[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.
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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