e), under the 
preamble to the NPRM. This option requires a 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.'' One comment, 
however, expressed concern that this option might not provide for 
objective oversight since conflicts of interest could arise if 
competitors were monitoring each other.
    Another comment stated that the Coast Guard should consider forming 
panels to evaluate training programs on a regional basis, because it 
would be difficult to ensure national uniformity. This comment stated 
that the current Coast Guard approval process is the best standard and 
that the STCW requirements for QSS should be deemed met by this 
process.
    One comment stated that the Coast Guard needed to be concerned 
about uniformity in the QSS. This comment suggested that the Coast 
Guard periodically perform QSS evaluations before submitting its report 
to IMO under STCW Regulation I/8. The Coast Guard agrees that 
uniformity (common standards) must be maintained. As drafted, the 
Interim Rule allows the Coast Guard to conduct its own evaluations 
before submitting its report to IMO.
    MERPAC supported the approach employing a panel of maritime-
education specialists, but suggested expanding the phrase ``maritime 
training institutions'' to include maritime associations, maritime 
trade organizations, and maritime training institutions, corporations, 
or other organizations, providing these entities meet the requirements 
of Sec. 10.309(a) (that section sets out three minimum requirements for 
those conducting independent evaluation of training or assessment). The 
Coast Guard agrees with this suggestion and will include it in the 
policy guidance that it will issue by NVIC to provide a procedure for 
application and acceptance for Coast Guard-accepted QSSs.
    One comment stated that a combination of options (a) and (e) 
(regional accreditation and a panel of experts) is needed to keep QSS 
requirements from making procedures more important than results. This 
combination is permitted under the Interim Rule.
    Five comments suggested allowing an additional option for meeting 
the QSS requirements. According to these comments, in-house training 
and assessment conducted by a company should be recognized as approved 
training, especially if that company holds a valid International Safety 
Management (ISM) certificate. While the Coast Guard accepts that the 
ISM certificate meets the overall intent of a QSS for training and 
assessment, the holding of the certificate would not in itself satisfy 
all of the reporting requirements associated with STCW Regulation I/8.
    The Coast Guard concurs with one comment, which stated, ``Operators 
who either voluntarily comply with the ISM Code or are required to be 
ISM-certified by June 1, 1998, and who incorporate the training 
requirements outlined in the 1995 Amendments to the STCW into their 
training plan, should be recognized as meeting the intent of STCW 
Regulation I/8[,] which requires Parties to ensure that all training 
and assessments are `continuously monitored through a quality-standards 
system' including the qualifications and experience of instructors and 
assessors.'' [Emphasis added]
    Taking the preceding into account, the Coast Guard plans to accept 
the ISM Certificate of a company as sufficient evidence of a QSS for 
in-house training and assessment, provided that the company 
incorporates, in its ISM program, a commitment to comply with 46 CFR 
10.309. This includes the obligation, when appropriate, to allow the 
conducting of assessment only by qualified assessors and to notify the 
National Maritime Center (NMC) of the Coast Guard advance of training 
or assessment it will be conducting, as well as of the results of 
independent monitoring (also in accordance with Sec. 10.309). The 
stated aim must be to meet the relevant training objectives set out in 
the 1995 Amendments to STCW.
    In this regard, one comment suggested that the monitoring interval 
be governed by ISM standards. The ISM Certificate is valid for 5 years, 
a period consistent with the STCW requirement that independent 
monitoring take place at intervals of not more than 5 years. However, 
at least at the initial stages, Coast Guard course approvals are 
renewed at shorter intervals. The interval will depend on the 
complexity of the training and assessment, or on the frequency with 
which important changes in them are likely to be introduced. This 
Interim Rule does not fix a specific interval. The interval will be one 
relevant factor when the Coast Guard determines that it will identify a 
particular QSS as Coast Guard-accepted for purposes of Sec. 10.309. 
Comments submitted to the docket on this matter will be taken into 
account in preparing the Final Rule.
    One comment stated that the Coast Guard should continue to offer 
course approvals until August 1, 1998, but that, after that date, all 
approved training should be conducted only under a QSS acceptable to 
the Coast Guard. The Coast Guard partly agrees. However, at the present 
time there is no guarantee that third-party options for QSS will be 
available to allow the Coast Guard to withdraw from the course approval 
process.
    One comment expressed concern that small maritime training schools 
would incur a new cost if they had to meet QSS requirements as well as 
Coast Guard course-approval requirements. This interim rule will not 
impose two sets of requirements. Schools that receive Coast Guard 
course-approval will be deemed to be in compliance

[[Page 34514]]

with the QSS requirement under this rule.
    One comment suggested a trial period to ensure that effective 
oversight can be maintained over any third party playing a critical 
role in QSS and in approved training. The Coast Guard agrees; it plans 
to entertain proposals for QSSs on a provisional or trial basis but to 
accept only those that can demonstrate the ability to maintain an 
independent monitoring based on, or adapted from, the guidance QSS in 
Section B-I/8 of the STCW Code.

Qualified Instructors and Assessors

    One comment stated that the qualifications for instructors needed 
to be clarified; it identified professional knowledge as a more 
important factor than whether the merchant mariner held certain 
endorsements. On the other hand, another comment suggested that every 
instructor hold a license at least one level higher than that sought by 
the student. The Coast Guard considers both professional knowledge and 
professional qualifications to be important elements for instructors 
and assessors.
    MERPAC has recommended that the Coast Guard certify individual 
Maritime Instructors, Maritime Practical Examiners, and Maritime 
Simulator Examiners to ensure that instructors and assessors, as well 
as the institutions who employ them, are accountable for training and 
assessing the competency of mariners. Under this recommendation, the 
Coast Guard would accept applications from individual applicants, 
independent of course approvals, and issue certificates to qualified 
applicants valid for 5 years.
    A ``Certified Maritime Instructor'', according to MERPAC is someone 
giving instruction as part of an approved course or approved training 
program. This instructor would be competent in developing and 
administering written or oral examinations as part of an approved 
training program. To qualify for this designation, an applicant would 
have to (a) possess a valid U.S. merchant mariner's license, or provide 
documentation representing equivalent experience (i.e., merchant 
marine, military, or other, comparable job experience); (b) have at 
least one year of operational experience in a capacity corresponding to 
the level of qualification for which he or she would instruct; and (c) 
present any of four forms of evidence: of completion of a course of 
instruction in education that conforms with the intent of IMO guidance 
on training for instructors (IMO Model Course 6.09; of a current 
teacher's certificate issued by a State, county, or city that 
authorizes the holder to teach in a junior or senior high school or in 
adult education; of employment as an instructor in an accredited 
college, university, or post-secondary vocational-technical school; or 
of service as a classroom instructor in a maritime-related course (even 
if not Coast Guard-approved) for 2 years in the preceding 5 years. 
MERPAC recognized that waivers from these minimum requirements may be 
appropriate when they are consistent with guidelines established by the 
Coast Guard.
    A ``Certified Maritime Practical Examiner,'' according to MERPAC, 
is someone observing and evaluating practical demonstrations for the 
issuance of certificates of completion of approved courses or other 
approved training that will be presented to the Coast Guard for 
licenses, certificates, or documents. MERPAC recommended that this 
examiner (a) have attained at least the level of qualification for 
which the assessment is being conducted; (b) have accumulated at least 
2 years of operational experience in a capacity corresponding to the 
level of qualification concerned; and (c) understand and implement 
assessment techniques and evaluation processes. Again, MERPAC 
recognized that waivers may be appropriate when they are consistent 
with guidelines established by the Coast Guard.
    A ``Certified Maritime Simulator Examiner,'' according to MERPAC, 
is someone conducting simulator-based assessments and corresponding 
written examinations for the issuance of certificates of completion of 
approved courses or other approved training that will be presented to 
the Coast Guard for licenses, certificates, or documents. MERPAC 
recommended that this examiner (a) have an appropriate level of 
knowledge and understanding of the competence to be assessed; (b) be 
qualified for the task being assessed; (c) be qualified as a 
``Certified Maritime Instructor''; and (d) have practical experience of 
assessment on the particular type of simulator while under the 
supervision, and to the satisfaction, of an experienced assessor. Once 
again, MERPAC recognized that waivers may be appropriate when they are 
consistent with guidelines established by the Coast Guard.
    One comment supported the proposal in Sec. 10.309(a)(4) in the NPRM 
exempting certain instructors from holding Coast Guard licenses or 
MMDs. This comment recommended that marine instructors currently 
employed at maritime-training facilities be exempt from current 
certification requirements and that only those hired after a certain 
date be subject to new certification requirements.
    One comment stated that faculty members at State and Federal 
maritime academies should be presumed qualified as a consequence of the 
thoroughness of the selection process. Fair enough, but the process 
must accord with the provisions of 46 CFR part 310.
    The Coast Guard agrees that policy guidance along the lines 
developed by MERPAC is needed for those monitoring training and 
assessment. This can best be provided through a NVIC. The Coast Guard 
will issue a NVIC on QSSs that will take into account the 
recommendations of MERPAC on the qualifications of qualified 
instructors and designated assessors.
    However, the Coast Guard does not agree that it is necessary to 
issue an individual certificate to every person serving as a maritime 
instructor, or conducting assessments and examinations. The guidelines 
for qualifications as instructor and assessor should be sufficiently 
clear to allow for qualifications to be established and verified in the 
context of Coast Guard course approvals, or in the context of other 
approved training subject to a QSS. Therefore, the options presented in 
the NPRM will persist in this Interim Rule: the instructor or assessor 
may be personally designated by Coast Guard letter or endorsement on 
his or her license or document or may be designated in the context of 
an approved program of training or assessment.
    The Coast Guard agrees that faculty members at maritime academies 
are presumptively qualified to be instructors and assessors while they 
are so employed. Sections Secs. 10.103 and 12.01-6 of this interim rule 
take this into account. Comments on this presumption, or equivalent 
presumptions for other categories of instructors, should be submitted 
to the docket; they will be taken into consideration when the Coast 
Guard prepares the final rule.

Use of IMO Model Courses

    One comment stated that, although a training provider might be able 
to cover required material effectively in a certain number of days, the 
Coast Guard might inadvertently cause the provider to ``pad'' the 
material so it would occupy the number of days recommended in the 
relevant IMO model course. The Coast Guard views IMO model courses as 
good guidance, but does not enforce specific time periods if it is 
clear that an equivalent level of training can be achieved in a shorter 
period using a

[[Page 34515]]

different approach for effectively covering the same material.
    The Subcommittee of IMO on STW in September 1996, validated the 
GMDSS radio operator course as an IMB model course. It included a 
footnote to emphasize achievement of learning objectives rather than 
devotion to specified time periods to individual subjects. It expressed 
this principle as follows: ``Providing that the learning objectives 
contained in this course are fully achieved, the course timetable may 
be adjusted to suit course entry requirements based on different 
standards of prior knowledge in radiocommunications or seagoing 
experience. In addition, any adjustment should take into account the 
need to maintain en effective instructor to student ratio and adequate 
access to equipment for practical training during the course.''
    The Coast Guard views this principle as applicable to all IMO model 
course used as guidance for course approval. In addition, the course 
length must provide students with an adequate opportunity to achieve 
the training objectives.

Simulators

    Seven comments discussed the use of simulators and Personal 
Computer-based (PC-based) training to comply with the requirements of 
the 1995 Amendments. One comment submitted resolutions from the Fourth 
U.S. Conference on Radar Simulation held in June 1996, at the Maritime 
Institute of Technology and Graduated studies, Linthicum Heights, 
Maryland. The resolutions recommended (1) use of IMO model-course 
format for submission of all Radar and ARPA training-course approvals; 
(2) use of IMO learning objectives from the relevant IMO model course; 
(3) minimum number of hours of training; (4) maximum number of students 
on each radar display for training evaluation; (5) recertification of 
ARPA competency every 5 years; and (6) use of STCW performance 
standards for radar and ARPA simulators used for testing, and allowance 
for grandfathering of existing radar and ARPA simulators as proposed in 
the NPRM.
    One comment expressed concern that simulator-based training may be 
too expensive to use as a standard for meeting STCW requirements. Three 
comments suggested that technical-performance standards be determined 
before considering simulators for use in training. One comment 
recommended that technical definitions be established for ``simulator'' 
and ``simulation.'' Another comment recommended that MERPAC develop 
definitions or performance standards that let PC-based training be 
classified within the scope of simulator training.
    One comment suggested that the Coast Guard allow for a wide range 
of computer-based training to meet STCW requirements.
    Two comments noted that simulators should be realistic for 
practical training but that simulation should not be accepted as a 
substitute for sea time. The Coast Guard disagrees that this interim 
rule should prohibit simulation as a substitute for sea time, but 
agrees that the degree of realism provided by the simulator is an 
important factor when judging whether a particular simulator-based 
training is suitable as a substitute for sea time.
    One comment contended that the Coast Guard should focus on the 
desired outcomes (i.e., skills to be acquired and assessed) rather than 
on the technical performance standards, which may become obsolete.
    One comment noted that flexibility is necessary, but held some 
level of realism beyond that of a personal computer monitor is a 
reasonable requirement. Two comments recommended that PC-based training 
be limited to use as a diagnostic tool for instructors.
    The Coast Guard's Research and Development (R&D) Center has 
suggested that, ``at a time of rapid technological development, desk-
top simulators should be a part of the allowable variety,'' provided 
that the minimum standards of performance can be identified.
    This interim rule is placing no restrictions on the use of 
computer-based training or assessment provided it serves the objectives 
and meets the standards required for Coast Guard approval or under the 
applicable QSS. Sections A-I/12 and B-I/12 of the STCW Code provide 
technical specifications and operative guidance on the use of 
simulation for training and assessment.

GMDSS

    Five comments addressed the proposed requirement for masters and 
mates serving on ships in the GMDSS to be qualified as GMDSS radio 
operators under Regulation IV/2 of the 1995 Amendments.
    MERPAC recommended that proposed 46 CFR 10.205(1) require 
candidates for masters' and mates' licenses, for service on ships 
participating in GMDSS, to obtain Federal Communications Commission 
(FCC) licenses as GMDSS operators, and either to complete a course 
approved by the Coast Guard or FCC on GMDSS, or otherwise to 
demonstrate proficiency in training approved by either of those 
agencies. Two comments suggested that the rule allow credit for courses 
and company-sponsored training completed before the approval process 
was put in place.
    One comment noted that the FCC licensing program does not now 
require either a course completion or a practical demonstration of 
competency. Another comment suggested that the Coast Guard, rather than 
the FCC, approve courses and training for GMDSS radio operators, and 
that the FCC continue to act as the agency responsible for licensing 
mariners as GMDSS radio operators and maintainers.
    One comment urged that the course approval not require the use of a 
simulator and not be linked too rigidly to a length criterion. 
Discussion of time periods is discussed above in the section on ``Use 
of IMO Model Courses.''
    The National GMDSS Implementation Task Force (a panel comprising 
government and industry under the sponsorship of the Coast Guard) 
recommended that the Coast Guard issue a certificate for operators of 
radios in the GMDSS upon presentation of a certificate of completion 
from a Coast Guard-approved course. The Task Force further recommended 
that the syllabus for an approved GMDSS course (a) be based on the IMO 
model training course for GMDSS General Operator Certificates and (b) 
require demonstration of practical ability to operate GMDSS equipment 
in accordance with STCW requirements. And, for those persons who 
already hold FCC certificates for GMDSS radio operator, the Task Force 
recommended that all candidates for renewal of licenses after February 
1, 1997, meet the requirements of STCW Regulation IV/2 (Mandatory 
minimum requirements for certification of GMDSS radio personnel).
    In general, the Coast Guard agrees with these recommendations and 
here has revised Sec. 10.205 in substance as well as in form (proposed 
Sec. 10.205(l) has become actual Sec. 10.205(m). The FCC, however, has 
indicated to the Coast Guard that it does not plan to get involved in 
course approvals. The Coast Guard is including in this Interim Rule a 
requirement that candidates for masters' and mates' licenses, for 
service on ships participating in GMDSS, present both FCC licenses as 
GMDSS operators and certificates of completion from either (a) Coast 
Guard-approved courses for GMDSS radio operators

[[Page 34516]]

(based on the IMO model course) or (b) approved training that includes 
assessment of competence by qualified assessors. The Task Force is 
developing a table of criteria and methods for assessment that should 
serve as a convenient checklist for the assessment of competence. This 
checklist will be useful for those who hold FCC certificates, and for 
those who have experience with GMDSS equipment but need proof of 
competence as required in Section A-IV/2 of STCW when applying for 
endorsements as masters or mates for service on ships participating in 
the GMDSS.
    MERPAC recommended that, when renewing a Federal license, no 
independent pilot have to hold GMDSS certification. A pilot seeking 
renewal of a Federal license will receive a limitation on his or her 
STCW endorsement if he or she cannot establish competence in GMDSS. 
However, this limitation will not bar the pilot from performing 
piloting duties, as long as he or she is not also performing 
radiocommunication duties associated with GMDSS. Section 10.205(m) now 
indicates that a person seeking a license to serve only as a pilot need 
not meet requirements for GMDSS certification at the time the license 
is issued or renewed.
    Four comments, including one from MERPAC, suggested that the Coast 
Guard state on the face of the STCW endorsement that a holder is 
qualified as a GMDSS radio operator, rather than that another holder is 
not qualified to serve on ships operating in GMDSS. The Coast Guard 
obliged both and will indicate either the qualification, or the 
limitation, on the face of the STCW endorsement as appropriate. 
However, when the renewal cycle for the radio-operator certificate is 
different from that for the deck license, the STCW endorsement will be 
valid without restriction only for the period when both the certificate 
and the license are valid.
    One comment supported the proposed requirement of endorsement as a 
GMDSS radio operator for masters and mates, but recommended that the 
endorsement also be available to licensed engineers. The Coast Guard 
does not consider a change necessary to enable an engineer to acquire 
the endorsement.
    Two comments suggested that the effective date of requiring GMDSS 
for license renewals be changed from August 1, 1998, to February 1, 
1999, when GMDSS becomes mandatory under SOLAS. The Coast Guard agrees 
the compliance date can be deferred, and this Interim Rule will impose 
the requirements for service on or after February 1, 2002. A sufficient 
number of masters and mates must hold endorsements as GMDSS radio 
operators to meet FCC requirements for primary and secondary radio 
operators after February 1, 1999. However, under the 1995 Amendments, 
the requirement for deck officers to hold GMDSS Certification will not 
apply to current license holders until they receive STCW endorsements 
for service beyond February 1, 2002.

Electronics Technician

    Fourteen comments supported the concept of an electronics 
technician, but five of these did not support it as proposed in the 
NPRM. One argued that the concept should be expanded to cover 
electronics equipment on the bridge, and should not be limited to GMDSS 
installations.
    One comment expressed the view that ``a modern ship, regardless of 
GMDSS, will operate with an array of electronic equipment that will 
call for much of the same knowledge required of those on vessels that 
are GMDSS-equipped.''
    Two comments argued that there should not be a separate rating for 
electronics technician but that the necessary skills should be required 
for a rating as a member of the engineering watch. Another comment 
suggested that such skills be built into requirements for specific 
ratings or licenses, to ensure that a wide range of expertise is 
available and on board ship at all times.
    One comment noted that the NPRM addressed endorsements only at the 
support level of responsibility for electrical, electronic, and control 
engineering. The comment recommended a new endorsement, at the operator 
level, for the same engineering.
    While a number of comments interpreted the proposal for a new 
rating as an electronics technician (non-GMDSS) to be a proposal for 
new manning (i.e., a dedicated position for maintaining and repairing 
electronics equipment), new manning was not a necessary consequence of 
the proposal. Other comments acknowledged the need for the Coast Guard 
to address problems associated with the increasing use of shipboard 
electronics and computers, but contended that this rulemaking is not 
the forum to address these problems. They suggested that the matter be 
addressed in a future revision of part 12. MERPAC, too, recommended 
that the proposal for a new rating as electronics technician be 
eliminated, but suggested that an endorsement as a GMDSS maintainer be 
available to licensed and unlicensed personnel.
    The Coast Guard agrees that on-board responsibility for maintenance 
of electronic installations can most effectively be addressed in a 
future revision of part 12, and it withdraws the proposal for a new 
rating as electronics technician (non-GMDSS). It still provides, 
however, for a ``GMDSS at-sea maintainer,'' which will be available to 
licensed and unlicensed individuals.

Watchkeeping Ratings and Unlicensed Personnel

    One comment noted that some unlicensed ratings on smaller ships 
(i.e., 500 to 3,000 gross tons) are ordinary seamen, each expected to 
serve as a member of the navigational watch from his or her first day 
on the vessel. The comment also noted that, to meet service 
requirements for a rating in the navigational watch, the ordinary 
seaman must be in a training capacity, which affects the ship's 
complement. The Coast Guard agrees with this interpretation. An 
untrained, inexperienced ordinary seaman cannot be the only rating 
serving as a member of the navigational watch.
    One comment expressed concern about allowing an ordinary seaman or 
wiper (i.e., an entry-level rating) to serve in a watchkeeping 
capacity. The comment stated that the current practice of permitting a 
specially trained ordinary seaman to hold an STCW endorsement as a 
``rating forming part of a navigational watch'' should not be extended 
to wiper in the engine department. The Coast Guard has no plans for 
extending this practice.

Training-Record Books

    One comment questioned why the NPRM referred to a training-record 
book, when at that time the Coast Guard had not adopted a standard 
model to be used in meeting the requirement. The Coast Guard is aware 
that, at the time the NPRM was published, there was no model for the 
book. However, after the NPRM was published, the Subcommittee of IMO on 
STW did develop a model. The Coast Guard has chosen to adopt this model 
as a benchmark for meeting the requirements of Sec. 10.304 of this 
Interim Rule. The National Maritime Center (NMC) will soon issue a NVIC 
containing this model, along with guidance for its use. Any training-
record book that closely follows this model will meet these 
requirements. Additionally, training-record books using other formats 
may be approved by the Coast Guard, if a specimen is submitted to the 
NMC and is found to meet the requirements of Sec. 10.304.

[[Page 34517]]

    One comment recommended that only licensed officers be permitted to 
sign off on the assessment entries in the training-record book. This 
practice may become commonplace, but the Coast Guard contends that 
there are some skills that can be assessed by a designated examiner who 
is not licensed (for further discussion see the section on ``Qualified 
Instructors and Assessors'').
    Another comment recommended that training-record books be required 
for all mariners whose sea service commences on or after August 1, 
1998, and that qualified instructors and assessors be required to 
conduct on-board training and assessment subject to QSSs. The Coast 
Guard agrees with this recommendation and has introduced it where 
appropriate.
    One comment requested clarification of where the training-record 
book is to be submitted. The book is to be submitted to the Coast Guard 
when a candidate applies for certificates and licenses. The Coast Guard 
plans to use the book as evidence that the indicated training has been 
completed and that the necessary assessments have been conducted. There 
is no plan for the Coast Guard to retain or maintain the book or 
supporting documents once the candidate's evaluation has been 
completed.
    Three comments suggested that the rule allow electronic maintenance 
of training-record books, to mitigate the consequences of losing 
originals. As drafted, the Interim Rule does not prohibit electronic 
maintenance of the books. However, documentary versions of them, with 
original entries by qualified instructors and assessors, as 
appropriate, must be submitted to the Coast Guard as parts of 
applications for original engineers' licenses, and for mates' licenses 
when the candidates do not have 3 years of sea service. Electronic 
submission of the books will be considered when issues of integrity, 
reliability, protection, and accessibility can be resolved.
    One comment argued that the training-record book should not be 
required as a separate and distinct document when assessments of 
competence are conducted as part of maintaining a QSS. The Coast Guard 
recognizes there is an overlap in these procedures, but the 1995 
Amendments explicitly require use of the book in some instances.
    One comment suggested that the Coast Guard require use of an 
approved training-record book for all unlicensed personnel, to ensure 
that on-board training is documented. Since such use is not necessary 
for the implementation of the 1995 Amendments, the Coast Guard has not 
required it in this Interim Rule; neither, however, has the Coast Guard 
forbidden it here. Most persons pursuing their first certification as 
deck officers or engineer officers will be unlicensed while they are 
completing their first training-record books.
    One comment recommended that the training-record book contain 
specific tasks and measurable criteria. The Coast Guard agrees that 
these would make the book more precise; but, for the time being, under 
this Interim Rule, the Coast Guard will rely on the IMO model as the 
benchmark for meeting the requirements. Use of this model does not 
preclude the introduction of additional elements to make the record 
more suitable for various segments of the industry.

Rest Periods for Watchkeeping Personnel

    Seven comments expressed views on the requirement for watchkeeping 
personnel to receive a minimum rest period that would prevent fatigue.
    One comment observed that the rest period governs ``each person 
assigned as Officer in Charge of a navigational or engineering watch, 
or duty as a rating forming part of a navigational or engineering 
watch.'' The comment said that the phrase ``in Charge of'' should be 
deleted so the rest period would govern all officers on a navigational 
or engineering watch. The Coast Guard agrees in principle with this 
recommendation; however, the change could result in a broader and 
perhaps vaguer rule, and could extend beyond the precise requirements 
of Section A-VIII/1, paragraph 1, of the STCW Code, and even beyond the 
scope of the NPRM. The Coast Guard will, nevertheless, entertain 
further discussion on this matter when preparing a final rule.
    Similarly, the comment recommended that performing drills be 
removed as a circumstance for deviation from, or interruption of, the 
rest period. An exception based on drills is explicitly provided in 
Section A-VIII/1, paragraph 3, of the STCW Code; the Coast Guard did 
not propose removing this exception for U.S. ships in the NPRM, but 
invites further comments on this issue.
    The comment further recommended that ``any vessel, foreign or 
domestic[,] that operates beyond the Boundary Line shall, while 
operating in U.S. territorial waters'', comply with the rest-period 
requirements in proposed 46 CFR 15.710, and the enforcement of this 
standard using port-state inspections if necessary. The Coast Guard 
expects all ships subject to STCW, including foreign ships, to comply 
with these requirements. It will impose appropriate measures of port-
state control to verify compliance on foreign ships.
    The comment also discussed allowing interruption of, and deviation 
from, rest periods in ``overriding operational conditions'', including 
ones ``not foreseeable at the commencement of the voyage'' (proposed 46 
CFR 15.710(d)(2)). The comment noted that any such exemption should be 
``interpreted very strictly'' and that guidance should be provided to 
define conditions ``not foreseeable at the commencement of the 
voyage.'' The Coast Guard agrees that guidance on this matter would be 
helpful and could prevent problems from arising in the future. In the 
NPRM, the Coast Guard specifically invited comments on the extent to 
which the terms relative to rest hours should be clarified or 
interpreted, either in the rule itself or in associated policy on its 
enforcement (61 FR 13298, column 1). The comment has confirmed the need 
for clarification, and the Coast Guard invites comments on this matter 
that can be taken into account by the Coast Guard in preparing the 
Final Rule.
    One comment contended that rules governing deviation from rest 
periods should not be for just ``any'' overriding operational 
condition, but should be limited to ``such activities as unforeseen 
shifting [of] berths that would require calling out the crew who would 
normally be in a rest period.'' Another comment argued that those rules 
should be flexible enough to let a vessel complete emergency 
operations, critical cargo movements, ``over-the-side'' operations with 
NOAA, and address weather changes. The Coast Guard agrees that the 
exception in STCW does not apply to just ``any'' overriding operational 
condition, and has accordingly modified this Interim Rule. However, the 
Coast Guard contends that neither the shifting of berths nor cargo 
movements are necessarily appropriate examples of conditions outside 
the control of the owner or operator under which operational necessity 
and urgency overrides the need to let watchkeeping personnel complete 
their rest periods. Furthermore, the Coast Guard agrees that, while a 
sudden change in the weather can impose an overriding operational 
condition, proper voyage planning can avoid operating in extended 
periods of severe weather. It expects companies to consider this issue 
when striving to meet their responsibilities whether under a safety-
management system or under STCW Regulation I/14.
    In the NPRM, proposed Sec. 15.710(d)(1) defined ``rest period'' as 
a period during

[[Page 34518]]

which ``no tasks are assigned to the person concerned'' and ``the 
person is not scheduled to perform any duty.'' One comment recommended 
that guidance be provided to make sure that owners and operators 
understand that assigned duties include collateral duties, generally 
accepted as part of the job, that must be accomplished outside of 
navigation or engineering watches. The comment offered examples, such 
as correcting charts, publications, payrolls, accident reports, and 
crew lists; preparing port-entry documents; checking hazardous-cargo 
manifests and cargo inspections; and conducting tests and drills. 
Subject to remarks made earlier on ``drills'' as a special situation, 
the Coast Guard agrees that guidance along these lines is needed. 
Accordingly, it has incorporated this suggestion into this Interim 
Rule, and comments submitted on this matter will be considered in 
preparing a Final Rule.
    Two comments contended that the reference to ``sleep'' in the 
proposed definition of ``rest period'' may be misconstrued to mean ``a 
period of sleep'', instead of rest. The comment recommended that the 
definition of ``rest period'' be changed to refer to ``sleep or other 
personal pursuits.'' One of these comments stated that a seafarer 
should be entitled to choose whether or not to work during normal rest 
periods. In other words, according to this comment, ``the company may 
not assign work; however, the seafarer may choose to work.'' The Coast 
Guard does not agree with this interpretation or with the proposed 
change to the definition of ``rest period.'' The definition as drafted 
simply states that ``the person is allowed to sleep'' during this 
period. This explanation does not prohibit the person from engaging in 
``personal pursuits.'' However, if ``personal pursuits'' were 
interpreted to include either voluntary work associated with the ship 
or on-board training, then, the Coast Guard is concerned, outside 
influences (such as overtime pay, performance evaluations, or other 
incentives and pressures) might undermine the purpose of the rest 
period, which is to promote rest and recuperation between periods of 
watchkeeping. As one comment stated, training conducted on board 
(including computer-based training) must be administered in a way that 
maintains compliance with both the work-hour limitations established 
under 46 U.S.C. 8104 and the 10-hour rest period prescribed by STCW.
    Another comment expressed concern that companies may expect 
watchkeeping officers to use, for performance of overtime 
responsibilities, the periods not designed for continuous rest. The 
comment also suggested that this rule restrict off-watch overtime to 4 
hours in a 24-hour day. The Coast Guard is concerned about the 
potential misuse of the intervals between periods of watchkeeping duty. 
However, it does not agree that it should restrict overtime work under 
this rule, unless difficulties arise in interpreting either the 
definition of ``rest period'' or the conditions under which rest 
periods apply. It is difficult to define the nature of all activities 
that fall within prohibited overtime. Note that this Interim Rule 
already modifies the proposed rule so as to include examples of work 
that may not be performed during rest periods. Note further that the 
Coast Guard has incorporated the principle expressed in Section B-VIII/
1 of the STCW Code, to the effect that the minimum specified rest 
periods shall not be interpreted as implying that all other hours may 
be devoted to watchkeeping or other duties.
    This comment also expressed concern that the phrase ``overriding 
operational conditions'' is open to abuse, particularly if a company 
schedules port calls that leaves the master with insufficient 
opportunities for rest. It also suggested that the rule require shore-
side support to relieve the master and chief mate of duties so they can 
obtain rest. The Coast Guard recognizes the potential problem 
associated with this issue, but the suggested solution does not appear 
to be an appropriate matter for this interim rule. The Coast Guard 
interprets the requirement of rest periods to apply to watchkeeping 
personnel over any period of 24 hours, including time in port. If the 
master is serving as the Officer in Charge of the navigational watch, 
he or she must be provided the opportunity for rest in accordance with 
STCW and this Interim Rule. This may require the company to arrange for 
shore-side support, adjust the ship's schedule, or assign an additional 
officer to take charge of the watch so the master can obtain rest.
    This comment also stated that ``any posting of watch schedules must 
take into consideration the port rotation, not only as planned at the 
beginning of the voyage, but also when the itinerary is altered.'' The 
Coast Guard agrees and has modified this interim rule where appropriate 
(46 CFR 15.710(c) in the NPRM; Sec. 15.1111(g) in this Interim Rule).
    One comment expressed support for the rule on rest periods, and 
noted that requiring minimum and continuous rest periods may reduce 
fatigue, and may lead to a decrease in the risk of marine accidents 
caused by this significant problem. However, this comment posed a 
number of questions.
    First, it sought clarification on when the 24-hour cycle would 
begin for determining compliance. Section A-VIII/1, paragraph 1, of the 
STCW Code, and 46 CFR part 15, state that 10 hours of rest must be 
provided ``in any 24-hour period.'' The Coast Guard understands this 
phrase to indicate that 10 hours of rest must be included within any 
given 24-hour period, whether the period is the 24 hours up to the 
start of work or rest or those up to the start or from the end of the 
watch. Determining compliance entails using a rolling 24-hour clock.
    Second, this comment sought clarification of the relationship 
between U.S. law and STCW, and asked which takes precedence where they 
appear to be incompatible. Another comment raised a similar concern, 
stating that the minimum rest period of 10 hours a day under STCW may 
be viewed as promoting 14-hour workdays for lower-level mariners in 
violation of domestic law. The Coast Guard contends that the treatment 
of work hours in 46 U.S.C. 8104, and that of rest hours in STCW, enjoy 
equal legal status: that neither takes precedence over the other as a 
matter of law. As it noted in the preamble to the NPRM (61 FR 13297, 
column 3, and 13298, column 1), the Coast Guard considers the two 
provisions compatible. Both may be implemented without casing conflict 
to the other. In any specific set of circumstances, the stricter rule 
applies.
    Two comments supported strict record-keeping to promote strict 
compliance with minimum rest periods for watchkeeping personnel. One of 
these comments recommended, along with strict record-keeping, a measure 
of flexibility for the company or organization to incorporate 
guidelines from the Coast Guard into their own systems. The Coast Guard 
will further address comments from the public in response to this 
Interim Rule, when preparing the final rule.

Bridge-Teamwork Procedures and Bridge-Resource Management

    One comment suggested that training in bridge-teamwork procedures 
include unlicensed personnel, and that competence in bridge-teamwork 
procedures be reassessed every 5 years for all watchkeeping personnel. 
Another comment stated that the requirement for bridge-teamwork 
procedures should be met only if the candidate produces evidence of 
completing an approved course within 5 years of the date on which he or 
she applies for a new

[[Page 34519]]

license. The Coast Guard does not view these suggestions as necessary 
for implementation of the 1995 Amendments to STCW and has therefore not 
included them in this interim rule. Note, however, that the standards 
of competence both for the officer of the navigational watch and for 
the rating forming part of the navigational watch (Section A-II/1 and 
A-II/4, respectively) contain elements that imply a necessity for 
including unlicensed personnel in the exercises used for demonstrating 
``a through knowledge of effective bridge teamwork procedures''. 
Consequently, training in bridge teamwork procedures should routinely 
take into account the role of unlicensed personnel; and such personnel, 
forming part of the navigational watch, particularly as new crew 
members should be familiarized with the bridge-teamwork procedures used 
on the ship.
    In Table A-II/1 of the STCW Code, the assessment of competence 
confirming that a candidate has a thorough knowledge of bridge teamwork 
procedures may rest on approved in-service experience. The Coast Guard 
agrees that the factor of regency of training is important, even if 
gained through courses; but consistent long term in-service experience 
is also a suitable means of establishing competence in this area. 
Therefore, the Coast Guard will not require completion of courses for 
candidates who have evidence, based on such experience, that they meet 
the applicable standard of competence.
    The Coast Guard holds that an on-board assessment of a working 
mate's competence in bridge-teamwork procedures should include 
confirmation that the mate has a thorough knowledge of effective 
procedures based on observation of exercises, or on circumstance in 
which the mate has applied this knowledge. The assessment should 
cover--
    (1) Voyage planning, and evaluation of alternative routes, 
schedules, and arrangements;
    (2) Bridge procedures, checklists, and logs;
    (3) Watch conditions, watch augmentation, watch change, and 
management of work hours and rest periods for watchkeeping personnel;
    (4) Effective communication, confirmation, and application of 
information among bridge-teamwork members, and between the bridge and 
the master;
    (5) Situational awareness and error-trapping, based on a continuous 
reassessment of priorities and resource allocation; and effective use 
of bridge systems and equipment;
    (6) Leadership in maintaining bridge discipline and vigilance; in 
promoting teamwork and information exchange, taking into account the 
skills and experience available; and in positioning and re-positioning 
of watchkeeping personnel;
    (7) Response to bridge emergencies, such as failure of a critical 
component in an integrated navigational system, or sudden incapacity of 
a bridge-teamwork member; and
    These topics of assessment will be included in a NVIC on company 
responsibilities.
    (8) Integration of pilot into bridge team.
    Two comments requested clarification of how the requirement on 
bridge teamwork procedures would apply to persons serving on the bridge 
of a small ship. One stated that special guidance should be developed 
on how to apply principles of bridge-resource management to towing 
vessels.
    As stated earlier in this preamble, uninspected towing vessels and 
smaller cargo vessels (such as under 200 GRT) are not being subjected 
to this new requirement directly under this Interim Rule. Note also 
that, on smaller vessels, bridge arrangements and access to personnel, 
equipment, and essential information are not so cumbersome or complex 
that special training is required beyond routine familiarization with 
ship-specific conditions.

Company Responsibilities and ISM Code

    Two comments sought clarification of the relationship between 
company responsibilities under the 1995 Amendments and the ISM Code. 
They also sought clarification about the requirement that new crew 
members receive a reasonable opportunity to become familiar with ship-
specific procedures, equipment, and arrangements. Another comment 
argued that 46 CFR 15.405 (``Familiarity with vessel 
characteristics''), already covers the basic requirements of STCW 
Regulation I/14 (``familiarization'') and that therefore, this interim 
rule need not impose them.
    The comment also suggested that the Coast Guard define ``company'' 
in 46 CFR part 15, as STCW Regulation I/1 defines it. The Coast Guard 
disagrees that a definition for ``company'' is necessary or 
appropriate, since, part 15 already bases references to owners and 
operators on the relevant statutory provisions.
    Another comment held the presumption that a company holding a valid 
ISM certificate was fulfilling its obligations under STCW was 
``flawed.'' But note that Regulation I/14 of the 1995 Amendments to 
STCW was drafted to be fully consistent with the principles contained 
in the ISM Code, particularly with the section of IMO Resolution 
A.741(18) that discusses ``resources and personnel.'' Therefore, if a 
company holds an ISM Certificate, it incurs no additional obligations 
under that Regulation. (Even if it does not hold the Certificate, the 
company should incur few, if any, new obligations under that 
Regulation.) Most of what this Interim Rule calls for is already common 
practice for U.S. companies, whether because vessels must be operated 
in accordance with their COIs or because companies maintain certain 
records on employees through routine business practice or because the 
domestic law of tort imposes on the employer the risk of liability for 
actions by an employee.
    One comment argued that vessel operators have no means of 
maintaining comprehensive, meaningful files on mariners who serve on 
board ships. It suggested that the records be centralized, whether with 
several mariners, with the appropriate unions, or with the Coast Guard.
    Another comment stated that it is ``routine practice for U.S. 
companies that employ seamen to maintain a personnel record for each 
employee or to ensure that one is maintained by an agency acting on 
behalf of the company.'' The comment also requested that this 
alternative practice be allowed to continue. This Interim Rule allows 
records to be maintained by an agency acting on behalf of the company.
    Taking previously mentioned factors and comments into account, the 
interim rule restructures and clarifies company responsibilities, and 
includes a direct reference to meeting the requirements by virtue of 
holding a valid ISM Certificate.
    One comment requested clarification of the requirement of ship-
specific familiarization and proposed a particular list of equipment, 
systems, procedures, and arrangements with which a newly hired deck 
officer should be familiar in safety, navigation, communications, and 
cargo. By way of guidance, the Coast Guard recommends that a checklist 
comprise the following items, to ensure that newly employed, or newly 
arrived, crew members get a reasonable opportunity to become familiar 
with ship-specific equipment, systems, procedures, and arrangements;
    (1) Visit spaces where primary duties will be performed.
    (2) Locate muster stations, alarms, life-saving appliances, and 
emergency

[[Page 34520]]

escape routes, as well as any fire-fighting equipment and pollution-
response equipment of which the crewmember concerned should be aware.
    (3) Meet supervisor or other person who will be assigning duties.
    (4) Locate equipment and systems necessary to perform duties and 
learn the controls, displays, and alarms for that equipment and those 
systems (and their critical components).
    (5) Observe the equipment and systems in use by someone whose 
duties already require their use, when the opportunity can be arranged.
    (6) Activate the equipment, and perform functions using the 
controls on the equipment, when conditions permit; locate operational 
manuals or other documents that may be needed for performing duties.
    (7) Locate any personal-protection gear that may be necessary when 
performing duties, as well as first-aid and medical kits available at 
the work site.
    (8) Read and understand relevant standing orders, safety and 
environmental-protection procedures, and company policies clarifying 
any unclear or confusing material.
    (9) If serving in a watchkeeping capacity, get acquainted with the 
watch schedule and identify a personal work schedule that will comply 
with work-hour limits and rest-period requirements.
    The above guidance will appear in a NVIC on company 
responsibilities. Companies holding ISM certificates are presumed to be 
in compliance with this Interim Rule.
    One comment requested clarification of information to be maintained 
in the ``assessment of competency in performance of assigned shipboard 
duties'' in Sec. 15.411(c) in the NPRM (Sec. 15.1107(c)) in this 
interim rule. The comment expressed concern that the assessment appears 
to be subjective. This information should correspond to the ``documents 
and data'' whose maintenance by companies STCW Regulation I/14 
requires.
    The Coast Guard envisions no specific assessment under 
Sec. 15.411(c) (re-numbered as Sec. 15.1107 in this interim rule). The 
company's records must contain evidence that the seafarer holds the 
proper documents and training for the assigned duties. To clarify this 
requirement, the Coast Guard has removed the reference to 
``assessment''.

Basic Safety Training

    Five comments requested that the Coast Guard clarify the 
requirements for basic safety training.
    One comment contended that STCW does not impose basic safety 
training as a prerequisite for certification. The Coast Guard agrees 
with this observation to some extent, but there are specific cross-
references in the standards of competence in Chapters II (Master and 
Deck Department) and III (Engine Department) and in the tables on basic 
safety training in Section A-VI/1 of the STCW Code, as they relate to 
fire-fighting and medical first aid. The elements of basic safety are 
retained in this interim rule as requirements for the issuance of 
licenses after August 1, 1998, and for the issuance of STCW 
endorsements for service beyond February 1, 2002.
    All masters, mates, watchkeeping ratings, and others with safety 
and pollution-prevention duties (i.e., those listed on the COI or on 
the muster list) are required by Section A-VI/1 of the STCW Code to 
produce evidence of having achieved or maintained at 5-year intervals 
the specified standard of competence in the four elements of basic 
safety. This recurring requirement appears in this Interim Rule at 46 
CFR part 15. Mariners who occupy positions listed on the COI, or on the 
muster list, will be prohibited from being assigned or performing 
duties unless they hold such evidence.
    As a matter of convenience, a suitable endorsement will be placed 
on the mariner's STCW certificate upon request, or at the time of 
renewal, if the OCMI is satisfied that the evidence submitted is 
sufficient. One comment noted that securing this endorsement may 
facilitate mobility from one company to another, and should promote 
compliance with the requirements by making enforcement easier.
    Two comments recommended that under this Interim Rule the level of 
basic safety training be adjusted to reflect the scope of equipment, 
type of vessel, and geographic area of operation, and that in-house 
training be acceptable. This Interim Rule lets in-house training or 
instruction be limited to a specific vessel and route.
    One comment suggested that the four elements of basic safety 
training be consolidated into a single course. This Interim Rule allows 
for such a consolidation.
    One comment contended that hands-on training is essential in 
personal survival, as reflected in IMO model course 1.19 (Personal 
Survival). The Coast Guard agrees with this contention and recommends 
course 1.19 as guidance for developing a program to meet the personal-
survival element of basic safety training.
    One comment requested clarification on how often basic safety 
training will have to occur under this Interim Rule. The Coast Guard 
notes that STCW requires initial approved training or instruction, and 
evidence of having achieved (or maintained) competency in basic safety 
every 5 years. Formal shore-side basic safety training is not 
necessary, if the mariner concerned holds evidence that he or she has 
maintained competence in the four elements of basic safety while 
serving on board ships. This evidence may reflect participation in a 
well-organized program of drills and other structured training 
exercises when the mariner's performance is evaluated against the 
appropriate criteria.
    Five comments requested clarification of the social-responsibility 
elements of basic safety training. One comment recommended that 
training not be required since it might become ``an irritant'' to the 
marine community. Another contended that training should be tailored to 
the mariner's level of organizational responsibility. A third contended 
that some aspects of social responsibility, such as the dangers of drug 
and alcohol abuse, were already addressed by other domestic rules.
    Note that the full title of this element of basic safety training 
is ``Personal Safety and Social Responsibility.'' This element 
comprises five aspects: (1) Compliance with emergency procedures; (2) 
precautions to prevent pollution of the marine environment; (3) 
observance of safe working practices; (4) ability to understand orders 
and to be understood; and (5) the need to contribute to effective human 
relationships on board ship. The Coast Guard maintains that the 
emphasis in training belongs on personal safety and safe working 
practices.
    Social responsibility and effective human relationships will 
adequately be addressed if the training encompasses, and if the student 
appreciates the following:
    (1) The dangers posed to himself or herself, and to the safety of a 
vessel and its crew, by drug and alcohol abuse.
    (2) The importance of sanitation and personal hygiene for one 
living on board a vessel.
    (3) The risk posed to the safety of a vessel and its crew unless 
good working relationships are maintained at all times, and disputes 
are resolved promptly, respectfully, and amicably.
    (4) The impossibility of maintaining good working relationships on 
board a vessel when any crewmember behaves in a way that amounts to 
harassment, abuse, discrimination, or other offense against the 
personal dignity or

[[Page 34521]]

professional standing of another person on board the vessel.
    (5) The adverse effects of fatigue, the need for rest to prevent 
fatigue, and the importance of notifying a supervisor when symptoms of 
fatigue are present.
    (6) The procedures in place for calling attention (a) to unsafe or 
unhealthy conditions on board a vessel; or (b) to offensive behavior by 
another person on board the vessel.
    The Coast Guard will include this guidance in a NVIC on company 
responsibilities.
    One comment stated that an ISM Certificate should satisfy the 
requirements for approved on-the-job training in personal safety and 
social responsibility. As it has indicated elsewhere throughout this 
preamble (for instance, in the discussion on QSS), the Coast Guard will 
accept an ISM Certificate (with certain augmentations) as evidence of a 
satisfactory monitoring system. In any case, mariners provided training 
should receive evidence of having achieved or maintained a level of 
competence in basic safety, which evidence they can furnish to the 
Coast Guard when necessary (as when seeking a license or document or 
desiring an endorsement for basic safety training).
    One comment argued that requirements for basic safety training 
should not apply to new employees for 3 to 6 months, to allow an 
evaluation before an investment is made in training them and that, even 
then, only half of the crew should be subject to those requirements. 
The Coast Guard does not consider these options to be available under 
the 1995 STCW Amendments. Unless a person is required by the manning 
section of the COI to be on board or is assigned duties on the muster 
list, he or she need not receive basic safety training. The individual 
must, however, receive familiarization instruction so he or she will 
know what to do in an emergency.
    Two comments requested clarification of when a seafarer is 
``designated'' as having duties in safety or pollution-prevention. A 
seafarer is so designated only if on board is part of the required 
complement (i.e., that stated in the manning section of the COI) or 
assigned to emergency duties on the muster list or station bill.
    One comment expressed concern that the implementation date for 
basic safety training, of February 1, 1997, might not be attained by 
all mariners, and suggested that mariners already in service should be 
given credit for their experience.
    Since publication of the NPRM, the IMO has recognized there may be 
practical difficulties in providing basic safety training to all 
seafarers who commenced sea service before February 1, 1997. Therefore, 
the Subcommittee recommended that administrations ``treat each case on 
its merits.'' The Coast Guard understands this to mean that those 
commencing sea service on or after February 1, 1997, must indeed 
receive formal training or instruction based on the tables in Section 
A-VI/1 of the STCW Code. But it also understands this to mean that 
those already in service by that date can meet the requirement (until 
more formal training or instruction can be arranged) with sufficient 
evidence that they have participated in well-organized drills and other 
structured exercises or in on-board programs of basic safety training, 
during which their performance was evaluated, and areas of weakness 
were brought to their attention.
    Two comments suggested that both familiarization and basic safety 
training be conducted on board by using videos, structured drills, and 
interactive computer training. The Coast Guard agrees that these 
methods are suitable for familiarization and for confirming that 
seafarers are maintaining competence in basic safety after initial 
training or instruction. However, some aspects of basic safety training 
(e.g., extinguishing actual fire, and jumping from an actual height 
into actual water) work better at actual facilities than on virtual 
ones.
    As also stated in the guidance developed by the STCW Subcommittee 
and circulated in STCW.7/circ. 1 dated September 24, 1996, masters, 
mates, and watchkeeping ratings need not be reassessed in basic safety 
to renew 1978 STCW endorsements, except for service after February 1, 
2002. This guidance enters this interim rule at the rule on license 
renewal (Sec. 10.209).
    To meet the requirements of the 1995 STCW Amendments, formal basic 
safety training or instruction must be ``approved'' or accepted by the 
Coast Guard and monitored by a OSS. But formal approval might reach few 
if any of the following: basic safety training conducted before 
February 1, 1997; seafarers commencing sea service after that date; and 
seafarers not otherwise required to complete approved training (such as 
fire-fighting and first aid) for licensing or documentation. The Coast 
Guard is preparing a two-state approach. Between January 31, 1997, and 
August 1, 1998, all basic safety training or instruction that meets the 
following criteria will count as Coast Guard-Accepted without further 
action by the Coast Guard, or by those offering the training, if--
    (1) The training or instruction uses as checklists tables A-VI/1-1, 
A-VI/1-2, A-VI/1-3, and A-VI/1-4 in Section A-VI/1 of the STCW Code;
    (2) The table adapted from STCW contains a statement that the 
seafarer under scrutiny has achieved the required standard of 
competence to undertake the tasks, duties, and responsibilities listed 
in column 1 of the relevant table or tables;
    (3) The statement is dated and signed by an officer holding an 
ocean or near-coastal license issued under 46 CFR part 10, and an STCW 
endorsement, for service on seagoing vessels of 200 GRT and more; and
    (4) The same person that signed the original of this statement 
signs a copy and provides the copy to the seafarer to serve as evidence 
required under Section A-VI/1, paragraph 2.2.
    Any basic safety training or instruction conducted on or after 
August 1, 1998, must be approved either in accordance with Coast Guard 
course-approval procedures or under alternative procedures, governing 
approved training other than approved courses, set out in Sec. 10.309 
or subpart 12.03 of this interim rule.
    Basic safety training established under the former procedures for 
the period starting February 1, 1997, and ending July 31, 1998, can 
continue beyond the later date, if it has been independently monitored 
in accordance with Sec. 10.309 or Sec. 12.03 of this interim rule.

Section-by-Section Analysis

Part 10--Licensing of Maritime Personnel

    1. Section 10.101, which states the purposes of part 10, is 
retained as it was proposed in the NPRM.
    2. Section 10.102 indicates that STCW (the Convention proper) and 
the associated STCW Code have been incorporated by reference into the 
regulations in part 10. Except for adjusting the list of regulations 
that refer to STCW or the Code, the wording remains as proposed in the 
NPRM.
    3. Section 10.103 includes definitions for new terms used in part 
10.
    One comment recommended that the definitions for Qualified 
instructor and Designated examiner require that the person be 
certificated as an active mariner. As discussed in this preamble under 
the section on ``qualified Instructors and Assessors,'' the Coast Guard 
has determined that holding a license is not necessary in every case 
for performing these functions.
    Another comment suggested that a definition be added for ``approved

[[Page 34522]]

course.'' The Coast Guard finds no need for a special definition of 
this term, since ``Approved'' training encompasses Coast Guard approval 
of courses under Sec. 10.302.
    One comment recommended that the STCW definition of ``seagoing 
ship'' be modified to ``self-propelled vessel'' and be included in this 
section. The Coast Guard understand the term ``seagoing ship'' to mean, 
for the purposes of applying STCW, a self-propelled vessel. Therefore, 
it does not consider it necessary to modify the STCW definition and 
include it in part 10; however, it does include a definition in part 15 
to clarify the application of new STCW requirements to certain 
categories of vessels.
    The wording of Sec. 10.103 remains as proposed in the NPRM with two 
exceptions. First, the terms ``Qualified instructor'' and ``Designated 
examiner'' now indicate that a faculty member currently employed or 
instructing in a navigation or engineering course at a State maritime 
academy or the U.S. Merchant Marine Academy operated in accordance with 
46 CFR part 310 is qualified to serve as a qualified instructor or 
designated examiner in his or her area(s) of specialization without 
individual designation by the Coast Guard. Comments on the extent to 
which this principle should be retained or broadened to include faculty 
employed at other reputable marine-training facilities can be made to 
the docket. They will be taken into account in preparing the final 
rule. Second, the term ``STCW endorsement'' now allows the Coast Guard 
to place the reference to STCW directly on the license or document. At 
present, this amounts only to an administrative convenience for 
facilitating issuance of licenses to personnel serving on small vessels 
on domestic-only voyages.
    4. Section 10.107 indicates that certain substantive sections 
contain record-keeping requirements. The section remains as proposed in 
the NPRM.
    5. Section 10.201 is a general regulation requiring applicants for 
licenses and certificates to establish their qualifications to the 
satisfaction of the Officer in Charge, Marine Inspection (OCMI), before 
this Officer will issue a license or certificate.
    One comment suggested this section allow the use of third parties 
to evaluate the qualifications of a candidate and confirm that he or 
she is entitled to hold a Coast Guard license. The Coast Guard 
considers the use of a third party not restricted under this section. 
Therefore, no revision is necessary, and the section remains worded as 
it was in the NPRM.
    6. Section 10.202(j) now states that the OCMI will issue an STCW 
endorsement to a person qualified to hold one.
    Under Sec. 10.202(k), holders of the following classes of licenses 
will be issued STCW endorsements on request, on the grounds that the 
laws (statutes and regulations), policies, and standard industry 
practices governing them provide for a degree of safety at sea and 
pollution prevention equivalent to that of the STCW requirements. 
Candidates for the following classes of license will not have to meet 
any new requirements under Secs. 10.205 (k), (l), (m), (n), or (o), 
10.304, or 10.901:
    (1) Master's, mate's, operator's, or engineer's license for service 
on small passenger vessels that are subject to subchapter T or K of 
title 46, Code of Federal Regulations (CFR) and that operate beyond the 
Boundary Line.
    (2) Master's, mate's, operator's, or engineer's license for service 
on seagoing vessels of less than 200 GRT (other than passenger vessels 
subject to subchapter H of title 46, CFR).
    Section 10.202 also provides that personnel serving on the 
following vessels need not hold STCW certificates:
    (1) Uninspected passenger vessels as defined in 46 U.S.C. 2101(42).
    (2) Fishing vessels as defined in 46 U.S.C. 2101(11)(a).
    (3) Fishing vessels used as fish-tender vessels as defined in 46 
U.S.C. 2101(11)(c).
    (4) Barges as defined in 46 U.S.C. 2101(2), including non-self-
propelled mobile offshore-drilling units (MODUs) and also on 
international waters of the U.S. in the straits of Juna de Luca.
    (5) Vessels operating exclusively on the Great Lakes.
    7. Section 10.205 identifies requirements for original licenses and 
certificates. This section contains a number of substantive as well as 
editorial changes to its predecessor as that appeared in the NPRM. 
First, a new paragraph (k) consolidates the STCW requirements for basic 
safety training into one rule, and uses wording more closely aligned to 
STCW. Second, the requirements for ARPA appear as a new paragraph (1). 
Third, the requirements for GMDSS radio operator appear in paragraph 
(m) with a change that requires the candidate to hold both an FCC 
certificate and a certificate of completion form an approved course or 
approved program of training and assessment; wording in paragraph (m) 
indicates that a suitable statement of qualification will be added onto 
either the license of a candidate or onto his or her endorsement. 
Fourth, the requirements for bridge teamwork procedures occupy a new 
paragraph (n): Each new requirement must be met to allow the issuance 
of an unqualified STCW certificate or endorsement valid for any period 
on or after February 1, 2002. And, fifth, practical demonstration of 
skills is treated as it was in the NPRM, but occupies paragraph (o).
    8. Section 10.207 concerns requirements for raises of grades of 
licenses. It is worded as it was proposed in the NPRM.
    9. Section 10.209 identifies requirements for renewal of licenses, 
certificates of registry, and STCW certificates and endorsements. Under 
its revised paragraph (k), renewals after February 1, 1997, of 
certificates that will be valid for service after February 1, 2002, 
must rest on new STCW requirements. Also under the paragraph, 
requirements cross-refer to ones in Sec. 10.205, including evidence of 
basic safety competence within the previous 5 years, and indicate that 
persons serving only on smaller vessels do not have to meet them. With 
respect to the references to ARPA, GMDSS, bridge teamwork procedures, 
basic safety training, and proficiency in survival craft, only basic 
safety training and proficiency in survival craft are subject to the 
requirement for maintaining evidence that competency have been 
reassessed within the 5 years prior to the renewal.
    10. Section 10.304 mandates the use of approved training-record 
books only by candidates for certification as officers in charge of the 
navigational watch, officers in charge of the engineering watch, or 
designated duty engineers, commencing approved training or sea service 
on or after August 1, 1998. It also frees candidates for certain 
licenses for service on smaller vessels from having to use training-
record books.
    It also allows training-record books to be maintained 
electronically, provided the records meet Coast-Guard-accepted 
standards for accuracy, integrity, and availability.
    11. Section 10.309, on Coast Guard-accepted training other than 
approved courses, now takes into account comments submitted to the 
docket and makes editorial changes. Substantive changes include the 
following: (1) Specific linkage to training and assessment necessary 
for holding an STCW certificate or endorsement; (2) a reference to 
designated examiners; (3) a shift from ``classroom hours'' to ``hours * 
* * devoted to instruction;'' (4) recognition that maritime academies 
are already subject to extensive monitoring under 46 CFR part 310; (5) 
the address for sending reports on the results of

[[Page 34523]]

independent monitoring; (6) letting the Coast Guard observe training 
and review documents without advance notice; and (7) provisional 
certification of offerors of approved training or assessment, under a 
Coast Guard-accepted QSS, as capable of providing the advertised 
training and of meeting the stated training objectives not less than 45 
days before the training is offered to students. Comments on this 
approach should be submitted to the docket and will be taken into 
account in preparing the final rule.
    Courses which remain subject to Coast Guard-approval are: Fire-
fighting under Sec. 10.205(g); Radar under Sec. 10.480; Tankerman under 
part 13; and courses being used to substitute for seagoing service 
under Sec. 10.304, as well as Lifeboatman under Sec. 12.10-3(a)(6).
    12. As discussed earlier in this preamble, Secs. 10.491 through 
10.497 establish three new classes of deck officers' licenses: ``Master 
(OSV),'' ``Chief Mate (OSV),'' and ``Mate (OSV).'' Sections 10.551 
through 10.555 establish two new classes of engineer officers' 
licenses: ``Chief Engineer (OSV)'' and ``Engineer (OSV).'' Both 
subparts compel applicants to meet the applicable requirements of the 
1995 Amendments. Both also let the Coast Guard exempt candidates from 
certain requirements that are irrelevant or inappropriate for service 
on an OSV, or that are met by equivalencies under Article IX of STCW. 
The Coast Guard will work with the offshore industry to determine the 
specific requirements for sea service, training, and competence for 
these new licenses. Any determinations made will be reflected in the 
final rule.
    13. Sections 10.601 and 10.603, on certification of radio officers 
and radio operators, are now consistent with Sec. 10.202(m) and take 
into account the Certificate for GMDSS radio operator. Section 10.603 
entitles a person holding an FCC certificate as GMDSS radio operator 
and a certificate of completion from a Coast Guard-approved GMDSS 
radio-operator course, or from an approved program of training and 
assessment, to hold an STCW certificate suitably endorsed for 
performing duties associated with GMDSS.
    14. Section 10.901, on general provisions, stays as proposed in the 
NPRM, but incorporates one comment that suggested clarifying that all 
the methods for demonstration of competence, allowed by the tables in 
part A of the STCW Code, be available to applicants seeking STCW 
certificates or endorsements valid for service on or after February 1, 
2002.
    15. Existing tables Secs. 10.910 and 10.950 identify the subjects 
of license examinations and the practical demonstrations of competence 
required for each class of license. One comment recommended replacing 
the tables in the NPRM (ones based on the subject tables currently in 
Secs. 10.910 and 10.950) with the tables from the STCW Code. Another 
said the Coast Guard should be receptive to lists of training and tasks 
that may not look like the tables in Secs. 10.910 and 10.950 but that 
are more in line with actual training and tasks on a modern ship.
    The Coast Guard is retaining the existing tables under this interim 
rule, partly because no change to the subjects affecting licenses for 
inland service is within the scope of this rulemaking and partly 
because personnel serving on smaller vessels will not have to meet new 
requirements under this interim rule.
    However, Secs. 10.901 and 10.903 does let the tables in part A of 
the STCW Code replace the current tables for candidates for certain 
licenses commencing approved training or approved sea service on or 
after August 1, 1998.
    16. Sections 10.1001, 10.1003, and 10.1005, on Roll-on/Roll-off 
(Ro-Ro) passenger ships, stay as proposed in the NPRM, but correct the 
date from January 30, 1997, to January 31, 1997. In keeping with 
guidance issued by the Subcommittee of IMO on STW, training in crisis 
management under STCW Regulation V/2 is not required until August 1, 
1998.

Part 12--Certification of Seamen

    17. Section 12.01-1 addresses the purpose of the rule. Part 12 
remains substantially as proposed in the NPRM.
    18. Section 12.01-3 indicates that STCW (the Convention proper) and 
its associated STCW Code have been incorporated by reference into the 
regulations in part 12. Except for adjusting the list of regulations 
that refer to STCW or its Code, the wording remains as proposed in the 
NPRM.
    19. Section 12.01-6 includes definitions for new terms used in part 
12. Those now harmonize with those used in part 10 (from Sec. 10.103). 
That of ``STCW endorsement'' allows the OCMI to enter an STCW 
endorsement directly on the MMD rather than issue a separate document.
    20. Section 12.01-9 indicates that certain substantive sections 
contain record-keeping requirements. The section remains as proposed in 
the NPRM.
    21. Section 12.02-7 addresses compliance dates and stays as 
proposed in the NPRM except for three substantive changes:
    (1) It now reflects that the requirement to have an STCW 
endorsement for service as a rating forming part of a navigational 
watch is effective as of February 1, 1997 (as, in fact, it has long 
been under the original, 1978 STCW).
    (2) It now provides that each person serving as a rating forming 
part of the engineering watch or, designated to perform duties in a 
periodically unmanned engine-room, shall as of February 1, 2002, in 
accordance with guidance issued by the Subcommittee of IMO on STW (STCW 
Circ. 7) hold an appropriate STCW endorsement certifying his or her 
qualification.
    (3) It now provides that unlicensed mariners serving on certain 
classes of smaller vessels are exempt from any requirement to hold an 
STCW certificate or endorsement.
    22. Section 12.02-11 sets forth the general provisions respecting 
merchant mariners' documents. This section remains as proposed in the 
NPRM except for minor editorial corrections.
    23. Section 12.02-17 contains rules for issuance of documents. It 
now requires medical certificates of fitness only for those applicants 
who will be serving on seagoing ships of 200 gross register tons or 
more. The requirement is effective for entry-level personnel as of 
August 1, 1998.
    24. Section 12.03-1 addresses Coast Guard-accepted training other 
than approved courses and has changed to harmonize with Sec. 10.309 as 
changed. Training courses for lifeboatman endorsement under Sec. 12.10-
3(a)(6) remain subject to Coast Guard approval under Sec. 10.302.
    25. Section 12.05-3 imposes general requirements for endorsements 
as Able Seaman and particular ones for approved basic safety training 
for STCW endorsements that will be valid for service on or after 
February 1, 2002. By application of Sec. 12.02-7, this section does not 
affect unlicensed personnel serving on certain classes of small 
vessels.
    26. Section 12.05-7 requires service and training for endorsements 
as Able Seaman and stays basically as proposed in the NPRM. It is 
effective as of August 1, 1998.
    27. Section 12.05-11 addresses general provisions for MMD 
endorsements as an Able Seaman, and stays as proposed in the NPRM.
    28. Section 12.10-3 addresses general requirements for lifeboatman 
and is clarified by restoring the original wording of paragraph (a); by 
increasing the period of sea time from 3 to 6 months in paragraph 
(a)(6), as it was proposed in the NPRM; and by

[[Page 34524]]

increasing a minimum age in the new paragraph.
    29. Section 12.10-5 is revised to incorporate by reference the 
requirements for proficiency in survival craft and rescue boats set 
forth by Section A-VI/2 and Table A-VI/2-1 of the STCW Code, effective 
as of August 1, 1998. The candidate must have evidence that his or her 
competency has been achieved or assessed within the previous 5 years.
    30. Section 12.10-7 is revised by introducing a reference to the 
STCW requirements for proficiency in survival craft and rescue boats, 
or fast rescue boats.
    31. New Sec. 12.10-9, on evidence of proficiency in fast rescue 
boats, is added as proposed in the NPRM, effective as of August 1, 
1998.
    32. Proposed Sec. 12.10-11 addresses persons designated to provide 
medical care, or take charge of medical care on board ship. It stays as 
proposed in the NPRM, but becomes new subpart 12.13. Its requirements 
will be effective as of August 1, 1998.
    33. Section 12.15-3 addresses the qualified member of the engine 
department (QMED) and now requires approved basic safety training for 
an STCW endorsement, which will be valid for service on or after 
February 1, 2002. (Read with Sec. 12.02-7 it does not require this of 
unlicensed personnel serving on certain classes of smaller vessels.)
    34. Section 12.15-7 addresses service or training requirements for 
the engine-room rating. It stays as proposed in the NPRM, though it 
corrects the reference to the STCW Code.
    35. Section 12.25-45, entitled ``Electronics Technician'' in the 
NPRM, is modified by (1) deleting references to a new rating for an 
``Electronics technician--Non-GMDSS''; (2) replacing ``Electronics 
Technician'' with the term ``GMDSS At-sea Maintainer''; and (3) 
providing for the adding of a suitable endorsement to an MMD if the 
holder can furnish sufficient evidence of having received training in 
the maintenance of GMDSS installations on board ships. This section 
does not preclude anyone from serving as an GMDSS At-sea Maintainer if 
he or she meets FCC requirements. The section also allows a licensed 
person, as well as an unlicensed one, to receive a ``GMDSS At-sea 
Maintainer'' endorsement if he or she qualifies.
    36. Subpart 12.30 addresses Ro-Ro passenger ships and stays 
essentially as proposed in the NPRM; the effective date, however, has 
changed to February 1, 1997, which is consistent with guidance issued 
by the Subcommittee of IMO on STW (STCW-7/Circ. 1).

Part 15--Manning

    37. Section 15.103 contains general provisions that clarify the 
scope of part 15. New paragraph (d) states, subpart J applies to 
seagoing vessels which are subject to STCW. New paragraph (e) and (f) 
state that the regulations implementing STCW (i.e., those constituting 
new subpart J) do not directly apply to certain classes of smaller 
vessels or to the personnel serving on them. These vessels are already 
subject to a complex of laws that collectively secure a degree of 
safety at sea, and of pollution prevention, both at least equivalent to 
the applicable requirements of STCW itself. New paragraph (g) provides 
for the issuance of the appropriate STCW certificate or endorsement if 
the vessel engages in international voyages.
    38. Section 15.105 indicates that STCW and its Code have been 
incorporated by reference into the regulations in part 10. Except for 
adjusting the list of regulations that refer to STCW or its Codes, the 
wording remains as proposed in the NPRM.
    39. Section 15.301 contains definitions. It replaces the term 
``Electronics technician'' with ``GMDSS At-sea Maintainer'', and 
withdraws the proposed term ``Electronics technician--Non-GMDSS''.
    40. New subpart J consolidates the new requirements emanating from 
the 1995 STCW Amendments. Essentially, those proposed as 
Secs. 15.401(b), 15.403, 15.411, and 15.705 all appear as elements of 
this new subpart.
    Section 15.1101 is general and comprises (a) definitions; (b) a 
statement of applicability that exempts certain classes of smaller 
vessels by reference to paragraph 15.103(d); and (c) acceptance of a 
Safety Management Certificate that meets the requirements of the 
subpart. This recognition of the Certificate, which is international, 
and of its domestic counterpart reflects enactment of Pub. L. 104-324 
(Coast Guard Authorization Act of 1996), and particularly of Sec. 602, 
which provides the legal basis for earning the Certificate.
    41. Section 15.1103 sets out restrictions, employment, service, and 
the effective dates of certain new requirements.
    Paragraph (a) requires masters, mates, engineers, and radio 
operators, among others, to hold the appropriate STCW certificates or 
endorsements issued in accordance with part 10. (However, paragraph (e) 
allows for the continued use, through January 31, 2002, of STCW 
certificates and endorsements issued on the basis of 1978 STCW and of 
NVIC 8-95.)
    Paragraph (b) requires unlicensed personnel in the navigational 
watch on seagoing vessels of 500 gross tons or more to hold the 
appropriate STCW certificates or endorsements issued in accordance with 
part 12. It becomes effective as of February 1, 1997. (A similar 
requirement has already been in effect under the 1978 STCW Convention).
    Paragraph (c) requires unlicensed personnel in the engineering 
watch, on seagoing vessels with propulsion power of 750 kW (1000hp) or 
more, to hold the appropriate STCW certificates or endorsements in 
accordance with part 12. This paragraph, however, does not require the 
certificates or endorsements until February 1, 2002; it is in keeping 
with the guidance issued by the Subcommittee of IMO on STW.
    Paragraph (d) applies to Ro-Ro passenger ships and is consistent 
with the terminology used in Chapter V of the STCW. It is effective as 
of February 1, 1997.
    Paragraph (e) requires masters and mates to hold Certificates for 
Operators of Radio in GMDSS if they are serving on seagoing vessels on 
or after February 1, 2002. This does not affect the requirements of 
SOLAS and FCC that there be primary and secondary operators on board 
GMDSS ships as of February 1, 1999.
    Paragraph (f) addresses the GMDSS At-sea Maintainer. Since it is 
fully consistent with Chapter IV of SOLAS, the Coast Guard considers it 
appropriate to align the effective date respecting the GMDSS At-sea 
Maintainer with that respecting the maintenance option in Chapter IV of 
SOLAS February 1, 1999.
    42. Section 15.1105 addresses familiarization and basic safety-
training. Section 15.403 in the NPRM, it clarifies its own scope by 
exempting personnel serving on certain classes of smaller vessels (see 
Sec. 15.103(d)). Paragraph (a) provides that no person may be assigned 
duties on board a vessel unless he or she first receives 
familiarization training or instruction, to prepare him or her to take 
proper action in emergencies. Paragraph (b) provides that persons 
required to be on board as part of the crew complement must become 
familiar with ship-specific systems and arrangements, before being 
assigned to duties. Paragraph (c) provides that persons who are part of 
the crew complement or are assigned duties on the muster list must 
produce evidence of having (1) received approved basic safety training 
or instruction and (2) achieved or maintained competence in base safety 
within the last 5 years.
    Paragraph 15.1105(d) reflects the guidance issued by the 
Subcommittee of

[[Page 34525]]

IMO on STW, to the effect that, in applying STCW Regulation V/1 on 
basic safety-training or instruction to seafarers who have commenced 
sea service before February 1, 1997, administrations should ``treat 
each case on its merits.'' It exempts those mariners (except where 
basic safety-training may be a requirement for holding a license or 
document under part 10 or 12) from undergoing formal training or 
instruction in basic safety until August 1, 2002, if they hold evidence 
of achieving or maintaining competence within the last 5 years. The 
required evidence can be based on records that a mariner has 
participated in well-organized drills and other structured exercises, 
or participated in on-board safety training programs, during which his 
or her performance was evaluated, and weaknesses brought to his or her 
attention.
    43. Section 15.1107 covers maintenance of records. It now indicates 
that a certificate by a qualified medical practitioner, to the effect 
that a seaman is medically fit to perform tasks and duties likely to be 
involved in the performance of the job for which he or she is employed, 
is sufficient to meet the record-keeping requirement of this rule 
respecting medical fitness. Records must be maintained only for those 
seamen on seagoing vessels who hold licenses or merchant mariners' 
documents.
    44. Section 15.1109 (which was Sec. 15.705 in the NPRM) addressed 
watchkeeping. It stays basically as proposed, though with editorial 
improvements.
    45. Section 15.1111 (which was Sec. 15.710 in the NPRM) concerns 
work hours and rest periods. It is re-drafted (1) to square with STCW 
on rest periods; (2) to clarify that no rest period may be used for 
work even on a voluntary basis; (3) to provide examples of duties that 
should not be assigned during rest periods; (4) to require watchkeeping 
personnel to comply with domestic limits on work-hours in U.S.C. 8104; 
and (5) to make necessary editorial corrections.

Incorporation by Reference

    The following material would be incorporated by reference in 
Sec. 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.
    The Coast Guard submitted this material to the Director of the 
Federal Register for approval of the incorporation by reference.

Assessment

    This Interim Rule is a significant regulatory action under section 
3(f) of Executive Order 12866 and has been reviewed by the Office of 
Management and Budget under that Order. It is significant under the 
regulatory policies and procedures of the Department of Transportation 
(44 FR 11040; February 26, 1979). A regulatory assessment has been 
prepared for this interim rule based on comments on the NPRM and 
preliminary regulatory assessment. The regulatory assessment is 
available for inspection where indicated under ADDRESSES.
    In response to the NPRM comments, recent legislation, and an 
overarching effort to reduce the regulatory burden we impose, the Coast 
Guard has made four notable decisions that will sharply reduce the 
breadth of this rulemaking and its concomitant costs. The long term 
benefits of the resultant rule far exceed its costs.
    1. A number of comments indicated that requiring uninspected 
passenger vessels to comply with STCW would have a negative impact on 
the uninspected passenger vessel industry. Subsequent analysis by the 
Coast Guard supports this conclusion. Because domestic law has 
generally excluded uninspected passenger vessels from regulations 
applicable to ocean-going vessels and STCW is not likely to be cost-
effective for that segment of the industry, the Coast Guard is 
exempting personnel serving on uninspected passenger vessels from the 
application of STCW.
    2. Existing domestic regulations for small passenger vessels are 
equivalent to STCW standards. The Coast Guard therefore estimates that 
the interim rule will impose no costs on the small passenger vessel 
industry or on seafarers employed within this industry.
    3. The Congress exempted the fish-tenders from application of SRCW 
under Section 1146 of the Coast Guard Authorization Act of 1996 (Pub. 
L. 104-324). The Coast Guard therefore estimates that the interim rule 
will impose no new costs on the fish-tender vessel industry or on 
seafarers employed within this industry.
    4. The Coast Guard believes existing domestic regulations for 
seagoing vessels (other than passenger vessels) that are less than 200 
GRTs are equivalent to STCW standards. Therefore, this interim rule 
imposes no additional burden or concomitant costs on the ``less than 
200 GRT seagoing vessel'' industry or on seafarers employed within this 
industry.
    The Coast Guard estimates that after these equivalences and 
exemptions are taken into account, approximately 1,356 vessels 
operating outside the Boundary Line will be affected by this interim 
rule. Vessels affected include: 114 fish processing vessels; 516 
freight ships; 10 mobile offshore-drilling units (MODUs); 18 oil 
recovery vessels; 385 offshore supply vessels; 13 passenger vessels; 41 
research vessels; 13 school ships; 201 tank ships; and 45 towboats, 
tugboats, and integrated tug-barge units.
    In addition, the Coast Guard estimates that the interim rule will 
affect approximately 50,000 seafarers. This group includes: 16,000 deck 
and other officers; 7,500 engineering officers; 13,000 entry-level 
seafarers; 6,000 able seamen; 2,000 lifeboatmen; and 5,500 qualified 
members of the engineering department.
    The following outlines the costs and benefits of STCW 
implementation; it presents all costs and benefits in 1996 dollars.

Costs

    The costs of this interim rule fall into the following categories: 
training course and practical skills demonstration costs; ship company 
costs; maritime trainers' costs; and government costs.

Training Course and Practical Skills Demonstration Costs

    Training course and practical skills demonstration costs vary with 
the number of seafarers applying for STCW certification. Because all 
seafarers employed on STCW certification. Because all seafarers 
employed on STCW-affected vessels will be required to have STCW 
certification by February 1, 2002, and because original certification 
is more expensive than recertification, training course and practical 
skills demonstration costs will be higher in the first five years 
following STCW implementation (1997-2001) than they will be in 
subsequent years.
    A seafarer possessing a license or document may satisfy some STCW 
requirements by a demonstration of competence in lieu of training. If a 
seafarer is unable to demonstrate the

[[Page 34526]]

required competence in skills needed to perform their duties, however, 
it may be necessary for a seafarer to take certain STCW training 
required for an original license or document before receiving STCW 
certification. Consequently, training course and practical skill 
demonstration costs potentially affect both new and current seafarers.
    Deck officers, engineers, and unlicensed personnel may be required 
to take new courses to receive STCW certificates or endorsements. 
Course costs for individuals are expected to be $8,384,739 annually 
between 1997 and 2001, and $1,619,969 annually after 2001.
    When formal training is not required, deck officers, engineers, and 
unlicensed personnel will be required to demonstrate competency in 
skills relevant to their assigned duties before receiving or renewing 
STCW certification. The Coast Guard estimates the total cost of 
demonstrating competency and documenting experience will be $2,148,940 
annually between 1997 and 2001, and $1,921,766 annually after 2001.

Ship Company Costs

    The Coast Guard estimates that the burden of keeping company 
records, as required by STCW, will cost ship companies a total of 
$11,270 annually.

Maritime Training Costs

    The STCW will impose negligible new costs on marine training 
institutions. The Interim Rule does not require that seafarers take all 
STCW training at any one institution, or that any one institution offer 
all training required for STCW certification. Therefore, marine 
training institutions need not offer any new courses. Any marine 
training institutions offering new courses will do so to meet increased 
demand in response to market forces.

Government Costs

    There will be a one-time cost to the government of approximately 
$350,000 incurred between 1997 and 2001 for approving mariner courses, 
in-house training, policy development, and recordkeeping required by 
STCW-based rules.

Summary of Costs

    The present value of the costs of this Interim Rule through 2006, 
discounted at 7% to 1996, will total $53,922,941.

Benefits

    Human error is the cause of over 80% of all marine accidents. By 
ensuring that seafarers have the skills needed to perform their duties, 
STCW will prevent accidents that result from insufficient knowledge or 
inadequate skills. The benefits of STCW are the costs avoided by 
preventing accidents caused by human error.
    To determine the economic value of accidents prevented, the Coast 
Guard analyzed casualty records of and investigation reports into the 
causes and costs of marine accidents that have occurred on U.S.-flagged 
vessels of the types to be affected by STCW. The benefits are a 
function of the type and magnitude of marine accidents that will be 
avoided. A lower and an upper range of benefits are estimated to bound 
the anticipated range of effectiveness STCW will have in preventing 
accidents. Casualty records analyzed and the methodology used to 
determine STCW's effectiveness in preventing accidents are presented in 
the regulatory assessment that is available for inspection as indicated 
under ADDRESSES. The Coast Guard's analysis of casualty records 
determined that STCW is likely to prevent damages and injuries valued 
between $13,820,709 and $24,511,455 annually.
    The benefits of STCW flow from the accidents avoided. The benefits 
associated with preventing marine accidents are phased in according to 
the percentage of mariners who will complete the requirements needed to 
receive STCW certification each year. As the full effect of these STCW 
requirements will be gained by seafarers that enter the workforce or 
upgrade an existing license/document, the full benefit of STCW is 
assumed to accrue to the U.S. economy within 10 years.

Summary of Benefits

    The Coast Guard estimates that the present value of the benefits 
discussed above, discounted at 7% through 2006, will total between 
$56,464,784 and $100,142,042.

Non-Quantifiable Benefits

    The Coast Guard also identified non-quantifiable benefits due to 
STCW. As a result of implementing this international convention, the 
United States, acting in its capacity as a port state, will have the 
authority to detain foreign vessels that are not in compliance with 
STCW. The Coast Guard believes that these vessels are more likely to 
have marine accidents than those that are in compliance with STCW. As a 
result of its ability to restrain the movements of these unsafe 
foreign-flag vessels in U.S. waters, the Coast Guard expects to see 
fewer accidents in U.S. waters caused by foreign-flag vessels. Although 
these benefits are not quantified, it is worth noting that over 90% of 
the vessels subject to STCW and calling on U.S. ports fly the flag of a 
foreign nation.

Benefit/Cost Comparison

    Tables 1 and 2 outline the present value of the costs and benefits 
of STCW, calculated from 1997 to the year noted in the tables. Each 
value has been discounted at 7% to 1996 and is presented in 1996 
dollars.

     Table 1.--Present Value of Benefits and Costs, Benefits Calculated at Lower End of Range, 1996 Dollars     
----------------------------------------------------------------------------------------------------------------
                                                                                                       Benefit/ 
                             Year                                 PV benefits          PV costs       cost ratio
                                                                                                         NPV    
----------------------------------------------------------------------------------------------------------------
2006.........................................................         56,464,784         53,922,941         1.05
2016.........................................................        105,810,695         66,608,706         1.59
2026.........................................................        130,895,655         73,057,506        1,79 
----------------------------------------------------------------------------------------------------------------
Note.--PV: Present Value. NPV; Net Present Value.                                                               


[[Page 34527]]


     Table 2.--Present Value of Benefits and Costs, Benefits Calculated at Upper End of Range, 1996 Dollars     
----------------------------------------------------------------------------------------------------------------
                                                                                                       Benefit/ 
                             Year                                 PV benefits          PV costs       cost ratio
                                                                                                         NPV    
----------------------------------------------------------------------------------------------------------------
2006.........................................................        100,142,042         53,922,941         1.86
2016.........................................................        187,658,544         66,608,706         2.82
2026.........................................................        232,147,496         73,057,506        3.18 
----------------------------------------------------------------------------------------------------------------
Note.--PV: Present Value. NPV; Net Present Value.                                                               

Small Entities

    Under the Regulatory Flexibility Act [5 U.S.C. 601 et seq.], the 
Coast Guard must consider whether this interim rule, 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 Coast Guard did consider the impact on businesses, 
organizations, and jurisdictions defined as small entities and 
potentially affected by STCW. Small entities include: owners and 
operators of some STCW-affected vessels; training institutions; and 
businesses offering marine training courses or supplying assessors or 
examiners.
    Because STCW does not require that any single business offer or 
assess all courses required under STCW, no training institution or 
business offering training course assessors will have to offer new 
services. This rulemaking allows for small entities to remain in and 
actively compete in the maritime training sector with options to teach 
and assess as many courses or functions as the entity chooses.
    The NPRM generated over 400 comments from owners and operators of 
small passenger vessels, seagoing vessels (other than passenger 
vessels) that are less than 200 Gross Registered Tons (GRT), as well as 
uninspected passenger vessels and fish-tenders. Many of these owners 
and operators were small businesses. Their comments indicated that STCW 
might have a significant impact on their business. The Interim Rule 
addresses these concerns. Specifically, the system of equivalencies 
under existing domestic regulations established for small passenger 
vessels and for seagoing vessels (other than passenger vessels) that 
are less than 200 GRTs, as well as the system of exemptions for 
uninspected passenger vessels and fish-tenders, means that STCW will 
not impose any new requirements on these businesses.
    These accommodations for owners and operators of small passenger 
vessels, seagoing vessels (other than passenger vessels) that are less 
than 200 GRTs, as well as for those of uninspected passenger vessels 
and fish-tenders, and the flexibility maintained in this Interim Rule 
for marine educators and assessors, convince the Coast Guard that it 
has eliminated impacts on small entities that would otherwise have been 
affected by the Interim Rule. The Coast Guard certifies under 5 U.S.C. 
605(b) that this Interim Rule will not have a significant economic 
impact on a substantial number of small entities. The regulatory 
flexibility analysis is included in the regulatory assessment, which is 
in the docket.

Unfunded Mandates

    Under the Unfunded Mandates Reform Act (Pub. L. 104-4) (the Act), 
the Coast Guard must consider whether this Interim Rule will result in 
an annual expenditure by State, local, and tribal governments, in the 
aggregate, or by the private sector, of $100 million (adjusted annually 
for inflation). The Act also requires (in section 205) that the Coast 
Guard identify and consider a reasonable number of regulatory 
alternatives, and from those alternatives, select the least costly, 
most cost-effective, or least burdensome alternative that achieves the 
objective of the Interim Rule.
    The cost analysis completed for this Interim Rule estimates that 
compliance costs through the year 2006 will total $53.9 million and 
through the year 2016 will total $66.6 million. This Interim Rule will 
not result in estimated annual costs of $100 million or more either to 
State, local, or tribal governments in the aggregate, or to the private 
sector.
    Representatives of training institutions were interviewed to assess 
the impact of STCW. STCW does not require that any single business, 
including any State-training institution, offer or assess all courses 
required under STCW. In addition, no business, including any training 
institution offering training course assessors, will have to offer new 
services. At the same time, State and private training institutions 
will have the opportunity to remain in, and actively compete in, the 
maritime training sector.

Collection of Information

    Under the Paperwork Reduction Act [44 U.S.C. 3501 et seq.], the 
Office of Management and Budget (OMB) reviews each rule that contains 
collection-of-information requirements 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. The Coast 
Guard is currently requesting a revision of a current collection of 
information, under OMB control number 2115-0624, approved at the stage 
of the NPRM.
    This Interim Rule contains collection-of-information requirements 
in the following sections: 10.205 (documentation of practical-skills 
demonstration); 10.304 (training-record books); 10.309 and 12.03-1 
(documentation of training and assessment); 12.02-17 (documentation of 
medical fitness); 15.1107 (maintenance of merchant mariners' records by 
owner or operator); and 15.1111 (work hours and rest periods). The 
following particulars apply:
    Where courses are not required, candidates for original licenses 
and license renewals must demonstrate competency in skills necessary to 
perform assigned duties. Evidence of demonstrated competency must be 
documented and submitted to the OCMI in order for candidates to receive 
STCW certification or documentation.
    Candidates for an STCW certificate or endorsement as an officer in 
charge of a navigational watch or engineering watch may use a 
combination of training and sea service to meet STCW requirements. When 
seagoing service is combined with training in order to qualify for STCW 
certification, training must be documented in a Coast Guard-accepted 
training-record book.
    Objectives and criteria used for training and assessment not 
subject to Coast Guard approval, but used to

[[Page 34528]]

qualify for STCW certification or endorsement, must also be documented 
and available for evaluation.
    Applicants for merchant mariners' documents must submit written 
reports from medical practitioners stating that they are medically fit 
to perform assigned duties.
    Ship companies must ensure that information regarding the medical 
fitness, experience, and competency of seafarers serving on any vessel 
is maintained and accessible to management. Recordkeeping requirements 
respecting any particular seafarer would be in effect only during the 
period of service of the seafarer concerned.
    The rules in STCW were drafted to apply to companies and training 
programs worldwide. And in due course, under STCW as amended, the 
United States must show the IMO that it has in place domestic rules 
that implement those rules. But even the record-keeping requirements 
incidental to the NPRM generally reflected routine practices for U.S. 
ship companies and training institutions. The record-keeping 
requirements that the Coast Guard will institute with this interim rule 
reflect a basic reconsideration of the domestic rules themselves and of 
the requirements incidental to them: The rules and the requirements 
will not impose any new record-keeping burdens on companies operating 
smaller vessels on domestic voyages, or on institutions that train 
personnel for service on such vessels. This accounts for the reduction 
in cost impact.
    DOT No.: 2115.
    OMB Control No.: 2115-0624.
    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 
training standards, and to maintain an acceptable level of quality in 
the training, assessment, skills, and fitness of merchant marinens.
    Proposed use of Information: The Coast Guard would have access to 
information so it could monitor compliance with regulations and see 
where corrective action may be needed. Coast Guard officials issuing 
licenses, documents, and STCW certificates would then have a reliable 
source for determining whether training and assessment had been 
completed in accordance with domestic rules designed to ensure that 
merchant mariners have the skills and fitness necessary to perform 
assigned duties.
    Frequency of Response: Under this interim rule, documentation of 
merchant mariners' training, assessment, skills, and fitness would have 
to be completed and submitted to the Coast Guard once every five years 
or when upgrading an existing license or endorsement. A ship company 
would have to maintain a record on a seafarer in its service as long as 
that seafarer remained employed in its service. Records of training and 
assessment would have to be kept on file by the institutions conducting 
training or assessment for one year.
    Burden Estimate: 22,362 (down from 40,215 in the NPRM) hours 
annually.
    Respondents: 22,930 (down from 28,645) annually.
    Average Burden-Hour per Respondent: 0.975 (down from 1.4) hour.
    The Coast Guard has submitted the less-burdensome requirements to 
OMB for final approval under sub-section 3504(h) of the Paperwork 
Reduction Act. Persons submitting comments on the requirements should 
submit their comments both to OMB and the Coast Guard where indicated 
under ADDRESSES.

Federalism

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

Environment

    The Coast Guard considered the environmental impact of this interim 
rule and concluded that, under paragraph 2.B.2.e(34)(c) of Commandant 
Instruction M16475.1B, this interim rule is categorically excluded from 
further environmental documentation. This interim rule would have no 
direct environmental impact. 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, Incorporation by reference, Marine safety, Reporting and 
recordkeeping requirements, Schools, Seamen, Vessels.

46 CFR Part 12

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

46 CFR Part 15

    Incorporation by reference, Marine safety, Navigation (water), 
Reporting and recordkeeping requirements, Schools, Seamen, Vessel 
manning, Vessels.
    For the reasons set out in the preamble, the Coast Guard is 
amending 46 CFR parts 10, 12, and 15 as follows:

PART 10--LICENSING OF MARITIME PERSONNEL

    1. The authority citation for part 10 is revised to read as 
follows:

    Authority: 31 U.S.C. 9701; 46 U.S.C. 2101, 2103, 2110; 46 U.S.C. 
Chapter 71; 46 U.S.C. 7502, 7505, 7701; 49 CFR 1.45, 1.46; Sec. 
10.107 also issued under the authority of 44 U.S.C. 3507.

    2. In Sec. 10.101, paragraphs (a) and (c) are revised to read as 
follows:


Sec. 10.101  Purposes of regulations.

    (a) The purposes 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 a 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 a 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 (first assistant 
engineer), 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 in 1995 (STCW), and other 
laws, 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--

[[Page 34529]]

    (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 must ensure that 
the material is 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.
    STCW--International Convention on Standards of Training, 
Certification and Watchkeeping for Seafarers, 1978, as amended in 1995 
(STCW Convention), and Seafarer's Training, Certification and 
Watchkeeping Code (STCW Code)-- 10.103; 10.205; 10.304; 10.603; 10.901; 
10.903; 10.1005.
    4. In Sec. 10.103, the following new definitions are added in 
alphabetical order to read as follows:


Sec. 10.103  Definitions of terms used in this part.

    Approved means approved by the Coast Guard in accordance with 
Sec. 10.302.
* * * * *
    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 a person 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 person may be designated by the 
Coast Guard or by a Coast Guard-approved or accepted program of 
training or assessment. A faculty member employed or instructing in a 
navigation or engineering course at the U.S. Merchant Marine Academy or 
at a State maritime academy operated in accordance with regulations in 
46 CFR part 310 is qualified to serve as a designated examiner in his 
or her area(s) of specialization without individual evaluation by the 
Coast Guard.
* * * * *
    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 a person who has been trained or 
instructed in instructional techniques and is otherwise qualified to 
provide required training to candidates for licenses, documents, and 
endorsements. A faculty member employed at a State maritime academy or 
the U.S. Merchant Marine Academy operated in accordance with 46 CFR 
part 310 and instructing in a navigation or engineering course is 
qualified to serve as a qualified instructor in his or her area(s) of 
specialization without individual evaluation by the Coast Guard.
* * * * *
    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 means the International Convention on Standards of Training, 
Certification and Watchkeeping for Seafarers, 1978, as amended in 1995.
    STCW Code means the Seafarer's Training, Certification and 
Watchkeeping Code.
    STCW endorsement means a certificate or endorsement issued in 
accordance with STCW. An STCW endorsement issued by the Officer in 
Charge, Marine Inspection (OCMI), 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 is no longer 
valid for any purpose. References to STCW placed on a U.S. license or 
merchant mariner's document will suffice as STCW endorsements for the 
mariner serving on a vessel operating exclusively on a domestic voyage 
(i.e., to and from U.S. ports or places subject to U.S. jurisdiction).
* * * * *
    5. In Sec. 10.107, paragraph (b)(3) is added to read as follows:


Sec. 10.107  Paperwork approval.

* * * * *
    (b) * * *
    (3) OMB 2115-0624--46 CFR 10.304 and 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) Each applicant shall establish to the satisfaction of the OCMI 
that he or she possesses all of the qualifications necessary (such as 
age, experience, character references and recommendations, physical 
health or competence and test for dangerous drugs, 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.
* * * * *
    7. In Sec. 10.202, the heading is revised and paragraphs (j), (k), 
and (l) are added to read as follows:


Sec. 10.202  Issuance of licenses, certificates of registry, and STCW 
certificates or endorsements.

* * * * *
    (j) When an original license is issued, renewed, upgraded, or 
otherwise modified, the OCMI will determine whether the holder of the 
license needs to hold an STCW certificate or endorsement for service on 
a seagoing vessel and then, 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.
    (k) Notwithstanding Secs. 10.205 (k), (l), (m), (n), and (o), 
10.304, and 10.901, each mariner found qualified to hold any of the 
following licenses will also be entitled to hold an STCW certificate

[[Page 34530]]

or endorsement corresponding to the service or other limitations on the 
license, because the vessels concerned are not subject to further 
obligation under STCW, on account of their special operating conditions 
as small vessels engaged in domestic voyages:
    (1) Master's, mate's, or engineer's license for service on small 
passenger vessels that are subject to subchapter T or K of title 46, 
Code of Federal Regulations (CFR), and that operate beyond the boundary 
line.
    (2) Master's, mate's, or engineer's license for service on seagoing 
vessels of less than 200 gross register tons (GRT), other than 
passenger vessels subject to subchapter H of title 36, CFR.
    (l) Neither any person serving on any of the following vessels, nor 
any owner or operator of any of these vessels, need meet the 
requirements of subpart J, because the vessels are exempt from 
application of STCW:
    (1) Uninspected passenger vessels as defined in 46 U.S.C. 201(42).
    (2) Fishing vessels as defined in 46 U.S.C. 2101(11)(a).
    (3) Fishing vessels used as fish-tender vessels as defined in 46 
U.S.C. 2101(11)(c).
    (4) Barges as defined in 46 U.S.C. 2101(2), including non-self-
propelled mobile offshore-drilling units.
    (5) Vessels operating exclusively on the Great Lakes or the inland 
waters of the U.S. in the straits of Juan de Fuca inside passage.
    8. In Sec. 10.205, the heading is revised, and paragraphs (l), (m), 
(n), (o), and (p) are added to read as follows:


Sec. 10.205  Requirements for original licenses, certificates of 
registry, and STCW certificates and endorsements.

* * * * *
    (l) Basic safety training or instruction. (1) After January 31, 
1997, except as provided in Sec. 10.202, an STCW certificate or 
endorsement valid for any period on or after February 1, 2002, will be 
issued only when the candidate provides evidence of having achieved or, 
if training has been completed, having maintained the minimum standards 
of competence for the following 4 areas of basic safety within the 
previous 5 years upon assessment of a practical demonstration of skills 
and abilities:
    (1) Personal survival techniques as set out in table A-VI/1-1 of 
the STCW Code.
    (2) Fire prevention and fire-fighting as set out in table A-VI/1-2 
of the STCW Code.
    (3) Elementary first aid as set out in table A-VI/1-3 of the STCW 
Code.
    (4) Personal safety and social responsibilities as set out in table 
A-VI/1-4 of the STCW Code.
    (m) Competence in the use of Automatic Radar-Plotting Aids (ARPA). 
(1) Subject to paragraph (m)(2) of this section, and except as 
otherwise provided in Sec. 10.202, each candidate for an STCW 
certificate or endorsement as master or mate, to be valid on or after 
February 1, 2002, for service on vessels in ocean or near-coastal 
service, shall present a certificate of completion from an approved 
course or from accepted training on an ARPA simulator. The course or 
training 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 or training 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 are not required for 
mariners serving exclusively on vessels not fitted with ARPA. However, 
when any mariner so serving has not completed it, his or her STCW 
certificate or endorsement will be endorsed to indicate this 
limitation.
    (n) Certificate for operator of radio in the Global Maritime 
Distress and Safety System (GMDSS). (1) Subject to paragraph (n)(2) of 
this section, and except as otherwise provided by Sec. 10.202, each 
candidate for an STCW certificate or endorsement as master or mate, to 
be valid on or after February 1, 2002, for service in vessels in ocean 
or near-coastal service, shall present--
    (i) A certificate for operator of radio in the GMDSS issued by the 
Federal Communication Commission (FCC); and
    (ii) A certificate of completion from a Coast Guard-approved or 
accepted course for operator of radio in the GMDSS or from another 
approved program of training and assessment covering the same areas of 
competence. The course or program must be sufficient to establish that 
the applicant is competent to perform radio duties on a vessel 
participating in the GMDSS and meets the standard of competence under 
STCW Regulation IV/2.
    (2) Paragraph (m) of this section does not apply to a candidate 
intending to serve only as a pilot, or intending to serve only on 
vessels not required to comply with the provisions of the GMDSS in 
Chapter IV of the Convention for the Safety of Life at Sea, 1974, as 
amended (SOLAS).
    (3) Each candidate presenting a certificate described in paragraph 
(n)(1) of this section may have his or her STCW certificate suitably 
endorsed with his or her GMDSS qualification.
    (o) Procedures for bridge team work. Except as otherwise provided 
by Sec. 10.202, each candidate for an STCW certificate or endorsement 
as master or mate, to be valid on or after February 1, 2002, for 
service on vessels in ocean or near-coastal service, shall present 
sufficient documentary proof that he or she understands 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. Each candidate for an 
original license shall successfully complete any practical 
demonstrations required under this part and appropriate to the 
particular license concerned, to prove that he or she is 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 the 
demonstrations required under this part in the presence of a designated 
examiner. The OCMI will place in the file of each candidate a written 
or electronic record of the skills required, the results of the 
practical demonstrations, and the identification of the designated 
examiner in whose presence the requirements were fulfilled.
    9. In Sec. 10.207, the heading of the section, the heading for 
paragraph (c), and paragraph (c)(1) are revised to read as follows:


Sec. 10.207  Requirements for raises of grades of licenses.

* * * * *
    (c) Age, experience, training, and assessment. (1) Each applicant 
for a raise of grade of license shall establish that he or she 
possesses the age, experience, and training necessary, and has been 
examined and otherwise assessed as may be required by this part to 
establish competence to hold the particular license requested, before 
he or she is entitled to a raise in grade of license.
* * * * *
    10. In Sec. 10.209, the heading is revised, and paragraph (k) is 
added to read as follows:

[[Page 34531]]

Sec. 10.209  Requirements for renewal of licenses, certificates of 
registry, and STCW certificates and endorsements.

* * * * *
    (k) Except as otherwise provided by Sec. 10.202, each candidate for 
a renewal of an STCW certificate or endorsement as master, mate, 
operator, or engineer, to be valid on or after February 1, 2002, for 
service on any vessel in ocean or near-coastal service, shall meet the 
applicable requirements of paragraphs (k), (l), (m), and (n) in 
Sec. 10.205 and shall meet the requirements of Section A-VI/2, 
paragraph 1 to 4 of the STCW Code.
    11. In Sec. 10.304, the heading is revised and paragraphs (e), (f), 
(g), and (h) are added to read as follows:


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

* * * * *
    (e) Except as provided in Sec. 10.202, when a candidate both 
applies for an STCW certificate or endorsement as an officer in charge 
of a navigational watch, on the basis of training or sea service 
commencing on or after August 1, 1998, and 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 training of a candidate must be 
documented in a Coast Guard-accepted training-record book.
    (f) Except as provided in Sec. 10.202, each candidate who applies 
for an STCW certificate or endorsement as an officer in charge of an 
engineering watch or as a designated duty engineer on the basis of 
training or sea service commencing on or after August 1, 1998, 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-record 
book.
    (g) The training-record book referred to in paragraphs (e) and (f) 
of this section must contain at least the following:
    (1) The identity of the candidate.
    (2) The tasks to be performed or the skills to be demonstrated, 
with reference to the standards of competence set forth in the tables 
of the appropriate sections in part A of the STCW Code.
    (3) The criteria to be used in determining that the tasks or skills 
have been performed properly, again with reference to the standards of 
competence set forth in the tables of the appropriate sections in part 
A of the STCW Code.
    (4) 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.
    (5) A place for a designated 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, when assessment of competence is to be documented in the 
record books.
    (6) The identity of each qualified instructor, including any Coast 
Guard license or document held, and the instructor's signature.
    (7) The identity of each designated examiner, when any assessment 
of competence is recorded, including any Coast Guard license or 
document held, and the examiner's 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.
    (h) The training-record book referred to in paragraphs (e) and (f) 
of this section may be maintained electronically, if the electronic 
record meets Coast Guard-accepted standards for accuracy, integrity, 
and availability.
    12. Section 10.309 is added to subpart C to read as follows:


Sec. 10.309  Coast Guard-accepted training other than approved courses.

    (a) When the training and assessment of competence required by this 
part are not subject to Coast Guard approval under Sec. 10.302, but are 
used to qualify to hold an STCW certificate or endorsement for service 
on or after February 1, 2002, such training and assessment must meet 
the following requirements:
    (1) The training and assessment must have written, clearly defined 
objectives that emphasize specific knowledge, skills, and abilities, 
and that include criteria to be used in establishing a student's 
successful achievement of the training 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 hours to be devoted to instruction in relevant 
areas of knowledge;
    (iii) The identity and professional qualifications of the 
instructor(s) to be conducting the training or providing instruction;
    (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 training objectives.
    (3) Except as provided in paragraph (a)(4) 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, skills, and abilities described in the 
training objectives.
    (4) Neither a specialist in a particular field of nonmaritime 
education, such as mathematics or first aid, nor a person 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 has received appropriate guidance in 
instructional techniques involving the use of simulators.
    (6) Essential equipment and instructional materials must afford all 
students adequate opportunity to participate in exercises and acquire 
practice in performing required skills.
    (7) A process for routinely assessing the effectiveness of the 
instructors, including the use of confidential evaluations by students, 
is in place.
    (8) Documentary evidence is readily available to establish that any 
evaluation of whether a student is competent in accordance with 
standards, methods, and criteria set out in part A of the STCW Code is 
conducted by a designated examiner who has experience, training, or 
instruction in assessment techniques.
    (9) Records of the student's performance are maintained for at 
least 1 year by the offeror of the training and assessment.
    (10) To ensure that the training is meeting its objectives, and the 
requirements of paragraphs (a)(1)

[[Page 34532]]

through (9) of this section, the offeror must either--
    (i) Be regulated as a maritime academy or marine academy pursuant 
to 46 CFR part 310; or
    (ii) Monitor the training in accordance with a Coast Guard-accepted 
QSS, which must include the following features:
    (A) The training must be provisionally certified, on the basis of 
an initial independent evaluation conducted under a Coast Guard-
accepted QSS, as being capable of meeting its objective.
    (B) The training must be periodically monitored in accordance with 
the schedule stipulated under the Coast Guard-accepted QSS.
    (C) Each person conducting the initial evaluation or the subsequent 
periodic monitoring of the training shall be knowledgeable about the 
subjects being evaluated or monitored and about the national and 
international requirements that apply to the training, and shall not 
himself or herself be involved in the training and assessment of 
students.
    (D) Each person evaluating or monitoring the training shall have 
access to all appropriate documents and facilities, and shall have 
opportunities both to observe all appropriate activities and to conduct 
confidential interviews when necessary.
    (E) Arrangements must be such as to ensure that no person 
evaluating or monitoring the training is penalized or rewarded, 
directly or indirectly, by the sponsor of the training for making any 
particular observations or for reaching any particular conclusions.
    (11) Each person conducting the initial evaluation under paragraph 
(a)(10)(ii)(A) of this section or the periodic monitoring of the 
training under paragraph (a)(10)(ii)(B) of this section shall 
communicate his or her conclusions to the Director, National Maritime 
Center, NMC-4B, 4200 Wilson Boulevard, suite 510, Arlington, VA 22203-
1804, within 1 month of the completion of the evaluation or the 
monitoring.
    (12) Each offeror of the training shall let the Coast Guard or 
someone authorized by the Coast Guard observe the records of a 
student's performance and records otherwise relating to paragraphs 
(a)(1) through (10) of this section.
    (b) The Coast Guard will maintain a list of training each of whose 
offerors submits a certificate, initially not less than 45 calendar 
days before offering training under this section, and annually 
thereafter, signed by the offeror or its authorized representatives, 
stating that the training fully complies with requirements of this 
section, and identifying the Coast Guard-accepted QSS being used for 
independent monitoring. Training programs on this list will 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 of someone authorized by it to monitor 
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 offeror of the training by 
letter, enclosing a report of the observations and conclusions;
    (2) The offeror may, within a period specified in the notice, 
either appeal the observations or conclusions to the Commandant (G-MOC) 
or 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 judged by the Coast 
Guard to be appropriate, considering progress toward compliance--the 
Coast Guard will remove the training from the list maintained under 
paragraph (b) of this section until it can verify full compliance; and 
it may deny applications for licenses for STCW endorsement based in 
whole or in part on training not on the list, until additional training 
or assessment is documented.
    13. In subpart D, the heading is revised to read as follows:

Subpart D--Professional Requirements for Deck Officers' Licenses

    14. Section 10.491 is added to subpart D to read as follows:


Sec. 10.491  Licenses for service on offshore supply vessels.

    Each license for service on offshore supply vessels (OSVs) 
authorizes service on OSVs as defined in 46 U.S.C. 2101(19) and as 
interpreted under 46 U.S.C. 14104(b), subject to any restrictions 
placed on the license.
    15. Section 10.493 is added to subpart D to read as follows:


Sec. 10.493  Master (OSV).

    (a) Except as provided by paragraph (b) of this section, to qualify 
for a license as Master (OSV), an applicant shall present evidence that 
he or she meets the appropriate requirements of STCW Regulation II/2.
    (b) The OCMI may exempt an applicant from meeting any requirement 
under STCW Regulation II/2 that the OCMI determines to be inappropriate 
or unnecessary for service on an OSV, or that the applicant meets under 
the equivalency provisions of Article IX of STCW.
    16. Section 10.495 is added to subpart D to read as follows:


Sec. 10.495  Chief Mate (OSV)

    (a) Except as provided by paragraph (b) of this section, to qualify 
for a license as Chief Mate (OSV), an applicant shall present evidence 
that he or she meets the appropriate requirements of STCW Regulation 
II/2.
    (b) The OCMI may exempt an applicant from meeting any requirement 
under STCW Regulation II/2 that the OCMI determines to be inappropriate 
or unnecessary for service on an OSV, or that the applicant meets under 
the equivalency provisions of Article IX of STCW.
    17. Section 10.497 is added to subpart D to read as follows:


Sec. 10.497  Mate (OSV)

    (a) Except as provided by paragraph (b) of this section, to qualify 
for a license as Mate (OSV), an applicant shall present evidence that 
he or she meets the appropriate requirements of STCW Regulation II/1.
    (b) The OCMI may exempt an applicant from meeting any requirement 
under STCW Regulation II/1 that the OCMI determines to be inappropriate 
or unnecessary for service on an OSV, or that the applicant meets under 
the equivalency provisions of Article IX of STCW.
    18. Section 10.551 is added to subpart E to read as follows:


Sec. 10.551  Licenses for service on offshore supply vessels.

    Each license for service on OSVs as Chief Engineer (OSV) or 
Engineer authorizes service on OSVs as defined in 46 U.S.C. 2101(19) 
and as interpreted under 46 U.S.C. 14104(b), subject to any 
restrictions placed on the license.
    19. Section 10.553 is added to subpart E to read as follows:


Sec. 10.553  Chief Engineer (OSV).

    (a) Except as provided by paragraph (b) of this section, to qualify 
for a license as Chief engineer (OSV), an applicant shall present 
evidence that he or she meets the appropriate requirements of STCW 
Regulation III/2.
    (b) The OCMI may exempt an applicant from meeting any requirement 
under STCW Regulation III/2 that the OCMI determines to be 
inappropriate or unnecessary for service on an OSV, or that the 
applicant meets under the equivalency provisions of Article IX of STCW.

[[Page 34533]]

    20. Section 10.555 is added to subpart E to read as follows:


Sec. 10.555  Engineer (OSV).

    (a) Except as provided by paragraph (b) of this section, to qualify 
for a license as Engineer (OSV), an applicant shall present evidence 
that he or she meets the appropriate requirements of STCW Regulation 
III/1.
    (b) The OCMI may exempt an applicant from meeting any requirement 
under STCW Regulation III/1 that the OCMI determines to be 
inappropriate or unnecessary for service on an OSV, or that the 
applicant meets under the equivalency provisions of Article IX of STCW.
    21. 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 issue of STCW certificates or 
endorsements for those qualified to serve as radio operators on vessels 
subject to the provisions on the Global Maritime Distress and Safety 
System (GMDSS) of Chapter IV of SOLAS.
    22. Section 10.603, the heading is revised, and paragraphs (d) and 
(e) are added to read as follows:


Sec. 10.603  Requirements for radio officers' licenses, and STCW 
certificates or endorsements for GMDSS radio operators.

* * * * *
    (d) Each applicant who furnishes 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 is entitled to hold an STCW certificate 
suitably endorsed for performing duties associated with GMDSS.
    (e) Evidence required by paragraph (d) of this section must include 
a certificate--
    (1) For operator of radio in the GMDSS issued by the Federal 
Communications Commission (FCC); and
    (2) Of completion from a Coast Guard-approved course for operator 
of radio in the GMDSS, or other approved programs of training and 
assessment covering the same areas of competence.
    23. The heading of subpart I is revised to read as follows:

Subpart I--Subjects of License Examinations and Practical 
Demonstrations of Competence

    24. In Sec. 10.901, paragraphs (c) and (d) are added to read as 
follows:


Sec. 10.901  General provisions.

* * * * *
    (c) Except as provided in Secs. 10.202 and 10.209, each applicant 
for an STCW certificate or endorsement, to be valid for service on or 
after February 1, 2002, in the following capacities on vessels that 
operate beyond the Boundary Line shall also furnish sufficient 
documentary evidence that he or she has made a practical 
demonstration(s) of competence as set out under the appropriate STCW 
Regulations:
    (1) Deck Department. (i) Officer in charge of the navigational 
watch on a seagoing vessel of 500 gross tons (GT) or more.
    (ii) Officer in charge of the navigational watch on a seagoing 
vessel of less than 500 GT not engaged on a near-coastal voyage.
    (iii) Officer in charge of the navigational watch on a seagoing 
vessel of less than 500 GT engaged on a near-coastal voyage.
    (iv) Master and chief mate on a seagoing vessel of 3,000 GT or 
more.
    (v) Master and chief mate on a seagoing vessel of between 500 and 
3,000 GT.
    (vi) Master on a seagoing vessel of less than 500 GT not engaged on 
a near-coastal voyage.
    (vii) Master on a seagoing vessel of less than 500 gross tons 
engaged on a near-coastal voyage.
    (2) Engine Department. (i) Officer in charge of the engineering 
watch in a manned engine-room on a seagoing vessel.
    (ii) Designated duty engineer in a periodically unmanned engine-
room on a seagoing vessel.
    (iii) Chief engineer officer of a seagoing vessel driven by main 
propulsion machinery of 3,000 kW [4,000 hp] of propulsion power or 
more.
    (iv) Second engineer officer of a seagoing vessel driven by main 
propulsion machinery of 3,000 kW [4,000 hp] of propulsion power or 
more.
    (v) Chief engineer officer of a seagoing vessel driven 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 vessel 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.
    25. Section 10.903 is amended by adding new paragraphs (c) and (d) 
to read as follows:



Sec. 10.903  Licenses requiring examinations and practical 
demonstrations.

* * * * *
    (c) Each candidate for any of the following licenses, who commences 
Coast Guard approved or accepted training or approved seagoing service 
on or after August 1, 1998, or who applies for the license on or after 
February 1, 2002, shall meet the requirements of the appropriate 
regulations and standards of competence in STCW and in part A of the 
STCW Code, as indicated in table 903-1:
    (1) Master, oceans and near coastal, any gross tons.
    (2) Chief mate, oceans and near coastal, any gross tons.
    (3) Master, oceans and near coastal, 500 to 1600 gross tons.
    (4) Second mate, oceans and near coastal, any gross tons.
    (5) Third mate, oceans and near coastal, any gross tons.
    (6) Mate, oceans and near coastal, 500 to 1600 gross tons.
    (7) Operator, uninspected towing vessel of over 200 gross tons, 
oceans (domestic trade) and near coastal.
    (8) Master (OSV).
    (9) Chief mate (OSV).
    (10) Mate (OSV).
    (11) Chief engineer, unlimited.
    (12) 1st Assistant engineer, unlimited.
    (13) 2nd Assistant engineer, unlimited.
    (14) 3rd Assistant engineer, unlimited.
    (15) Chief engineer, limited--oceans.
    (16) Chief engineer, limited--near coastal.
    (17) Chief engineer (OSV).
    (18) Engineer (OSV).

[[Page 34534]]



                                                                     Table 10.903-1                                                                     
--------------------------------------------------------------------------------------------------------------------------------------------------------
                           STCW Reg.                             1    2    3    4    5    6    7    8    9    10   11   12   13   14   15   16   17   18
--------------------------------------------------------------------------------------------------------------------------------------------------------
II/1..........................................................  ...  ...  ...   X    X    X   ...  ...  ...   X   ...  ...  ...  ...  ...  ...  ...  ...
II/2, p. 1 & 2................................................   X    X   ...  ...  ...  ...  ...   X    X   ...  ...  ...  ...  ...  ...  ...  ...  ...
II/2, p. 3 & 4................................................  ...  ...   X   ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...
II/3..........................................................  ...  ...  ...  ...  ...  ...   X   ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...
III/1.........................................................  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...   X    X   ...  ...  ...   X 
III/2.........................................................  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...   X    X   ...  ...  ...  ...   X   ...
III/3.........................................................  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...  ...   X    X   ...  ...
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (d) After July 31, 1998, any candidate for a license listed in 
paragraph (c) of this section, who meets the requirements of the 
appropriate regulations and standards of competence in STCW and part A 
of the STCW code as indicated in table 10.903-1, need not comply with 
Sec. 10.910, or, 10.950, of this part.
    26. 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 of regulations.
10.1003  Definition.
10.1005  General requirements 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  Definition.

    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 
Convention for the Safety of Life at Sea, 1974, as amended (SOLAS), 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 31, 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 shall 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; 46 U.S.C. 
7301, 7302, 7503, 7505, 7701; 49 CFR 1.46.

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


Sec. 12.01-1  Purposes 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 
as 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 must ensure that 
the material is 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 (IMD)

Albert Embankment, London, SE1 7SR, England
    STCW--International Convention on Standards of Training, 
Certification and Watchkeeping for Seafarers, 1978, as amended in 1995 
(STCW Convention), and Seafarer's Training, Certification and 
Watchkeeping Code (STCW Code)--12.01-1; 12.01-6; 12.02-7; 12.02-11; 
12.05-3; 12.05-7; 12.05-11; 12.10-3; 12.10-5; 12.10-7; 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 means approved by the Coast Guard in accordance with 46 
CFR 10.302.
    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 a person 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 person may be designated by the 
Coast Guard, or by a Coast Guard-approved or accepted program of 
training or assessment. A faculty member employed at a State maritime

[[Page 34535]]

academy or the U.S. Merchant Marine Academy operated in accordance with 
regulations in 46 CFR part 310 and instructing in a navigation or 
engineering course is qualified to serve as a designated examiner in 
his or her area(s) of specialization without individual evaluation by 
the Coast Guard.
* * * * *
    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 a person who has been trained or 
instructed in instructional techniques and is otherwise qualified to 
provide required training to candidates for licenses, documents, and 
endorsements. A faculty member employed or at a State maritime academy 
or the U.S. Merchant Marine Academy operated in accordance with 46 CFR 
part 310 and instructing in a navigation or engineering course is 
qualified to serve as a qualified instructor in his or her area(s) of 
specialization without individual evaluation by the Coast Guard.
* * * * *
    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 means the International Convention on Standards of Training, 
Certification and Watchkeeping for Seafarers, 1978, as amended in 1995.
    STCW Code means the Seafarer's Training, Certification and 
Watchkeeping Code.
    STCW endorsement means a certificate or endorsement issued in 
accordance with STCW. An STCW endorsement issued by the Officer in 
Charge, Marine Inspection (OCMI), 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. References to STCW placed on a U.S. 
license or merchant mariner's document will suffice as STCW 
endorsements for the mariner serving on a vessel operating exclusively 
on a domestic voyage (i.e., to and from U.S. ports or places subject to 
U.S. jurisdiction).
    5. Section 12.01-9 is added to read as follows:


Sec. 12.01-9  Paperwork approval.

    (a) This section lists the control numbers assigned by the Office 
of Management and Budget under the Paperwork Reduction Act of 1980 
(Pub. L. 96-511) for the reporting and record keeping requirements in 
this part.
    (b) The following control numbers have been assigned to the 
sections indicated:
    (1) OMB 2115-0624--46 CFR 12.02-17 and 12.03-1.
    6. In Sec. 12.02-7, paragraphs (d), (e), and (f) are added to read 
as follows:


Sec. 12.02-7  When documents are required.

* * * * *
    (d) After January 31, 1997, each person serving as a rating forming 
part of a navigational watch on a seagoing ship of 500 gross tons or 
more shall hold an STCW endorsement certifying him or her as qualified 
to perform the navigational function at the support level, in 
accordance with STCW.
    (e) After January 31, 2002, each person serving as 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.
    (f) Notwithstanding any other rule in this part, no unlicensed 
person serving on any of the following vessels needs hold an STCW 
endorsement, either because he or she is exempt from application of the 
STCW, or because the vessels are not subject to further obligation 
under STCW, on account of their special operating conditions as small 
vessels engaged in domestic voyages:
    (1) Small passenger vessels subject to subchapter T or K of title 
46, CFR.
    (2) Vessels of less than 200 GRT (other than passenger vessels 
subject to subchapter H of title 46, CFR).
    (3) Uninspected passenger vessels as defined in 46 U.S.C. 2101(42).
    (4) Fishing vessels as defined in 46 U.S.C. 2101(11)(a).
    (5) Fishing vessels used as fish-tender vessels as defined in 46 
U.S.C. 2101(11)(c).
    (6) Barges as defined in 46 U.S.C. 2101(2), including non-self-
propelled mobile offshore-drilling units.
    (7) Vessels operating exclusively on the Great Lakes.
    7. 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, will determine 
whether the holder of the document is required to hold an STCW 
endorsement for service on a seagoing vessel, and then, if the holder 
is qualified, the Officer in Charge, Marine Inspection will issue the 
appropriate endorsement. The Officer in Charge, Marine Inspection will 
also issue an STCW endorsement at other times, if circumstances so 
require and if the holder of the document is qualified to hold the 
endorsement. The Officer in Charge, Marine Inspection will issue an 
STCW endorsement for the following ratings:
    (1) A rating forming part of a navigational watch on a seagoing 
ship of 500 GT 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, 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, 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 Officer in 
Charge, Marine Inspection may add an endorsement to indicate that a 
qualified holder has received basic safety-training or instruction 
required under Chapter VI of STCW.
    8. 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) After July 31, 1998, an applicant for a merchant mariner's 
document who will be serving on a seagoing vessel of 200 GRT or more 
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.
* * * * *
    9. Subpart 12.03, consisting of Sec. 12.03-1, is added to read as 
follows:

[[Page 34536]]

Subpart 12.03--Approved and Accepted Training

Sec.
12.03-1  Coast Guard-accepted training other than approved courses.

Subpart 12.03--Approved and Accepted Training


Sec. 12.03-1  Coast Guard-accepted training other than approved 
courses.

    (a) When the training and assessment of competence required by part 
10 of this chapter or by this part 12 are not subject to approval under 
Sec. 10.302 of this chapter, but are used to qualify to hold an STCW 
certificate or endorsement for service on or after February 1, 2002, 
the training and assessment must meet the following requirements:
    (1) The training and assessment must have written, clearly defined 
objectives that emphasize specific knowledge, skills, and abilities, 
and that include criteria to be used in establishing a student's 
successful achievement of the training 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 hours to be devoted to instruction in relevant 
areas of knowledge;
    (iii) The identity and professional qualifications of the 
instructor(s) to be conducting the training or providing instruction;
    (iv) The identity of other media or facilities to be used in 
conducting the training; and
    (v) Measurements at appropriate intervals of each candidate's 
progress toward acquisition of the specific knowledge, skills, and 
abilities stated in the training objectives.
    (3) Except as provided in paragraph (a)(4) 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, skills, and abilities described in the 
training objectives.
    (4) Neither a specialist in a particular field of non-maritime 
education, such as mathematics or first aid, nor a person with at least 
3 years of service as a member of the Armed Forces of the United 
States, specializing in a particular field, 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 has received appropriate guidance in 
instructional techniques involving the use of simulators.
    (6) Essential equipment and instructional materials must afford 
each student adequate opportunity to participate in exercises and 
acquire practice in performing required skills.
    (7) A process for routinely assessing the effectiveness of the 
instructors, including the use of confidential evaluations by students, 
is in place.
    (8) Documentary evidence is readily available to establish that any 
evaluation of whether a student is competent in accordance with 
standards, methods, and criteria set out in part A of the STCW Code is 
conducted by a designated examiner who has experience, training, or 
instruction in assessment techniques.
    (9) Records of the student's performance are maintained for at 
least 1 year by the offeror of the training and assessment.
    (10) To ensure that the training is meeting its objectives, and the 
requirements of paragraphs (a) (1) through (9) of this section, its 
offeror must either--
    (i) Be regulated as a maritime academy or marine academy pursuant 
to 46 CFR part 310; or
    (ii) Monitor it in accordance with a Coast Guard-accepted QSS, 
which must include the following features:
    (A) The training must be provisionally certified, on the basis of 
an initial independent evaluation conducted under a Coast Guard-
accepted QSS, as being capable of meeting its stated objective.
    (B) The training must be periodically monitored in accordance with 
the schedule stipulated under the Coast Guard-accepted quality-
standards system.
    (C) Each person conducting the initial evaluation or the subsequent 
periodic monitoring of the training shall be knowledgeable about the 
subjects being evaluated or monitored and about the national and 
international requirements that apply to the training, and shall not 
himself or herself be involved in the training and assessment of 
students.
    (D) Each person evaluating or monitoring the training shall enjoy 
convenient access to all appropriate documents and facilities, and 
opportunities both to observe all appropriate activities and to conduct 
confidential interviews when necessary.
    (E) Arrangements must be such as to ensure that no person 
evaluating or monitoring the training is penalized or rewarded, 
directly or indirectly, by the sponsor of the training for making any 
particular observations or for reaching any particular conclusions.
    (11) Each person conducting the initial evaluation under paragraph 
(a)(10)(ii)(A) of this section or the periodic monitoring of the 
training under paragraph (a)(10)(ii)(B) of this section shall 
communicate his or her conclusions to the Director, National Maritime 
Center, NMC-4B, 4200 Wilson Boulevard, suite 510, Arlington, VA 22203-
1804, within 1 month of the completion or the evaluation of the 
monitoring.
    (12) Each offeror of the training shall let the Coast Guard or 
someone authorized by the Coast Guard observe the records of a 
student's performance and records otherwise relating to paragraphs (a) 
(1) through (10) of this section.
    (b) The Coast Guard will maintain a list of training each of whose 
offerors submits a certificate, initially not less than 45 calendar 
days before offering training under this section, and annually 
thereafter, signed by the offeror or its authorized representative, 
stating that the training fully complies with requirements of this 
section, and identifying the Coast Guard-accepted QSS being used for 
independent monitoring. Training on this list will 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 of someone authorized by it to monitor 
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 offeror of the training by 
letter, enclosing a report of the observations and conclusions;
    (2) The offeror may, within a period specified in the notice, 
either appeal the observations or conclusions to the Commandant (G-MS) 
or 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

[[Page 34537]]

period judged by the Coast Guard to be appropriate, considering 
progress towards compliance--the Coast Guard will remove the training 
from the list maintained under paragraph (b) of this section until it 
can verify full compliance; and it may deny applications for licenses 
for STCW endorsement based in whole or in part on training not on the 
list, until additional training or assessment is documented.
    10. In Sec. 12.05-3, the introductory text is redesignated as new 
paragraph (a); old paragraph (a), (b), (c), (d), and (e) are 
redesignated as paragraphs (a) (1) through (5), respectively; and new 
paragraphs (b) and (c) are added to read as follows:


Sec. 12.05-3  General requirments.

* * * * *
    (b) An STCW endorsement valid for any period on or after February 
1, 2002, will be issued or renewed only when the candidate for 
certification as an able seaman also produces satisfactory evidence, on 
the basis of assessment of a practical demonstration of skills and 
abilities, of having achieved or maintained within the previous 5 years 
the minimum standards of competence for the following 4 areas of basic 
safety:
    (1) Personal survival techniques as set out in table A-VI/1-1 of 
the STCW Code.
    (2) Fire prevention and fire-fighting as set out in table A-VI/1-2 
of the STCW Code.
    (3) Elementary first aid as set out in table A-VI/1-3 of the STCW 
Code.
    (4) Personal safety and social responsibilities as set out in table 
A-VI/1-4 of the STCW Code.
    (c) An STCW endorsement valid for any period on or after February 
1, 2002, will be issued or renewed only when the candidate for 
certification as able seamen meets the requirements of STCW Regulation 
II/4 and of Section A-II/44 of the STCW Code, if the candidate will be 
serving as a rating forming part of the navigational watch on a 
seagoing ship of 500 GT or more.
    11. 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) After July 31, 1998, to receive an STCW endorsement for service 
as a ``rating forming part of a navigational watch'' on a seagoing ship 
of 500 GT or more, the applicant'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 forming part of a navigational watch. The 
training and experience must be sufficient to establish that the 
candidate has achieved the standard of competence prescribed in Table 
A-II/44 of the STCW Code, in accordance with the methods of 
demonstrating competence and the criteria for evaluating competence 
specified in that table.
* * * * *
    12. 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 seamen.

    (a) The holder of a merchant mariner's document endorsed for the 
rating of able seamen 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 as a ``rating forming part of a navigational watch'' on 
a seagoing ship of 500 GT or more.
* * * * *
    13. In Sec. 12.10-3, the heading and paragraph (a)(6) are revised, 
and paragraph (c) is added, to read as follows:


Sec. 12.10-3  General requirements.

    (a) * * *
    (6) Successful completion of a training course, approved by the 
Director, National Maritime Center, such course to include a minimum of 
30 hours' actual lifeboat training; provided, however, that the 
applicant produces satisfactory evidence of having served a minimum of 
6 months at sea board ocean or coastwise vessels.
* * * * *
    (c) An applicant shall be 18 years old to be certified as 
proficient in survival craft under STCW Regulation VI/2.
    14. Section 12.10-5 is amended by adding new paragraph (d) to read 
as follows:


Sec. 12.10-5  Examination and demonstration of ability.

* * * * *
    (d) After July 31, 1998, each applicant for a lifeboatman's 
certificate endorsed for proficiency in survival craft and rescue boats 
shall be not less than 18 years old and shall produce satisfactory 
evidence that he or she meets the requirements of STCW Regulation VI/2, 
paragraph 1, and the appropriate provisions of Section A-VI/2 of the 
STCW Code,
    15. Section 12.10-7 is revised to read as follows:


Sec. 12.10-7  General provisions respecting merchant mariner's document 
enforced as lifeboatman.

    A merchant mariner's document endorsed as able seaman is the 
equivalent of a certificate as lifeboatman or of an endorsement as 
lifeboatman and will be accepted as either of these wherever either is 
required by law: provided, however, that, when the holder documented as 
an able seaman has to be certificated as either proficient in survival 
craft rescue boats or proficient in fast rescue boats, he or she shall 
hold an STCW endorsement.
    16. Section 12.10-9 is added to read as follows:

Subpart 12.10-9  Certificates of proficiency in fast rescue boats

    (a) After July 31, 1998, each person engaged or employed as a 
lifeboatman proficient in fast rescue boats shall hold either a 
certificate of proficiency in these boats or a merchant mariner's 
document endorsed for proficiency in them.
    (b) to be eligible for either a certificate of proficiency in fast 
rescue boats or a merchant mariner's document endorsed for proficiency 
in them, an applicant shall--
    (1) Be qualified as a lifeboatman with proficiency in survival 
craft and fast rescue boats under this subpart; and
    (2) Furnish satisfactory 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.
    17. Subpart 12.13, consisting of 12.13-1 through 12.13-3, is added 
to read as follows:

Subpart 12.13--Persons Designated to Provide Medical Care on Board Ship

Sec.
12.13-1  Documentary evidence required.
12.13-3  Basis of documentary evidence.

Subpart 12.13--Persons Designated to Provide Medical Care on Board 
Ship


Sec. 12.13-1  Documentary evidence required.

    After July 31, 1998, each person designated to provide medical 
first aid on board ship, or to take charge of medical care on board 
ship, shall hold documentary evidence attesting that the person has 
attended a course of training in medical first aid or medical care, as 
appropriate.


Sec. 12.13-3  Basis of documentary evidence.

    The Officer in Charge, Marine Inspection will issue such 
documentary

[[Page 34538]]

evidence to the person, or endorse his or her license or document, on 
being satisfied that the training required under section 12.13-1 of 
this section establishes that he or she meets the standards of 
competence set out in STCW Regulation VI/4 and Section A-VI/4 of the 
STCW Code.
    18. In Sec. 12.15-3, paragraphs (d) and (e) are added to read as 
follows:


Sec. 12.15-3  General requirements.

* * * * *
    (d) After July 31, 1998, an STCW endorsement valid for any period 
on or after February 1, 2002, will be issued or renewed only when the 
candidate for certification as a qualified member of the engine 
department also produces satisfactory evidence, on the basis of 
assessment of a practical demonstration of skills and abilities, of 
having achieved or maintained within the previous 5 years the minimum 
standards of competence for the following 4 areas of basis safety:
    (1) Personal survival techniques as set out in Table A-VI/1-1 of 
the STCW Code.
    (2) Fire prevention and fire-fighting as set out in Table A-VI/1-2 
of the STCW Code.
    (3) Elementary first aid as set out in Table A-VI/1-3 of the STCW 
Code.
    (4) Personal safety and social responsibilities as set out in Table 
A-VI/1-4 of the STCW Code.
    (e) After July 31, 1998 an STCW endorsement that is valid for any 
period on or after February 1, 2002, will be issued or renewed only 
when the candidate for certification as a qualified member of the 
engine department meets the standards of competence set out in STCW 
Regulation III/4 and Section A-III/4 of the STCW Code, if the candidate 
will be serving as 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.
    19. 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 for service as 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 drive by main propulsion machinery 750 kW [1,000 hp] 
propulsion power or more, an applicant shall provide 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 establish that the applicant has 
achieved the standard of competence prescribed in Table A-III/4 of the 
STCW Code, in accordance with the methods of demonstrating competence 
and the criteria for evaluating competence specified in that table.
    20. Section 12.25-45 is added to read as follows:


Sec. 12.25-45  GMDSS At-sea Maintainer.

    An applicant is eligible to have his or her STCW certificate or 
endorsement include a statement of qualification as GMDSS At-sea 
Maintainer if he or she holds sufficient evidence of having completed a 
training program 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 vessels.
    21. Subpart 12.30, consisting of Secs. 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.


Sec. 12.30-3  Definitions.

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


Sec. 12.30-5  General requirements.

    To serve on a Ro-Ro passenger ship after January 31, 1997, 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 of Section A-V/2 of the STCW Code, and hold 
documentary evidence to show his or her meeting these requirements.

PART 15--MANNING REQUIREMENTS

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

    Authority: 46 U.S.C. 2101, 2103, 3306, 3703, 8101, 8102, 8104, 
8105, 8301, 8304, 8502, 8503, 8701, 8702, 8901, 8902, 8903, 8904, 
8905(b), 9102; 49 CFR 1.45 and 1.46.

    2. Section 15.102 is added to read as follows:


Sec. 15.102  Paperwork approval.

    (a) This section lists the control numbers assigned by the Office 
of Management and Budget under the Paper Reduction Act of 1980 (Pub. L. 
96-511) for the reporting and recordkeeping requirements in this part.
    (b) The following control numbers have been assigned to the 
sections indicated:
    (1) OMB 2115-0624--46 CFR 15.1107, and 15.111.
    3. Section 15.103 is amended by adding new paragraphs (d) through 
(g) to read as follows:


Sec. 15.103  General.

* * * * *
    (d) The regulations in subpart J of this part apply to seagoing 
vessels subject to the International Convention on Standards of 
Training, Certification and watchkeeping for Seafarers as amended in 
1995 (STCW ).
    (e) Neither any person serving on any of the following vessels, nor 
any owner or operator of any of these vessels, need meet the 
requirements of subpart J, because the vessels are exempt from 
application of STCW:
    (1) Uninspected passenger vessels as defined in 46 U.S.C. 2101(42).
    (2) Fishing vessels as defined in 46 U.S.C. 2101(11)(a).
    (3) Fishing vessels used as fish-tender vessels as defined in 46 
U.S.C. 2101(11)(c).
    (4) Barges as defined in 46 U.S.C. 2101(2), including non-self-
propelled mobile offshore-drilling units.
    (5) Vessels operating exclusively on the Great Lakes.
    (f) Personnel serving on the following vessels, and the owners and 
operators of these vessels, are in compliance with subpart J and are 
not subject to further obligation for the purposes of STCW, on account 
of the vessels' special operating conditions as small vessels engaged 
in domestic voyages:
    (1) Small passenger vessels subject to subchapter T or K of title 
46, CFR.
    (2) Vessels of less than 200 GRT (other than passenger vessels 
subject to subchapter H of title 46 CFR).
    (g) Licensed personnel serving on vessels identified in paragraphs 
(e)(5), (f)(1), and (f)(2) of this section will be

[[Page 34539]]

issued, without additional proof of qualification, an appropriate STCW 
certificate or endorsement when the Officer in Charge, Marine 
Inspection determines that such an endorsement is necessary to enable 
the vessel to engage in an international voyage. The STCW certificate 
or endorsement will be expressly limited to service on the vessel or 
the class of vessels and will not establish qualification for any other 
purpose.
    4. 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 must ensure that 
the material is 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
    STCW--The International Convention on Standards of Training, 
Certification and Watchkeeping for Seafarers, 1978, as amended in 1995, 
(STCW Convention), and Seafarer's Training, Certification and 
Watchkeeping Code (STCW Code)--15.103; 15.1101; 15.1103; 15.1105; 
15.1109.
    5. In Sec. 15.301, the periods at the ends of paragraphs (b) (7) 
and (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 paragraph (c)(7) is added to read as 
follows:


Sec. 15.301  Definitions of terms used in this part.

* * * * *
    (b) * * *
    (11) GMDSS radio operator.
    (c) * * *
    (7) GMDSS At-sea Maintainer.
    6. Subpart J, consisting of Secs. 15.1101 through 15.1111, is added 
to read as follows:

Subpart J--Vessels Subject to Requirements of STCW

Sec.
15.1101  General.
15.1103  Employment and service within restrictions of license, 
document, and STCW endorsement.
15.1105  Familiarization and basic safety-training.
15.1107  Maintenance of merchant mariners' records by owner or 
operator.
15.1109  Watches.
15.1111  Work hours and rest periods.

Subpart J--Vessels Subject to Requirements of STCW


Sec. 15.1101  General.

    (a) Definitions. For purposes of this subpart, the term--
    (1) STCW means the International Convention on Standards of 
Training, Certification and Watchkeeping for Seafarers, 1978, as 
amended in 1995;
    (2) STCW Code means the Seafarer's Training, Certification and 
Watchkeeping Code;
    (3) Seagoing vessel means a self-propelled vessel in commercial 
service that operates beyond the Boundary Line established by 46 CFR 
part 7. It does not include a vessel that navigates exclusively on 
inland waters;
    (4) Rest means a period of time during which the person concerned 
is off duty, is not performing work (which includes administrative 
tasks such as chart corrections or preparation of port-entry 
documents), and is allowed to sleep without being interrupted; and
    (5) Overriding operational conditions means circumstances in which 
essential shipboard work cannot be delayed for safety or environmental 
reasons, or could not reasonably have been anticipated at the 
commencement of the voyage.
    (b) Except as otherwise provided in Sec. 15.1103(d), the 
regulations in this subpart apply to seagoing vessels subject to STCW.
    (c) A vessel that has on board a valid Safety Management 
Certificate and a copy of a Document of Compliance issued for that 
vessel in accordance with 46 U.S.C. 3205 is presumed in compliance with 
the regulations in this subpart.


Sec. 15.1103  Employment and service within restrictions of license, 
document, and STCW endorsement.

    (a) On board a seagoing vessel operating beyond the Boundary Line, 
no person may employ or engage any person to serve, and no person may 
serve, in a position requiring a person to 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.
    (b) On board a seagoing vessel of 500 GT or more, no person may 
employ or engage any person to serve, and no person may serve, as 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.
    (c) After January 31, 2002, on board 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.
    (d) After January 31, 1997, no person may either be engaged or 
employed to serve on board a roll-on/roll-off (Ro-Ro) passenger ship to 
which a certificate signifying compliance with the International 
Convention for the Safety of Life at Sea, 1974, as amended (SOLAS), has 
been issued, or perform duties on board such a ship, unless he or she 
holds documentary evidence to show he or she meets the requirements of 
Sec. 10.1005 or Sec. 12.30-5 of this chapter, whichever is appropriate 
to the service or the duties.
    (e) After January 31, 2002, on board 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 GMDSS.
    (f) After January 31, 1999, on board 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 of

[[Page 34540]]

SOLAS Regulation IV/15, which allows for capability of at-sea 
electronic maintenance to ensure that radio equipment is available for 
radio communication, unless the person serving holds documentary 
evidence that he or she is competent to maintain GMDSS equipment.
    (g) After January 31, 2002, on board 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.


Sec. 15.1105  Familiarization and basic safety-training.

    (a) After January 31, 1997, on board 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) Training in personal survival techniques as set out in the 
standard of competence under STCW Regulation VI/1; or
    (2) Sufficient familiarization training or instruction that he or 
she--
    (i) Can communicate with other persons on board about elementary 
safety matters and understand informational symbols, signs, and alarm 
signals concerning safety;
    (ii) Knows what to do if a person falls overboard; if fire or smoke 
is detected; or if the firm alarm or abandon-ship alarm sounds;
    (iii) Can identify stations for muster and embarkation, and 
emergency-escape routes;
    (iv) Can locate and don life-jackets;
    (v) Can raise the alarm and knows the use of portable fire 
extinguishers;
    (vi) Can take immediate action upon encountering an accident or 
other medical emergency before seeking further medical assistance on 
board; and
    (vii) Can close and open the fire doors, weather-tight doors, and 
watertight doors fitted in the vessel other than those for hull 
openings.
    (b) After January 31, 1997, on board a seagoing vessel, no person 
may assign a shipboard duty or responsibility to any person who is 
serving in a position that must be filled as part of the required crew 
complement, and no person may perform any such duty or responsibility, 
unless he or she is familiar with it and with all vessel's 
arrangements, installations, equipment, procedures, and characteristics 
relevant to his or her routine or emergency duties or responsibilities, 
in accordance with STCW Regulation I/14.
    (c) After January 31, 1997, on board a seagoing vessel, no person 
may assign a shipboard duty or responsibility to any person who is 
serving in a position that must be filled as part of the required crew 
complement or who is assigned a responsibility on the muster list, and 
no person may perform any such duty or responsibility, unless the 
person performing it can produce evidence of having--
    (1) Received appropriate approved basic safety training or 
instruction as set out in the standards of competence under STCW 
Regulation VI/1, with respect to personal survival techniques, fire 
prevention and fire-fighting, elementary first aid, and personal safety 
and social responsibilities; and
    (2) Achieved or, if training has been completed, maintained 
competence within the last 5 years, in accordance with STCW regulation 
VI/1.
    (d) Subject to training requirements that may apply for issue or 
renewal of a license or document under part 10 or 12 of this chapter, a 
person who is serving on a seagoing vessel immediately before February 
1, 1997, and has not received training or instruction in basic safety 
training, may continue to serve until February 1, 2002, without 
receiving such training or instruction, if he or she can produce 
evidence of having participated in well-organized drills and other 
structured exercises or in on-board safety-training programs during 
which his or her performance was evaluated and weaknesses were brought 
to his or her attention.
    (e) Fish-processing vessels in compliance with the provisions of 46 
CFR part 28 on instructions, drills, and safety orientation are deemed 
to be in compliance with the requirements of this section on 
familiarization and basic safety-training.


Sec. 15.1107  Maintenance of merchant mariners' records by owner or 
operator.

    Each owner or operator of a U.S.-documented seagoing vessel shall 
ensure that procedures are in place, in respect of each merchant 
mariner holding a license or merchant mariner's document and serving on 
any such vessel, to ensure that the following information is maintained 
throughout his or her service, and is readily accessible to those in 
management responsible for the safety of the vessel and for the 
prevention of marine pollution:
    (a) Medical fitness (such as results of a recent evaluation by a 
medical professional certifying that the mariner is physically able to 
perform the tasks and duties normally associated with a particular 
shipboard position or does not have an apparent medical condition that 
disqualifies him or her from the requirements of a particular shipboard 
position).
    (b) Experience and training relevant to assigned shipboard duties 
(i.e., record of training completed, and of relevant on-the-job 
experience acquired).
    (c) Competency in assigned shipboard duties (evidenced by copies of 
current licenses, documents, or endorsements that the mariner holds, as 
well as by a record of the most recent basic safety assessment and by 
instances where ship-specific familiarization has been achieved and 
maintained).


Sec. 15.1109  Watches.

    Each master of a vessel that operates beyond the Boundary Line 
shall ensure observance of the principles concerning watchkeeping set 
out in STCW Regulation VIII/2 and section A-VIII/2 of the STCW Code.


Sec. 15.1111  Work hours and rest periods.

    (a) After January 31, 1997, each person assigned duty as officer in 
charge of a navigational or engineering watch, or duty as a rating 
forming part of a navigational or engineering watch, on board any 
vessel that operates beyond the Boundary Line shall receive a minimum 
of 10 hours of rest in any 24-hour period.
    (b) The hours of rest required under paragraph (a) of this section 
may be divided into no more than two periods, of which one must be at 
least 6 hours in length.
    (c) The requirements of paragraphs (a) and (b) of this section need 
not be maintained in the case of an emergency or drill or in other 
overriding operational conditions.
    (d) The minimum period of 10 hours of rest required under paragraph 
(a) of this section may be reduced to not less than 6 consecutive hours 
as long as--
    (1) No reduction extends beyond 2 days; and
    (2) Not less than 70 hours of rest are provided each 7-day period.
    (e) The minimum period of rest required under paragraph (a) of this 
section may not be devoted to watchkeeping or other duties.

[[Page 34541]]

    (f) Watchkeeping personnel remain subject to the work-hour limits 
in 46 U.S.C. 8104 and to the conditions when crew members may be 
required to work.
    (g) The Master shall post watch schedules where they are easily 
accessible. They must cover each affected member of the crew and must 
take into account the rest requirements of this section as well as port 
rotations and changes in the vessel's itinerary.

    Dated: June 12, 1997.
Robert E. Kramek,
Admiral, U.S. Coast Guard, Commandant.
[FR Doc. 97-16109 Filed 6-25-97; 8:45 am]
BILLING CODE 4910-14-M