[Federal Register Volume 61, Number 59 (Tuesday, March 26, 1996)]
[Proposed Rules]
[Pages 13284-13320]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7019]
[[Page 13283]]
_______________________________________________________________________
Part VII
Department of Transportation
_______________________________________________________________________
Coast Guard
_______________________________________________________________________
46 CFR Parts 10, 12, and 15
International Convention on Standards of Training, Certification and
Watchkeeping for Seafarers, 1978 (STCW): Implementation of 1995
Amendments; Proposed Rule
Federal Register / Vol. 61, No. 59 / Tuesday, March 26, 1996 /
Proposed Rules
[[Page 13284]]
DEPARTMENT OF TRANSPORTATION
Coast Guard
46 CFR Parts 10, 12, and 15
[CGD 95-062]
RIN 2115-AF26
Implementation of the 1995 Amendments to the International
Convention on Standards of Training, Certification and Watchkeeping for
Seafarers, 1978 (STCW)
AGENCY: Coast Guard, DOT.
ACTION: Notice of proposed rulemaking.
-----------------------------------------------------------------------
SUMMARY: The Coast Guard proposes changes to the current domestic rules
on licensing, documentation, and manning in compliance with recent
amendments to the International Convention on Standards of Training,
Certification and Watchkeeping for Seafarers, 1978 (STCW). The
amendments were adopted by a Conference of Parties to STCW in July
1995, and will come into force on February 1, 1997, though some changes
to domestic rules must come into force before then to ensure these
rules conform with international requirements, and other changes may
come into force after then to allow a more gradual shift in practice.
The proposed changes would affect the full range of activities
associated with determining that an individual is competent for service
in certain shipboard capacities.
DATES: Comments must be received on or before July 24, 1996.
ADDRESSES: Comments may be mailed to the Executive Secretary, Marine
Safety Council (G-LRA, room 3406) [CGD 95-062], U.S. Coast Guard
Headquarters, 2100 Second Street SW., Washington, DC 20593-0001, or may
be delivered to room 3406 at the same address between 8 a.m. and 3
p.m., Monday through Friday, except Federal holidays. The telephone
number is (202) 267-1477. Comments on collection-of-information
requirements must be mailed also to the Office of Information and
Regulatory Affairs, Office of Management and Budget, 725 17th Street
NW., Washington, DC 20503, Attn: Desk Officer, U.S. Coast Guard.
The Executive Secretary maintains the public docket for this
rulemaking. Comments will become part of this docket and will be
available for inspection or copying at room 3406, U.S. Coast Guard
Headquarters, between 8 a.m. and 3 p.m., Monday through Friday, except
Federal holidays.
A copy of the material listed in Incorporation by Reference of this
preamble is available for inspection at room 3406, U.S. Coast Guard
Headquarters.
A copy of the 1995 Amendments to STCW may be obtained by writing
Commandant (G-MOS), U.S. Coast Guard, 2100 Second Street SW.,
Washington, DC 20593-0001, or by calling (202) 267-0229, between 8 a.m.
and 3 p.m. Monday through Friday, except Federal holidays. Requests may
also be submitted by facsimile at (202) 267-4570.
FOR FURTHER INFORMATION CONTACT: Mr. Christopher Young, Project
Manager, Operating and Environmental Standards Division (G-MOS), U.S.
Coast Guard Headquarters, 2100 Second Street SW., Washington, DC 20593-
0001, telephone (202) 267-0216.
SUPPLEMENTARY INFORMATION:
Request for Comments
The Coast Guard encourages interested persons to participate in
this rulemaking by submitting written data, views, or arguments.
Persons submitting comments should include their names and addresses,
identify this rulemaking [CGD 95-062] and the specific section of this
proposal to which each comment applies, and give the reason for each
comment. Please submit two copies of all comments and attachments in an
unbound format, no larger than 8\1/2\ by 11 inches, suitable for
copying and electronic filing. Persons wanting acknowledgment of
receipt of comments should enclose stamped, self-addressed postcards or
envelopes.
The Coast Guard will consider all comments received during the
comment period. It may change this proposal in view of the comments.
Hearings
The Coast Guard has determined that the opportunity for oral
presentations will aid in this rulemaking, and will hold at least one
public hearing during the comment period. The Coast Guard solicits
recommendations on dates and locations for a public meeting. Requests
for a public meeting should be addressed to the Marine Safety Council
at the address under ADDRESSES. The Coast Guard will provide more
information about public hearings by a later document in the Federal
Register.
Background and Purpose
On July 7, 1995, a Conference of Parties to the International
Convention on Standards of Training, Certification and Watchkeeping for
Seafarers, 1978 (STCW), meeting at the Headquarters of the
International Maritime Organization (IMO) in London, adopted a package
of Amendments to STCW. The amendments will enter into force on February
1, 1997, unless a third of the parties to the Convention, or parties
representing over 50 percent of the world's hipping tons, object to
them by August 1, 1996. Because they were adopted unanimously by the
Conference, no objections are expected. Consequently, the Coast Guard
is taking the steps necessary to implement the revised requirements to
ensure that U.S. documents and licenses are issued in compliance with
the 1995 Amendments to STCW.
The Convention sets qualifications for masters, officers, and
watchkeeping personnel on seagoing merchant ships. It was adopted in
1978 by a conference at IMO Headquarters in London and it entered into
force in 1984. Currently, there are 114 State-Parties, representing
almost 95 percent of the world's merchant-ship tons. The United States
became a party in 1991. Over 90 percent of ships visiting U.S. waters
are foreign-flag. Approximately 350 large U.S. merchant ships that
routinely visit foreign ports, as well as thousands of smaller U.S.
documented commercial vessels that operate on ocean or near-coastal
voyages, are subject to STCW.
In 1993, IMO embarked on a comprehensive revision of STCW to
establish the highest practicable standards of competence and to
address human error as a major cause of maritime casualties. By 1993,
significant limitations to the existing Convention had become apparent.
They included requirements that were too vague and left too much to the
discretion of Parties; the absence of clear, uniform standards of
competence; ineffective international superintendent to verify that
Parties were in fact complying with Convention requirements; limited
provisions for port-State control; and outdated technical references
that failed to address modern shipboard systems, job descriptions, and
approaches to maritime training such as the use of simulation
technology.
The amendments adopted by the Conference in July 1995 were
comprehensive and detailed. They concern port-State control,
communication of information to IMO to allow for mutual oversight, and
responsibility of all State-Parties to ensure that seafarers meet
objective standards of competence. They also require candidates for
certificates (licenses and document endorsements) to establish
competence through both subject-area examinations and practical
demonstrations of skills. Training, assessment, and certification of
competence are all to be managed
[[Page 13285]]
within a quality-standards system to ensure that stated objectives are
being achieved.
The Coast Guard published a notice of inquiry in the Federal
Register [60 FR 56970 (November 13, 1995)] to solicit information on
the costs that may be associated with implementation of the 1995
Amendments to STCW. This notice is discussed in more detail under the
heading ``Regulatory Evaluation.''
The Coast Guard held a public meeting on August 31, 1995, to
discuss the outcome of the Conference and seek public comment on how
the 1995 Amendments to STCW should be implemented by the United States.
Comments received at the meeting and in response to the notice of
inquiry have been taken into consideration in the development of
implementing regulations. Three written comments were submitted to the
docket, and they will be discussed in the appropriate sections of this
preamble.
Additionally, the Coast Guard had sought comment from the public
during the period leading up to the Conference that adopted the 1995
Amendments to STCW. The Coast Guard had held seven public meetings to
determine what positions U.S. delegations should advocate at meetings
held by IMO, and to exchange views about Amendments to STCW that were
under discussion.
The Coast Guard has also taken advantage of the meetings of its
advisory panels, particularly the Merchant Marine Personnel Advisory
Committee (MERPAC), the Towing Safety Advisory Committee (TSAC), and
the Navigational Safety Advisory Council (NAVSAC), to discuss
developments relating to the amendment of STCW and the domestic
implementation of these amendments.
Related Rulemakings
This proposed rulemaking has been prepared in anticipation that
several other rulemakings will revise Parts 10, 12, and 15 or address
related subjects.
First, in docket number CGD 95-072 [60 FR 50455 (September 29,
1995)], the Coast Guard has made technical and editorial corrections to
its current rules, removing outdated references and reflecting current
organizational structures.
Second, in CGD 91-045, the Coast Guard published a supplemental
notice of proposed rulemaking (SNPRM) [60 FR 55904 (November 3, 1995)]
that proposed operational measures to reduce spills from existing tank
vessels without double hulls. This too involves subjects addressed here
to implement the STCW Amendments, such as rest-period requirements and
training in bridge-team procedures and bridge-resource management.
Third, in CGD 94-029, a proposed rule for modernizing examination
methods was published [60 FR 10053 (February 23, 1995)]. Essentially,
it would allow for the use of testing services from the private and
public sectors to confirm the competency of candidates for Coast Guard
licenses.
Fourth, in CGD 94-055, there is under development a proposal that
concerns licensing requirements for officers of towing vessels. It
stems from investigations into the Sunset Limited tragedy, when a tug
and barge damaged a railroad bridge in September 1993. It may introduce
into 46 CFR Part 10 new terms and concepts, such as the designated
examiner, practical demonstration, and standard of competence, and the
use of training-record books. The Coast Guard has been working with
TSAC on CGD 94-055.
The Coast Guard will make every effort to coordinate these projects
with a view to establishing uniform requirements except where there is
a compelling need to maintain a difference in respect of a particular
activity or class of vessel.
In keeping with other recent Coast Guard initiatives, this proposed
rule tries to avoid unnecessary additional requirements when
international standards are being implemented. Specifically, the Coast
Guard has compared the rules to the international standard and has
determined that it would not unnecessarily establish a requirement in
excess of that standard. With this objective, the rule makes direct
reference to international standards where possible. Where there is a
difference in substance between the rule and the international
requirement, this is noted and discussed in the section-by-section
analysis. In most cases, the difference involves an exercise of
discretion to address a specific class of vessel rather than an
additional requirement. In some cases, clear differences with the
international scheme are retained to preserve continuity in the U.S.
licensing system. The Coast Guard requests comments on these
differences, and the advantages that might be derived from removing
them from current domestic rules.
The Coast Guard has attempted to develop a rule that would be self-
implementing. In other words, it has tried to minimize the direct role
the Coast Guard would need to play in overseeing routine compliance
with the requirements. Ideally, it would like to minimize its direct
involvement and limit its role to the following: (a) performing
functions governmental in nature such as issuing certificates of
competency; (b) setting standards for such certificates; (c) addressing
special circumstances or exceptions to the general case clearly covered
by the regulations; (d) monitoring training and assessment by spot-
checks or by review of random samples to ensure that the new ``quality-
standards system'' requirements are being maintained; and (e) keeping
some necessary records.
Discussion of Proposed Rule
General
The following discussion proceeds in the order in which the
proposed revisions to current domestic rules are presented. However, a
few general comments may assist the reader and reduce repetition of a
point common to many parts of the revisions.
1. Approach. The approach taken in this proposed rule is to retain
the existing structure of the current domestic rules on licensing (46
CFR Part 10), certification of seamen (46 CFR Part 12), and manning (46
CFR Part 15), and incorporate specific requirements of the 1995
Amendments to STCW. Where possible, this Convention and its associated
Seafarers' Training, Certification and Watchkeeping Code (STCW Code)
have been incorporated by reference to avoid unnecessary duplication
and to ensure compatibility between international and domestic
requirements.
The 1995 Amendment to STCW essentially replace the current Annex to
the 1978 Convention with a new Annex and an associated STCW Code. The
STCW Code is divided into two separate parts (A and B), that are both
is organized to parallel, exactly, the STCW Regulations in the Annex.
Part A provides mandatory standards that are directly referred to in
the relevant STCW Regulations in the Annex. Part B is non-mandatory
guidance to assist in implementation of the requirements of Part A, and
to promote uniform interpretation of the STCW Regulations. Not all of
the STCW Regulations have explanatory material in both parts of the
STCW Code.
Chapter I of the new Annex is expanded to include new STCW
Regulations on matters such as the use of simulators in training and
assessment, the qualifications of persons responsible for the training
and assessment of seafarers, the establishment of a quality-standards
system to ensure achievement of defined objectives, the establishment
of medical-fitness standards for seafarers, and the responsibilities of
companies.
[[Page 13286]]
The remaining part of the new Annex is enlarged from six to eight
chapters. Chapters II, III, and IV have retained their application to
the master and deck department, the engine department, and
radiocommunications, respectively. However, material that was
previously presented as appendices to the original STCW regulations is
now contained in the STCW Code, and detailed standards of competence
are set out in the corresponding sections of the Code. Additionally,
the standards of competence are organized along functional lines, with
three levels of responsibility. The amendments establish requirements
for certification for the following seven functions: navigation;
handling and stowage of cargo; controlling the operation of the ship
and care for persons on board; marine engineering; electronic and
control engineering; maintenance and repair; and radiocommunications.
Three levels of responsibility are associated with each function under
STCW--management level, operational level, and support level.
Chapter V, which was previously amended in 1994 and which addressed
only tanker personnel, is not expanded to address personnel on roll-on/
roll-off(ro-ro) passenger ships.
Chapter VI, which currently addresses only proficiency in survival
craft and rescue boats, is expanded to require familiarization training
or instruction for all seafarers, and basic safety-training for those
who have safety or pollution-prevention duties.
Chapter VII allows for alternative-certification systems under
which certificates could be issued on the basis of functions combined
in ways that differ from those associated with traditional shipboard
capacities under Chapters II, III, and IV. This flexibility is subject
to a number of restrictions under the STCW Regulations in Chapter VII.
The Coast Guard is not planning, at this time, to incorporate
provisions for alternative certification without further evaluation and
industry support. The Coast Guard requests comments on the application
of Chapter VII to U.S. licensing and documentation.
In the 1995 Amendments to STCW, all watchkeeping provisions are
consolidated under new Chapter VIII and the associated sections of the
STCW Code. New STCW Regulation VIII/1 requires Administrations to
establish and enforce rest-hour requirements for watchkeeping personnel
to prevent fatigue.
2. Scope of application. STCW applies to seagong ships (except
pleasure craft, fishing vessels, and ships entitled to sovereign
immunity such as warships). Article II defines a seagoing ship as a
ship other than one that ``navigate[s] exclusively in inland waters or
in waters within, or closely adjacent to, sheltered waters or areas
where port regulations apply.'' This proposed rule, which implements
STCW, applies to any commercial vessel that operates seaward of the
boundary lines established by 46 CFR part 7.
The Coast Guard does not intend to apply the requirements of STCW
to vessels that operate exclusively on the inland waters of the United
States. However, some of the proposals would have the effect of
modifying how the Coast Guard does business and the conditions under
which it would consider approving a program of training and assessment
for qualifying an individual for a license, document, or endorsement.
It does not intend to restrict, to ocean and near-coastal licenses and
documents, procedures that may also be suitable to training for inland
licenses. The Coast Guard solicits comments on the potential effects on
candidates for inland licenses and documents, and on the enterprises
that offer training to such candidates.
The Coast Guard does not consider STCW to apply directly to
personal serving on ships that operate exclusively on the Great Lakes.
However, individuals using time served on such vessels toward an ocean
or near-coastal license, and those who are being trained at training
institutions that serve mariners in the Great Lakes region, need to be
aware of the requirements that mariners must meet to hold STCW
Certificates if those mariners will be serving on ships in ocean
service.
One comment submitted in response to the request for comments
published in the Federal Register on August 2, 1995 [60 FR 39306],
requested that the Coast Guard consider deferring implementation of the
1995 Amendments to STCW in respect of Mobile Offshore Drilling Units
(MODUs). The comment pointed out a resolution adopted by the 1995
Conference of Parties to STCW, noting that time constraints had not
allowed full consideration to the possibility of including provisions
on the training and certification of maritime personnel employed on
board MODUs. The resolution invites IMO to consider developing
provisions addressing this matter under STCW, or in such other
instrument as may be appropriate.
The resolution referred to in the comment recommends special
training and certification for industrial personnel serving on MODUs
because of the specialized nature of MODUs' operations. To the extent a
MODU is a seagoing ship under STCW, this proposed rule would apply to
seafarers serving on one. On the other hand, in approving specific
training programs, the Coast Guard would take into consideration, and
would use as the basis for its evaluation of training programs, any IMO
resolutions that provide special guidance relating to the training of
personnel on MODUs.
In this regard, the following three IMO resolutions are
particularly relevant: A.538(13), ``Maritime Safety Training of
Personnel on Mobile Offshore Units''; A.712(17), ``Recommended
Standards of Specialized Training, Qualifications and Certification of
Key Personnel Assigned Responsibility for Essential Marine Functions of
Mobile Offshore Units''; and A.828(19), ``Recommendation on Maritime
Safety and Emergency Preparedness Training for all Personnel on Moble
Offshore Units''.
The comment also suggested that the Coast Guard accept or recognize
certificates issued by another Party to STCW for service on MODUs. The
Coast Guard does not consider this request to be viable at this time.
The issue of recognition is complicated by citizenship requirements
that apply to the following: (a) candidates for U.S. licenses and
certificates of registry under 46 U.S.C. 7102, (b) crewmembers on
documented vessels of the United States under 46 U.S.C. 8103, and (c)
MODUs operating on the U.S. outer continental shelf under 43 U.S.C.
1356. Another issue would be the principle of reciprocity or mutual
recognition between U.S. and non-U.S. certificates.
3. License structure. The Coast Guard would not, by this proposed
rule, replace the existing license structure with the license structure
presented in STCW. The 4-level license structure in Part 10 would
persist (e.g., chief engineer, 1st, 2nd, and 3rd assistant engineer
officer, and 3 levels of mate under the master). Although the STCW
structure is less complicated than the U.S. structure, the Coast Guard
does not consider it appropriate or expedient to propose a
comprehensive change in this rulemaking.
Some of the STCW terms must be introduced into U.S. regulations to
ensure that holders of U.S. licenses would be entitled to hold the
appropriate STCW certificate. The Coast Guard is concerned, however,
that the elimination of the existing categories of license might create
difficulties for certain segments of the industry, or could have
unintended impacts on established career patterns in the maritime
industry. In addition, it may
[[Page 13287]]
necessitate changes in the terms used in the manning-complement section
of the U.S. Certificate of Inspection.
Trying to anticipate and address all of these possibilities could
unnecessarily complicate promulgation of a rule intended only to
implement new STCW requirements. The requirement for promulgating a
rule by February 1, 1997, has precluded the opportunity for assessing
the implications at this time. However, the Coast Guard is interested
in comments on adjustments to the current U.S. licensing structure, to
bring it into closer alignment with the STCW structure.
4. Documentation. Although the 1995 Amendments to STCW will permit
the use of an STCW document to serve as both an individual's
certificate of competency and an endorsement that the candidate meets
STCW requirements, the Coast Guard plans to retain a distinction
between the U.S. license and the STCW endorsement for the time being.
In other words, each licensed officer who will be serving on a seagoing
vessel will be issued both a U.S. license and a separate STCW
endorsement. Of course, an STCW endorsement will have no validity
unless accompanied by its holder's license.
5. Communication to IMO. In proposing this rule, the Coast Guard
has been cognizant of its future obligation to submit to IMO a detailed
description of how the United States complies with the 1995 Amendments
to STCW. Under new STCW Regulation I/7, each Party must prepare a
report on the steps it has taken to give the Convention ``full and
complete effect.''
When complete information has been provided to IMO, and the
Secretary-General of IMO has confirmed that in fact full effect has
been given to STCW, the Maritime Safety Committee will be invited to
formally confirm and identify the Party as having done so, and other
Parties will be entitled to accept certificates issued by that Party as
being in compliance with Convention requirements.
It will be important for the United States to be able to satisfy
the requirements that earn this international recognition. This
rulemaking is an essential step toward meeting that objective.
6. Tonnage. Both the U.S. licensing structure and the STCW
structure employ tonnage thresholds in establishing requirements for
training and certification. However, the U.S. structure includes
several tonnage divisions not used in STCW, particularly in respect of
lower-tonnage licenses. Also, these tonnage divisions are keyed to the
tonnage of ships as determined under the regulatory tonnage-measurement
system, which exempts certain spaces in calculating gross register tons
(GRT) and therefore can result in lower tonnage values than
calculations based on the International Convention on Tonnage
Measurement of Ships, 1969 (ITC).
The 1995 Amendments to STCW include adjustments in the tonnage
thresholds from 200 GRT to 500 gross tons (GT); and from 1,600 GRT to
3,000 GT that reflect a relatively close alignment between the various
domestic tonnage systems used around the world and the ITC tonnage-
measurement system. The new STCW Regulation I/15, on Transitional
Provisions, allows Parties to reissue or revalidate certificates
(licenses) based on the lower tonnage values by substituting 500 GT for
200 GRT, and 3,000 GT for 1,600 GRT, at their discretion.
A number of alternatives are available for addressing tonnage in
the implementation of the 1995 Amendments to STCW. A threshold of 3,000
GT can be added as a new category of licensing without deleting any
existing category. Under this alternative, the requirements for the
3,000-GT license would be identical to the requirements for a 1,600-GRT
license; and anyone holding a 1,600-GRT license for service on a ship
on near-coastal or ocean service would be entitled to hold an STCW
endorsement for service on seagoing ships of 3,000 GT. Similarly, an
individual holding a 200-GRT license would be entitled to hold an STCW
endorsement for service on seagoing ships of 500 GT.
Another alternative would be to add a threshold of 3,000 GT as a
new category of license, and delete the threshold of 1,600 GRT. Under
this alternative a transition mechanism would be implemented by
regulation or by policy guidance to ensure that holders of 1,600-GRT
licenses were issued 3,000-GT licenses at the time of renewal.
A different approach would be needed to align the 200-GRT and 500-
GRT thresholds in 46 CFR part 10 with the 500 GT threshold in the STCW
Amendments, because the 500-GRT license entails special requirements
that apply to certain classes of ships (i.e., OSVs). At the present
time, it appears that these thresholds must be retained, and policy
guidance will be developed for issuing an STCW endorsement at the 500-
GT level, with the appropriate service limitations.
Comments on these or other alternatives may be submitted to the
docket and will be considered before a final rule is published. In
deciding how to proceed, the Coast Guard would make every effort to
avoid penalizing either the holders of existing licenses or the
operators of vessels that have exercised their option to be measured
under the regulatory-tonnage-measurement system.
7. Medical fitness. The 1995 Amendments to STCW include a
requirement for Parties to establish standards of medical fitness for
seafarers, particularly regarding eyesight and hearing (STCW Regulation
I/9). Under STCW as amended, candidates for certification will have to
provide satisfactory proof that they meet the standards of medical
fitness; and they must each hold a document attesting their medical
fitness, issued by ``a duly qualified medical practitioner recognized
by the Party.''
Criteria and procedures for medical fitness are already established
by 46 CFR parts 10, 12, and 13. They include the following sections:
Sec. 10.205(d), physical-examination requirements for original
licenses; Sec. 10.207(e), physical requirements for raise of grade of
license; Sec. 10.209(d), physical requirements for license renewals;
Sec. 10.709, physical-examination requirements for pilots; Sec. 12.02-
27, physical requirements for renewal of a merchant mariner's document;
Sec. 12.05-5, physical requirements for Able Seamen; Sec. 12.15-5,
physical requirements for qualified members of the engine department;
and Sec. 13.125, physical requirements for tankermen.
There are currently no internationally agreed-upon standards of
medical fitness for seafarers, except in respect of eyesight (which
appear in section B-I/9 of the STCW Code). The 1995 STCW Conference
adopted a resolution that (a) noted that the International Labor
Organization (ILO) and the World Health Organization (WHO) are
undertaking research into existing medical-examination requirements for
seafarers on a global basis and (b) invited IMO to develop
international standards of medical fitness for seafarers, in
cooperation with the ILO and WHO. This matter is now on the work
program of the IMO Sub-Committee on Standards of Training and
Watchkeeping (STW). It is unlikely that such standards will be
established before this proposed rule would be published as a final
rule.
Meanwhile, the Coast Guard has been working with MERPAC to
determine whether there is a need for more explicit physical standards
for entry-level personnel. The Coast Guard is also continuing to work
with the Maritime Administration in promoting the
[[Page 13288]]
Seafarers Health Improvement Program, which includes guidance for
physical examinations for both entry of seafarers into, and retention
in, the U.S. merchant marine.
The Coast Guard is also in the process of reviewing and revising
Navigation and Inspection Circular Number (NVIC) 6-89, ``Physical
Evaluation Guidelines for Merchant Mariners' Documents and Licenses,''
which identifies disqualifying medical conditions. As noted in one
comment submitted to the docket in response to the notice published on
August 2, 1995, medical-fitness standards must take into account the
job description for the positions to be filled by the individual
concerned, and the implications for both employees and employers under
the Americans with Disabilities Act (ADA).
Taking the preceeding discussion into account, the Coast Guard is
not venturing into any specific new medical-fitness standards in this
proposed rule. However, to ensure compliance with the requirements of
new STCW Regulation I/9, this rule includes a provision stating that
each applicant for an entry-level MMD must provide a document issued by
a qualified medical practitioner attesting the prospective seaman's
medical fitness for anticipated shipboard duties (Sec. 12.02-07).
The Coast Guard invites comments on the need for and feasibility of
establishing more prescriptive medical standards for entry-level
personnel and particularly for personnel with duties in safety or
pollution-prevention. It also invites comment on whether a licensed
nurse practitioner should be considered a ``qualified medical
practitioner'' for assuring medical fitness under U.S. regulations.
8. Quality-standards system (QSS). The 1995 Amendments to STCW
include a new requirement (STCW Regulation I/8) for Parties to ensure
that all training and assessment are ``continuously monitored through a
quality-standards system to ensure achievement of defined objectives,
including those concerning the qualifications and experience of
instructors and assessors.'' Furthermore, the new STCW Regulation
provides that an evaluation be conducted periodically by qualified
persons, not involved in the activities concerned. The associated
sections of the STCW Code expand on this STCW Regulation by outlining
the requirements for a QSS in Part A, and then by additional guidance
in Part B. For example, A-I/8 states that independent evaluations of
assessments are to be conducted ``at intervals of not more than 5
years.'' Furthermore, the results of these evaluations are to be
reported to IMO, in accordance with STCW Regulation I/7.
To a large degree, the current process of the Coast Guard for
course approval meets the requirements of new STCW Regulation I/8, but
this process is limited to specific required training (such as
firefighting or radar), or training intended to substitute for part of
a sea-service requirement. As discussed in more detail relative to 46
CFR Part 10 under Approved training, the 1995 Amendments to STCW expand
the instances where approved training must or may be used to meet
competence requirements. A QSS will be required for all such training.
This proposed rule incorporates elements that conform to the STCW
requirements for a QSS for training and assessment activities, but that
would at the same time take into consideration the impact on Coast
Guard resources that may be needed for effective supervision. The
proposed rule is intentionally drafted to allow for a variety of QSSs
that may be tailored to suit particular programs of training and
assessment. They are also designed to ensure that no QSS imposes
unreasonable costs on small enterprises or entities that offer training
programs whether limited in scope or offered only to a restricted pool
of seafarers and programs that, regardless, may be conducted either on
board ship or at shoreside.
The Coast Guard invites comments on the extent to which the
following systems or processes, or a combination of such systems or
processes, should be accepted as meeting the QSS requirements of the
1995 Amendments to STCW:
(a) Periodic accreditation under a recognized process like the
regional accreditation used by high-level academic institutions in the
United States, such as the Middle States Association of Colleges and
Schools, provided that the process can be appropriately modified to
explicitly cover maritime training and take into account guidance
regarding quality-standards provided in part B-I/8 of the STCW Code.
(b) Periodic Accreditation by an independent professional agency,
or a voluntary association of trade and technical schools, that has
membership standards and a procedure for accreditation that takes into
account guidance regarding quality-standards provided in part B-I/8 of
the STCW Code.
(c) Periodic certification, by a State board of education, or other
suitable regulatory body at the State level, establishing that a
particular training program or institution is authorized to issue
certificates of completion of training requirements in a relevant
maritime field, if the supervising process takes into account guidance
regarding quality-standards provided in part B-I/8 of the STCW Code.
(d) Periodic certification by an organization accepted or
authorized by the Coast Guard, such as a ship-classification society,
that has developed a certification process for maritime-training
programs based on guidance regarding quality-standards provided in part
B-I/8 of the STCW Code, or has suitably adapted such a process from the
standards, guidelines, and principles contained in the ISO 9000 series,
or from the equivalent Quality management and Quality Assurance
Standards developed by the American National Standards Institute
(ANSI).
(e) Periodic evaluation by a panel or team of maritime-education
specialists, made up of professional staff from the State or Federal
maritime academies, or from other recognized maritime-training
institutions. The evaluation would be based on an industry standard to
be developed, and guidance regarding quality-standards provided in part
B-I/8 of the STCW Code.
The Coast Guard is continuing to work with MERPAC to identify how
best to introduce an effective QSS. It will consider the
recommendations of MERPAC that came from its first meeting in 1996 in
drafting the final rule.
For further discussion on qualifications of instructors and
assessors, see the section on Approved training other than approved
courses.
9. Simulators. The 1995 Amendments to STCW promote the use of
simulators for training and assessment by (a) requiring the proper use
of radar and ARPA simulators in training, and (b) allowing the use of
simulation as a tool for assessing the competence of candidates for
certification. The amendments also set out performance standards for
simulators used for conducting required training or assessment. An
opportunity for grandfathering simulators installed or brought into use
before February 1, 2002, is provided under STCW Regulation I/12.
Current domestic rules require the use of simulators for those
training to qualify as radar observers (46 CFR 10.305 and 10.480) and
promote the use of simulator training promoted by allowing it to count,
in conjunction with approved training, as an equivalency for
[[Page 13289]]
up to 25 percent of required sea service (46 CFR 10.304(d)).
A new study by the Marine Board of the National Research Council
(NRC) examines the role of ship-bridge simulation in the professional
development and licensing of mariners responsible for vessels'
navigation and piloting. The study, entitled ``Simulated Voyages''
recommends steps to increase the use of simulators in maritime training
and assessment. The Coast Guard considers this proposed rule for
implementing STCW to be consistent with the study and its conclusions.
This rule is intended to allow introduction of the most effective use
of simulators into maritime training and assessment taking place in the
United States.
In this regard, the Coast Guard has also been working with the
maritime academies in developing guidelines on the use of simulators
there. The Maritime Academies Simulator Committee (MASC) includes
representatives from the six State maritime academies, the Maritime
Administration (MARAD), and the Coast Guard. The outcome of the efforts
of this committee will figure in drafting the final rule.
Because of the wide variety of interpretations given to the term
``simulation,'' the Coast Guard invites comments on the need for
introducing definitions, or technical performance standards, into the
rules, and on the extent to which, or the conditions under which,
personal computer-based training should be classified as falling within
the scope of simulator training.
10. Effective dates. As noted earlier, the 1995 Amendments to STCW
come into force on February 1, 1997. However, STCW Regulation I/15, on
transitional provisions, allows some requirements to come into force
more gradually. The Coast Guard will be working at IMO to establish an
international agreement on precisely which requirements must come into
force as of February 1, 1997. Any agreement reached at IMO will be
taken into figure in drafting the final rule.
STCW Regulation I/15 provides that a Party may continue, until
February 1, 2002, to issue certificates (licenses) in accordance with
the domestic rules it has in place before the 1995 Amendments come into
force (February 1, 1997) only in respect to seafarers who begin their
sea service or their approved maritime training before August 1, 1998.
Candidates who begin their service or their training after then will be
subject to the full application of the revised STCW requirements.
Where options presented by this proposed rule would be to the
advantage of the maritime industry in the United States, there may be
no need to defer or delay implementation. Comments on the most suitable
effective dates for new requirements associated with such matters as
the QSS and the process for identifying qualified instructors and
assessors should be submitted to the docket.
46 CFR Part 10--Licensing of Maritime Personnel
1. Purpose of Regulations
The Coast Guard would revise Sec. 10.101(a) to reflect that the
purpose of part 10 is twofold. This proposed rule is intended to
provide, first, a means of determining that an applicant is qualified
to hold a U.S. license and, second, a means of determining that an
applicant is competent to hold an STCW certificate or endorsement to
serve in a particular shipboard position. The use of the term ``STCW
certificate or endorsement'' would allow the Coast Guard to combine the
U.S. license and the STCW endorsement into a single document at some
time in the future, for administrative convenience.
2. Approved Training
The Coast Guard would revise Sec. 10.101(c) to indicate that
Subpart C of Part 10 would apply not only to approved training used for
remission of seagoing service but also to all training and assessment
that must be approved as meeting the requirements of STCW. For
additional discussion of approved training see the discussion of
Sec. 10.309 under Approved training other than approved courses.
3. Incorporation by Reference
The Coast Guard would introduce the necessary language in
Sec. 10.102 to allow technical requirements of the 1995 Amendments to
STCW and to the STCW Code to be incorporated by reference into specific
rules in part 10.
4. Definitions
The Coast Guard would add a number of new definitions in
Sec. 10.103. These include approved training because virtually all
training required under STCW is subject to approval to ensure that it
meets the relevant provisions of STCW. However, such training is
distinct from training provided in the context of a course approved by
the Coast Guard for use as a substitute for sea service. Under this
proposed rule, training could be ``approved'' for the purposes of STCW
if it met certain minimal conditions, as set out in Sec. 10.309. Refer
to the discussion of that section (paragraph 12) for more details.
The proposal also includes a definition for Coast-Guard-accepted.
This term is used in a number of regulations to indicate that, although
the Coast Guard would not in some cases engage in a formal approval
process, it would maintain certain standards of practice by accepting
materials or processes as meeting the applicable requirements, or by
authorizing a third party to do so on its behalf under a Memorandum of
Agreement.
This proposed rule also defines approved instructor as a person
trained or instructed in instructional techniques and qualified to
provide required training to candidates for licenses, documents, and
endorsements.
A definition of STCW endorsement also appears in Sec. 10.103
because that term occurs with some frequency in the proposed rule, and
the definition would give this endorsement a special legal significance
as a document issued under Part 10 to those found in compliance with
STCW Standards of Competence.
For the purposes of this proposed rule, the Coast Guard assumes
that Part 10 will also include a number of new definitions along the
lines of those being developed for docket number CGD 94-055, the
project on licensing requirements for officers of towing vessels,
including the following:
(a) Designated examiner means an individual trained or instructed
in assessment techniques and otherwise qualified to evaluate whether a
candidate for a license, document, or endorsement has achieved the
level of competence necessary to hold the license, document, or
endorsement. This individual may be personally designated by the Coast
Guard, or be designated within the context of a Coast-Guard-approved
program of training or assessment.
(b) Standard of competence means the level of proficiency necessary
for the proper performance of duties on board vessels in accordance
with national and international criteria.
(c) Practical demonstration means the performance of an activity
under the direct observation of a designated examiner for the purpose
of establishing that the performer is sufficiently proficient in a
practical skill to meet a specified standard of competence or other
objective criterion.
These are not final definitions, and comments made on their
applicability to STCW requirements will be taken into account in the
rule on towing vessels to ensure that that final rule winds up
consistent with all the changes being made to Part 10 by this. Both
rules will also maintain uniformity with the definitions of identical
terms used in
[[Page 13290]]
part 12. This will be discussed further under Sec. 12.01-6.
5. Paperwork Approval
If this proposed rule finally results in new reporting and
recordkeeping requirements, Sec. 10.107 will refer to the appropriate
OMB control numbers.
6. Eligibility for Licenses
The Coast Guard would revise paragraph (a) of Sec. 10.207 to
reflect that, in some cases, candidates must provide proof of having
successfully completed practical demonstrations of certain skills.
Demonstration requirements are further specified in proposals relating
to Secs. 10.205, 10.910, and 10.950.
7. Issuance of Licenses
The Coast Guard would revise Sec. 10.202 to ensure that anyone
qualified for an STCW certificate or endorsement is issued the
appropriate documents at the same time as a license.
8. Requirements for Original Licenses
Under Sec. 10.205, the Coast Guard would incorporate a number of
new requirements from the 1995 Amendments to STCW, as follows:
(a) Firefighting. Under paragraph (g) of Sec. 10.205, every
candidate for a license--as master or mate of a vessel on near-coastal
or ocean service, as an operator of an uninspected passenger vessel
operating beyond the boundary line, for service on a MODU, and as an
engineer--will have to meet the standard of competence in basic and
advanced firefighting set out in STCW Regulations VI/1 and VI/3 and in
Part A of the associated sections of the STCW Code. This proposed rule
assumes that operators of seagoing towing vessels will be classified as
masters or mates under a separate rulemaking [CGD 94-055]. If they are
not, then the final rule in this will restore the reference to
operators of such vessels.
A second provision would allow the Coast Guard to approve a
firefighting course or training program specially designed for a
particular ship or type of service. This is consistent with the
exemption in STCW Regulation II/3 of the 1995 Amendments, which
concerns certification of masters and mates on ships of less than 500
GT and states that
[t]he Administration, if it considers that a ship's size and the
conditions of its voyage are such as to render the application of
the full requirements of this regulation and section A-II/3 of the
STCW Code unreasonable or impracticable, may to that extent exempt
the master and the officer in charge of a navigational watch on such
a shop or class of ships from some of the requirements, bearing in
mind the safety of all ships that may be operating in the same
waters.
The Coast Guard expects to apply this flexibility, for instance, in
approval of a firefighting course or training program for licensed
personnel serving on small passenger vessels engaged in near-coastal
voyages. In these cases, the Coast Guard would take into consideration
the firefighting equipment whose fitting is actually required on such
vessels, as well as the complexity of firefighting that may take place
on such vessels. The Coast Guard invites comments on the scope,
content, and skills-assessment techniques that it should include in
these limited or modified courses or training programs.
(b) Automatic Radar-Plotting Aids (ARPA). The Coast Guard would
revise Sec. 10.205 by adding a new STCW requirement for every candidate
for a license--as master or mate of vessels on near-coastal or ocean
service, or as operator of uninspected passenger vessels operating
beyond the boundary line--to establish competence in the use of ARPA.
Candidates would have to have ARPA-simulator training. However, this
requirement would not apply to those who will be serving on vessels not
fitted with ARPA; in such cases, the license and STCW endorsement would
state the lack of the training. (For further discussion of radar-
training requirements, see the discussion of Sec. 10.480 at page 46.)
(c) Certificate for Operator of Radio in Global Maritime Distress
and Safety System (GMDSS). The Coast Guard would revise Sec. 10.205 by
adding a new STCW requirement that every candidate for a license--as
master or mate of a vessel on near-coastal or ocean service--hold a
Certificate for Operator of Radio in Global Maritime Distress and
Safety System issued by the Federal Communications Commission (FCC)
under its regulations (47 CFR Part 13), or a certificate of completion
of an FCC-approved or Coast Guard-approved Certificate for Operator of
Radio in Global Maritime Distress and Safety System. However, this
requirement would not apply to those who will be serving on vessels not
required to participate in the GMDSS system under FCC regulations (47
CFR Part 80) and Chapter IV of the International Convention on Safety
of Life At Sea (SOLAS). Seagoing cargo ships of 300 GTs and seagoing
passenger ships must meet GMDSS requirements. On the other hand, some
mates or masters may have to hold GMDSS certificates before this
proposed rule would become final in any form, if they are designated to
serve as primary or secondary GMDSS operators under FCC regulations.
One comment submitted in response to the request for comments
published in the Federal Register on August 2, 1995 [60 FR 39306],
urged the Coast Guard to provide for ``maintenance of GMDSS and radio
equipment in the revisions of the licensing and documentation
regulations to reflect the STCW Amendments.'' The comment also said ``a
communications and electronics position should be established
incorporating the skills of the traditional Radio Officer and those of
an electronics specialist.'' The comment also asserted that the Coast
Guard, rather than the FCC, should certify training facilities and
testing facilities for the GMDSS. Lastly, the comment said the Coast
Guard should consider establishing standards of competence for
shipboard radio-electronics personnel responsible for distress and
emergency communications.
For regulatory purposes, the Coast Guard considers this comment to
raise four distinct issues. Only two of these fall directly in the
scope of the present rulemaking, to implement the 1995 Amendments to
STCW. Qualifications of those who will be maintaining GMDSS and radio
equipment, and their training and testing, are subjects within the
scope of this project. A proposal for establishing an electronics-
technician endorsement appears under part 12 (in new Sec. 12.25-45).
Proposals for the establishment of a new crew position on U.S.
ships, to be dedicated to communications and electronics, or
modification of radio officers' role to encompass all GMDSS-related
responsibilities, lie outside the scope of this rulemaking. STCW does
not impose manning requirements on seagoing ships. On the other hand,
the new certification standards may have implications for crew
complements; therefore, the Coast Guard has included a proposal for
revising part 15 concerning the ability of the electronics technician
to perform at-sea maintenance of GMDSS installations when the ship is
required to have that onboard-maintenance capability as one of the
options under the GMDSS provisions of SOLAS. That proposal pertains to
Sec. 15.401.
With respect to the role of the Coast Guard and the FCC in
regulating maritime communications, the Coast Guard currently
recognizes the FCC as the agency with primary responsibility for
establishing U.S. requirements for holding radiocommunications licenses
or radio operators' certificates. This responsibility is complemented
by the
[[Page 13291]]
Coast Guard's authority for issuing radio officers' licenses. This
proposed rule honors the complementary roles of both agencies, while
taking into account the fact that adjustments may be made in the future
on how these roles are allocated and carried out. Comment to the docket
is welcome on whether the Coast Guard should be involved in approving
the GMDSS training program, as it is proposing to be. The Coast Guard
will also be looking at this issue in light of section 365 of the
Telecommunications Act of 1996 (Public Law 104-104) which will allow a
vessel to operate without a radio officer if it is determined that the
vessel is properly fitted with equipment to implement GMDSS, and the
equipment is in good working condition.
(d) Personal survival techniques. The Coast Guard is proposing to
revise Sec. 10.205 by adding a new STCW requirement--for every
candidate for a license as master, mate, or engineer on a vessel on
near-coastal or ocean service, or for a license as operator of
uninspected passenger vessels operating beyond the boundary line, or
for a license for service on a MODU--to present proof of having
received approval training or instruction in personal survival
techniques (i.e., survival at sea in the event of abandoning ship). The
object of the training is to ensure that the candidate meets the
standard of competence in personal survival techniques set out in STCW
Regulation VI/1 and in table VI/1-1 in section A/VI/1 of the STCW Code.
The Coast Guard intends to accept training and assessment which is
based on documented practical experience.
The Coast Guard is also proposing to approving a personal survival
course of training especially designed for a particular ship or type of
service. This is consistent with the flexibility conferred by section
A-VI/1, paragraph 3, of the STCW Code that concerns familiarization and
basic safety-training and states that
[t]he Administration may, in respect of ships other than passenger
ships of more than 500 gross tonnage engaged on international
voyages and tankers, if it considers that a ship's size and the
conditions of its voyage are such as to render the application of
the full requirements of this section of the STCW Code unreasonable
or impracticable, exempt to that extent the seafarers on such a ship
or class of ships from some of the requirements, bearing in mind the
safety of people on board, the ship and property and the protection
of the environment.
The Coast Guard expects to apply this flexibility, for instance, in
approval of personal survival training for licensed personnel serving
on small vessels engaged in near-coastal voyages. The Coast Guard
invites comment on the scope, content, and skills-assessment techniques
that should be included in this limited or modified training.
(e) Personal safety and social responsibilities. The Coast Guard is
proposing to revise Sec. 10.205 by adding a new STCW requirement--for
every candidate for a license as master, mate, or engineer on a vessel
in near-coastal or ocean service, or for a license as an operator of
uninspected passenger vessels operating beyond the boundary line, or
for a license for service on a MODU--to present a certificate of
completion of approved training in personal safety and social
responsibilities (e.g., taking proper actions in emergencies, taking
precautions to prevent pollution, observing safe working practices,
understanding and communicating orders, and contributing to effective
human relationships on board ship by being aware of employment
conditions, individual rights and obligations, dangers of alcohol
abuse, etc.). The object is to ensure that the candidate meets the
standard of competence in personal safety and social responsibility set
out in STCW Regulation VI/1 and in table A-VI/1-4 in section A/VI/1 of
the STCW Code.
The Coast Guard is also proposing to let itself approve a course in
personal safety and social responsibilities especially designed for a
particular ship or type of service. This is consistent with the
exemption in section A-VI/1, paragraph 3, of the STCW Code quoted under
paragraph (d) Personal survival techniques.
The Coast Guard invites comments on the scope, content, and skill-
assessment techniques that belong in this limited or modified training.
The Coast Guard anticipates that the requirements for firefighting,
personal survival, and personal safety and social responsibility
including pollution prevention can be combined into a single course of
training or instruction, which also includes elementary first aid, to
meet the basic safety-training requirements of section A-VI/1,
paragraph 2, of the STCW Code. This will be particularly true with
respect to operators of uninspected passengers vessels (OUPVs)
operating seaward of the boundary line. The Coast Guard intends to
develop a checklist of elementary basic safety-instruction that
candidates for OUPV licenses could have confirmed by boating-safety
instructor from the Coast Guard Auxiliary or the Red Cross, or by a
suitable official from the local firefighting department. The Coast
Guard invites comments on what belongs in this elementary basic safety
checklist.
After receiving the basic safety-training or instruction, the
license-holder must every 5 years provide evidence of having maintained
the required standard of competence, by providing evidence at the time
of renewal that he or she has demonstrated competence and has been
examined or continuously assessed as part of an approved training
program, in accordance with the tables in section A-VI/1, paragraph 2,
of the STCW Code. This matter gets closer scrutiny in the discussion
under paragraph 9, Requirements for renewal of licenses.
(f) Procedures for bridge team-work. The Coast Guard would revise
Sec. 10.205 by adding a new STCW requirement for every candidate for a
license as master, or mate, on a vessel on near-coastal or ocean
service to know effective bridge-team-work procedures as an essential
element of the competence to maintain a safe navigational watch. The
Coast Guard understands bridge-team-work procedures to encompass the
processes by which the watchkeeping personnel work together efficiently
and effectively to maintain a continuously safe watch. The concepts
applied in training and assessment to that end should reflect the
principles of bridge-resource management that contribute to the most
effective performance of watchkeeping duties. In this regard, refer to
the principles of bridge-resource management outlined in section B-VIII
of the STCW Code.
(g) Practical demonstration. The Coast Guard would add a new
subsection to Sec. 10.205 to require that, when a practical
demonstration of a skill is called for under this section or under a
provision of STCW referred to in this section the candidate must
provide sufficient evidence that the skill has been demonstrated
properly in the presence of a designated examiner. A written record,
including skills demonstrated, identity of the designated examiner, and
the results of the demonstration, must be maintained in the applicant's
license file. The Coast Guard invites comments on the best format for
maintaining this record. For related proposals, refer to the discussion
on tables 10.910 and 10.950.
9. Requirements for Raise in Grade of License
The Coast Guard would revise Sec. 10.207 to require proof that
candidates for a raise in grade of license have been examined and
otherwise assessed, to establish that they meet standards of
competence. In many cases, STCW will
[[Page 13292]]
require assessment by examination and by demonstration of practical
skills, which will be in addition to any basic qualifications such as
age, seagoing experience, and training.
10. Requirements for Renewal of Licenses
The Coast Guard is proposing to add a new subsection under
Sec. 10.209 to indicate that after July 31, 1998, applicants for
renewals will have to meet new requirements for holding the original
licenses at the grades concerned.
Candidates for renewal of licenses as masters or mates for service
on vessels in ocean or near-coastal service, or as operators of
uninspected passenger vessels operating beyond the boundary line, will
have to have the appropriate training or instruction in firefighting,
personal survival techniques, and personal safety and social
responsibility. If the instruction took place more than 5 years ago,
the candidates will also have to provide proof that competence was
assessed and validated within the last 5 years. Regardless of the
schedule under which a candidate's license is renewed, he or she will
need to receive basic safety training in accordance with dates of
compliance established in paragraph (b) of Sec. 15.403 for service on a
seagoing vessel. The Coast Guard intends to accept training and
assessment which is based on documented practical experience.
Candidates for renewal of licenses will also need to be trained in
ARPA if they will be serving on vessels fitted with ARPA and they will
need to hold a Certificate for Operator of Radio in Global Maritime
Distress and Safety System if they will be serving on vessels that
participate in GMDSS.
The proposed deadline of July 31, 1998, derives from the
transitional provisions of the 1995 Amendments to STCW, which allow for
a phase-in of new requirements up to August 1, 1998. STCW Regulation I/
15 permits a Party to renew certificates (licenses) until February 1,
2002, in accordance with rules that will be in effect before February
1, 1997. However, to meet the target for full implementation in 2002,
it is necessary to process renewals in accordance with new requirements
beginning in 1998.
With these changes, the renewal process will conform to the
requirements of new STCW Regulation I/11 (Revalidation of Certificates)
of the 1995 Amendments.
11. Required use of Training--And Assessment--record Books
As noted, the 1995 Amendments to STCW require the use of a
training- and assessment-record book under some circumstances. The
Coast Guard is proposing to revise Sec. 10.304 to require use of Coast-
Guard-accepted training- and assessment-record books when candidates
for deck licenses are using training to substitute of service, and when
candidates for engineer licenses need onboard training to meet the
requirements of STCW. A training- and assessment-record book must
provide certain basic information including an indication, by means of
the initials or signature of a clearly identified, designated examiner,
that the candidate has established, through practical demonstrations,
that he or she is competent in each of the subjects of knowledge,
understanding, and proficiency set forth in the tables of the
appropriate section in Part A of the STCW Code.
The Coast Guard proposes to require the designated examiner to
certify that he or she has in fact personally witnessed the practical
demonstration by the candidate.
STCW requires the training- and assessment-record book to be
``approved.'' The Coast Guard plans to issue a NVIC or suitable
regulation in due course that would set out the format or formats that
it will consider approved (i.e., Coast-Guard-accepted) for the purposes
of complying with this regulation. Formal approval would take place
when the record book is submitted as proof that competence has been
assessed.
12. Approved Training Other Than Approved Courses
The 1995 Amendments to STCW refer to ``approved training'' in the
following eight contexts:
(a) STCW Regulation II/1 states that a candidate for certification
as officer in charge of a navigational watch must have approved
seagoing service of not less than 1 year ``as part of an approved
training program which includes onboard training which meets the
requirements of section A-II/1 of the STCW Code and is documented in an
approved training-record book.'' In the absence of an approved training
program, the candidate must have at least 3 years of approved seagoing
service.
(b) STCW Regulation III/1 states that a candidate for officer in
charge of an engineering watch, or for designated duty engineer, must
have completed ``approved education and training of at least 30 months
which includes onboard training documented in an approved training-
record book and meets the standards of competence specified in section
A-II/1 of the STCW Code.''
(c) STCW Regulation IV/2 states that candidates for certification
as persons in charge of or performing radio duties on a ship required
to participate in the GMDSS must have completed ``approved education
and training and meet the standard of competence specified in section
A-IV/2 of the STCW Code.''
(d) STCW Regulation V/1 requires certain personnel on tankers to
have completed ``an approved tanker familiarization course'' and ``an
approved specialized training program.''
(e) STCW Regulation V/2 requires certain personnel on ro-ro
passenger ships to have completed ``approved training in crisis
management and human behavior.''
(f) Section A-VI of the STCW Code refers to ``approved
familiarization training'' for all persons employed or engaged on
seagoing ships other than passengers, and to ``approved basic training
or instruction'' for seafarers with designated safety or pollution-
prevention duties.
(g) The table of competence for deck officers (A-II/1) refers to
``approved radar simulator and ARPA simulator training.''
(h) The tables of competence throughout part A of the STCW Code
refer to ``approved training,'' ``approved simulator training'' and
``approved laboratory equipment training'' as alternative methods
constituting evidence to prove a candidate's competence.
The Coast Guard's current course-approval system, as provided in
Secs. 10.301 to 10.307, applies only to specific mandatory courses such
as firefighting, radar, and first aid or cardiopulmonary resuscitation,
and to training used as a substitute for required service or for a
written examination. There are almost 400 Coast-Guard-approved courses.
(The procedures necessary to process course approvals appear (as
outlined in NVIC 5-95, ``Marine Licensing Program's Quality Standards
System for Approved Training''). An alternative system may be needed to
regulate approved training conducted to meet STCW requirements but not
used for remission of seagoing service under Part 10.
The Coast Guard is working with MERPAC to identify the criteria for
instructors of approved courses. MERPAC is also looking at the
relationship of these criteria to the overall requirements for
monitoring
[[Page 13293]]
training under a quality-standards system that ensures the meeting of
training objectives. Preliminarily, the MERPAC working groups engaged
in these efforts have settled on a concept under which the Coast Guard
would individually certify instructors and examiners whom it finds to
meet professional and instructional experience. The status and content
of MERPAC's recommendations on these criteria will influence the final
rule.
The Coast Guard is including in this proposed rule an alternative
to its current course-approval system. Proposed new Sec. 10.309 rests
on the principle of self-certification with minimum Coast Guard
oversight based on acceptance by the Coast Guard of certain materials
and procedures to maintain standards. In other words, completion
certificates issued by training programs that meet the conditions
stated in that section could be accepted as meeting the ``approved
training'' requirements of STCW when such training is not being used
for remission of seagoing service.
This could be done by a process like that used to credit ``approved
seagoing service'' after the fact, on sufficient documentary proof. If
the Coast Guard learned that the conditions set out in new Sec. 10.309
were not being met by a particular training program, it would not
accept certificates of completion as proof that the necessary training
had been completed. The conditions for conducting approved training
other than approved courses are set out in new Sec. 10.309.
This proposal is intended to comply with the requirements of new
STCW Regulations I/6 and I/8 of the 1995 Amendments. STCW Regulation I/
6 concerns qualifications of those who train or assess the competence
of seafarers; and STCW Regulation I/8 requires that training and
assessment of seafarers be continuously monitored through a quality-
standards system to ensure achievement of defined objectives, including
those concerning the qualifications and experience of instructors and
assessors.
The Coast Guard welcomes comments on this alternative approach,
particularly with respect to (a) Coast Guard involvement in conducting
oversight and maintenance of standards through a Coast-Guard-acceptance
procedure and (b) specific training or instruction in instruction or
assessment that those who instruct or assess candidates for STCW
certificates or endorsements should be proficient in.
13. Radar Training
The Coast Guard would revise Sec. 10.480 to require that radar
simulators used in radar training meet the performance standards set
out in section A-I/12 of the STCW Code.
14. Requirements for Radio Operators' Certificates
The Coast Guard would expand Secs. 10.601 and 10.603 to cover
certification or radio operators for service on ships required to
participate in GMDSS. Candidates must meet the standard of competence
set forth in STCW Regulation IV/2 of the 1995 Amendments.
This proposal is intended to complement that under Sec. 10.205,
which would require masters and mates to hold a Certificate for
Operator of Radio in Global Maritime Distress and Safety System (GMDSS)
if they serve on vessels that participate in GMDSS, and with FCC
regulations in 47 CFR parts 13 and 80 also allows persons other than
masters and mates to acquire radio operators certificates from the
Coast Guard if they have the necessary training and have met standards
of competence by means of an examination and practical demonstration.
The Coast Guard invites comment on the most effective process for
implementing the Certificate requirements for GMDSS radio operator,
particularly in light of section 365 of the Telecommunications Act of
1996 which promotes implementation of GMDSS on U.S. vessels.
15. Practical Demonstration
Subpart I of part 10 (Secs. 10.901 through 10.950) is currently
limited to identification of subjects in which candidates must be
examined to qualify for certain licenses. Because qualification for
STCW certificates or endorsements under the 1995 Amendments to the
Convention will typically require candidates to prove their competence
by means of both an examination and a demonstration of skills, the
Coast Guard is proposing to expand Sec. 10.901 to cover practical
demonstrations.
Proposed new Sec. 10.901 provision would incorporate by reference
the tables in Part A of the STCW Code, with the effect of permitting
candidates for U.S. licenses to demonstrate their competence by any of
the methods authorized under those tables.
The table of subjects (a) adds subjects that will be treated under
STCW; (b) highlights those subjects for which candidates must perform
practical demonstrations; and (c) suggests subjects that can be removed
from the table because not treated under STCW.
The Coast Guard is also proposing a new subsection to require that
simulators used in assessment of competency or demonstration of
continued proficiency must meet the appropriate performance standards
set out in section A-I/12 of the STCW Code. However, simulators
installed or brought into use before February 1, 2002, would be exempt
from full compliance with these standards to the extent that they
remained capable of meeting the objectives of the assessment of
competence or demonstration of continued proficiency.
16. Ro-Ro Passenger Ships
The 1995 Amendments to STCW include new special provisions for
personnel serving on ro-ro passenger ships. New STCW Regulation V/2 in
Chapter V of the Annex, and section A-V/2 of the STCW Code, establish
mandatory minimum standards for the training and certification of
masters, officers, ratings (i.e., unlicensed seamen with certain
ratings), and other personnel on ro-ro passenger ships.
Because there are a number of ro-ro passenger ships documented in
the United States, of which six operate on international voyages
between the United States and Canada, the Coast Guard is proposing to
add a new subpart J in part 10, on ``Professional requirements for
officers serving on ro-ro passenger ships,'' to implement STCW
Regulation V/2 in the U.S. licensing system. Primarily, the new subpart
would incorporate by reference STCW Regulation V/2 and section A-V/2 of
the STCW Code. This proposed rule would apply only to U.S. Ro-Ro
passenger ships to which SOLAS Certificates are issued. Comments on
whether application should be expanded to other classes of U.S. ro-ro
passenger ships may be submitted to the docket.
The International Maritime Organization (IMO) will be undertaking
further work to clarify certain requirements under STCW Regulation V/2.
In particular, the STCW of IMO will consider training in crisis
management for masters and senior officers. Any recommendations that
IMO ultimately adopts in this regard will influence the Coast Guard in
approving training programs or course materials on this subject.
[[Page 13294]]
46 CFR Part 12--Certification of Seamen
1. Purpose of Regulations
The Coast Guard would revise Sec. 12.01-1 to reflect that the
purpose of part 12 is twofold. Part 12 is intended to provide, first, a
means of determining the qualifications an applicant must possess to be
eligible for certification to serve on U.S. merchants vessels and,
second, a means of determining whether an applicant is competent under
STCW to serve in a particular shipboard position. The Coast Guard is
also proposing to indicate that new subpart 12.03 prescribes the
requirements applicable to training and assessment associated with
meeting the standards of competence under amended STCW.
2. Incorporation by Reference (Sec. 12.01-3)
The Coast Guard would introduce the necessary language in
Sec. 12.01-3 to allow technical requirements of the 1995 Amendments to
STCW and to the STCW Code to be incorporated by reference into specific
rules in Part 12.
3. Definitions
As noted in the discussion of Sec. 10.103, the Coast Guard intends
to maintain consistency in the definitions for identical terms used in
parts 10 and 12. Consequently, the Coast Guard is proposing for
Sec. 12.01-6 a number of new definitions that correspond with those
proposed for Sec. 10.103. These comprise approved training, Coast-
Guard-accepted, designated examiner, practical demonstration, qualified
instructor, STCW endorsement, and standard of competence.
4. When Documents are Required
The Coast Guard would revise Sec. 12.02-7 to require individuals
serving in certain capacities on seagoing ships to hold STCW
certificates or endorsement stating that they are so qualified.
5. General Provisions Respecting Merchant Mariner's Document (MMD)
The Coast Guard is proposing to revise Sec. 12.02-11 to ensure that
everyone qualified for an STCW certificate or endorsement is issued the
appropriate certificate or endorsement when he or she is issued an MMD,
or when the MMD is renewed or endorsed. One may be qualified to hold an
endorsement for a rating forming part of a navigation or engineering
watch, under STCW Regulation II/4 or III/4 and the corresponding
section of the STCW Code (A-II/4 or A-III/4), without being qualified
as an AB or QMED.
The Coast Guard is also proposing to allow the endorsement of an
MMD to indicate that the holder has received the familiarization or
basic safety-training required by chapter VI of STCW as amended. This
would not be mandatory, but it should be a convenience to those who
move from ship to ship, or company to company. As in the relevant parts
of Sec. 10.205, the Coast Guard would be able to approve courses which
are designed for particular ships or types of service, within the
limits allowed by STCW.
6. Medical Fitness
The Coast Guard is proposing to add a new subsection to Sec. 12.02-
17, requiring an applicant for an MMD to present documents issued by a
qualified medical practitioner attesting the applicant's medical
fitness to perform the functions for which the document is issued.
There are currently no medical-fitness requirements for entry-level
seamen.
This proposal is intended to comply with new STCW Regulation I/9 of
the 1995 Amendments, which states that ``each party shall establish
standards of medical fitness for seafarers, particularly regarding
eyesight and hearing.'' For further discussion of medical fitness,
refer to General, at page 9.
The Coast Guard invites comments on whether additional procedures
or criteria belong in the rule to regulate medical fitness of entry-
level seamen.
7. Approved Training Other Than Approved Courses
As discussed under Sec. 10.309, the Coast Guard is proposing an
alternative to the course-approval system, for accepting training
programs as ``approved'' to satisfy STCW as amended. The proposal in
Sec. 12.03-1 is almost identical to the proposal in Sec. 10.309 (with
necessary editorial adjustments to fit in the context of Part 12). The
conditions are intended to meet the quality-standards provisions of
STCW as amended.
8. Able Seaman
The Coast Guard is proposing to revise the able seamen
qualifications in Subpart 12.05 to conform with the requirements of the
1995 Amendments to STCW.
Section 12.05-3 would expand the reference to ``lifeboatman'' to
include everyone with ``proficiency in survival craft and rescue
boats.''
This section would also add a new subsection to require candidates
for AB certificates for service on seagoing vessels to receive approved
basic safety-training as set out in STCW Regulation VI/1 and section A-
VI/1 of the STCW Code (i.e., personal survival techniques; firefighting
and fire prevention; elementary first aid; and personal safety and
social responsibilities). As in the relevant parts of Sec. 10.205, the
Coast Guard would be able to approve courses designed for particular
ships or types of service, within the limits allowed by STCW. Also, as
in Sec. 10,209, an applicant for renewal of an MMD with an AB
endorsement would have to prove that competency was assessed within the
last 5 years, if instruction took place more than 5 years ago.
Section 12.05-3 would also require a candidate for an AB
certificate for service on seagoing ships of 500 GT or more to meet the
requirements of STCW Regulation II/4, and be qualified to hold an STCW
certificate or endorsement for a rating forming part of a navigational
watch. The standard of competence set out in section A-II/4 of the STCW
Code would be incorporated by reference.
The table in section A-II/4 of the STCW Code includes a number of
subjects areas (such as use of gyro compasses, change-over from auto-
pilot, maintenance of a safe watch, knowledge of EPIRBs, and avoidance
of false alerts) that are not currently required under Sec. 12.05-9
(examination and demonstration of ability). That section would refer to
the STCW table.
Also, each candidate would have to prove that he or she had a
stated minimum of seagoing service including training and experience
associated with navigational watchkeeping under the direct supervision
of the Master, the officer in charge of the navigational watch, or a
qualified rating.
The Coast Guard is also proposing to revise Sec. 12.05-11 (general
provisions respecting MMDs endorsed for able seaman) to indicate that,
on seagoing ships of 500 GT ton and more, ABs who serve in navigational
watchkeeping must hold STCW certificates or endorsements for a rating
forming part of a navigational watch and be qualified in accordance
with STCW Regulation II/4.
9. Lifeboatman
The Coast Guard is proposing to revise the lifeboatman
qualifications in subpart 12.10 to conform with the requirements of the
1995 Amendments to STCW.
Section 12.10-3 would expand the reference to ``lifeboatman'' to
include every mariner with ``proficiency in survival craft and rescue
boats.'' This section would require candidates to (a) be at least 18
years of age and (b) have a minimum of 6 months of seagoing
[[Page 13295]]
service when associated with approved training.
This section would also add a new subsection to require a candidate
for a certificate for lifeboatman or survival craft to receive approved
basic safety-training as set out in STCW Regulation VI/1 and section A-
VI/1, paragraph 2, of the STCW Code (i.e. personal survival techniques;
firefighting and fire prevention; elementary first aid; and personal
safety and social responsibilities). As in the relevant parts of
Sec. 10.205, the Coast Guard would be able to approve courses designed
for particular ships or types of service, within the limits allowed by
the STCW. Also, a candidate for renewal of an MMD with a lifeboatman
endorsement would have to prove that competence was established within
the last 5 years if instruction took place more than 5 years ago.
Section 12.10-5 would incorporate by reference the standard of
competence set out in STCW Regulation VI/2 and section A-VI/2 of the
STCW Code. This would expand the coverage under this section to such
subjects as methods of starting survival-craft engines use of the fire
extinguisher provided method of helicopter rescue, effects of
hypothermia, use of rescue boats for persons in the sea, use of EPIRBS
and pyrotechnic distress signals, and first aid for survivors. The
Coast Guard would be able to approve courses designed for a particular
class of ship or type of service, to take into account such conditions
as small ships required only to carry liferafts. It would place an
appropriate limitation on the certificate issued on the basis of such
training.
The Coast Guard is proposing to delete Sec. 12.10-7. Individuals
qualified under STCW Regulation VI/2 must hold certificates stating
they are qualified. However, by policy, the Coast Guard proposes to
grandfather those who currently hold AB endorsements. Until August 1,
1998, it would issue to holders of MMDs with AB endorsements,
endorsements for proficiency in survival craft when they renew their
MMDs.
The Coast Guard is proposing to add a new Sec. 12.10-9 on
certificates of proficiency in fast rescue boats. This section would
incorporate by reference both the requirements of STCW Regulation VI/2,
paragraph 2, and the relevant portions of section A-VI/2 of the STCW
Code, including table A-VI/2-2. Fast rescue boats are those that can
sustain speeds of over 20 knots with crews of 3, and over 8 knots with
full complements of persons and equipment.
The Coast Guard is also proposing to add a new Sec. 12.10-11 for
those designated to provide medical care on board ship. This section
would incorporate by reference the requirements of STCW Regulation VI/4
and those of section A-VI/4 of the STCW Code. This allows individuals
not already having to be trained in first aid under other regulations
(e.g., Sec. 10.205(h) for licenses and certificates of registry) to
acquire endorsements to provide medical care on board ship.
10. Qualified Member of the Engine Department
The Coast Guard is proposing to revise the qualifications for
qualified members of the engine department (QMEDs) in subpart 12.15 to
conform with the requirements of the 1995 Amendments to STCW.
Section 12.15-3 would get a new subsection to require candidates
for QMED certificates for service on seagoing vessels driven by main
propulsion machinery of 750 kW [1,000 hp] of propulsion power or more
to receive approved basic safety-training as set out in STCW Regulation
VI/1 and section A-VI/1 of the STCW Code (i.e., personal survival
techniques; firefighting and fire prevention; elementary first aid, and
personal safety and social responsibilities, including pollution
prevention). As in the relevant parts of Secs. 10.205 and 12.05-3, the
Coast Guard would be able to approve courses designed for particular
ships or types of service, within the limits allowed by the STCW. Also,
as in Sec. 12.05-3, an applicant for renewal of an MMD with a QMED
endorsement would have to prove that competency was assessed within the
last 5 years if instruction took place more than five years ago.
Section 12.15-3 would also require candidates for QMED certificates
for service on seagoing vessels driven by main propulsion machinery of
750 kW [1,000 hp] of propulsion power or more to meet the requirements
of STCW Regulation III/4, and either be qualified to hold an STCW
certificate or endorsement for a rating forming part of a watch in a
manned engine-room or be designated to perform duties in a periodically
unmanned engine-room. The standard of competence set out in section A-
III/4 of the STCW Code would be incorporated by reference.
The table in section A-III/4 of the STCW Code includes a number of
subjects (such as engine-room watchkeeping and knowledge of escape
routes from machinery spaces) not currently covered under Sec. 12.15-9.
Section 12.15-7 would require a minimum of seagoing service
performing duties associated with engine-room watchkeeping under the
direct supervision of a qualified engineer officer or of a member of a
qualified rating.
Section 12.15-9 would refer to table A-III/4 of the STCW Code, and
would require practical demonstration of abilities.
Section 12.15-11 would indicate that, on seagoing vessels driven by
main propulsion machinery of 750 kW [1,000 hp] of propulsion power or
more, QMEDs who serve in a watchkeeping capacity in a manned engine-
room or are designated to perform duties in a periodically unmanned
engine-room must hold STCW certificates or endorsements stating that
they are qualified in accordance with STCW Regulation III/4.
11. Electronics Technician
The Coast Guard would establish a new rating under part 12 by
adding a section to Subpart 12.25 (Certificates of service for ratings
other than AB or QMED). New Sec. 12.25-45 would allow an individual to
hold a certificate or MMD stating that he or she is qualified to serve
as an electronics technician on board a vessel.
Section 12.25-45 would require candidates for this endorsement to
provide sufficient proof of competence. This would comprise (a) a
certificate of completion from a Coast Guard-approved training program
that includes instruction and assessment by qualified instructors and
designated examiners, and makes the student complete appropriate
examinations and practical demonstrations to establish competence in
the basic skills, knowledge, and understanding necessary to perform
maintenance, diagnosis, and repair of electronic equipment and
installations on board ships, in accordance with the manuals normally
provided for such equipment and installations and (b) a certificate of
completion from a course approved by the FCC or Coast Guard and
covering at least the scope and content of training outlines in the
relevant sections of B-IV/2 of the STCW Code relating to maintenance of
GMDSS installations on board ships.
Under Sec. 12.25-45 an individual could receive an electronic-
technician rating without completing the GMDSS course. However, in that
case, the endorsement would contain a limitation to the effect that the
individual could not serve as the person designated to perform at-sea
maintenance of GMDSS installations when such a person was necessary to
meet the maintenance requirements imposed by SOLAS Regulation IV/15
(i.e., ``electronics technician--non-GMDSS)''. When at-sea maintenance
is
[[Page 13296]]
to be used as a means of meeting the SOLAS requirement for maintenance
of GMDSS, the person designated to perform the maintenance must have an
electronics-technician endorsement, without the limitation. While this
proposed rule would establish an electronics-technician endorsement in
part 12, the intent is not that there be any restriction on the ability
of a licensed engineer to acquire the endorsement. The Coast Guard
solicits comments on whether Part 10 should include additional
requirements on electronics as a shipboard skill or responsibility,
particularly in light of section 365 of the Telecommunications Act of
1996 which promotes the implementation of GMDSS on U.S. vessels.
12. Qualifications for Service on Ro-Ro Passenger Ships
The Coast Guard would add a new subpart (Sec. 12.30) under part 12
to establish requirements for certification (i.e., by endorsement of an
MMD) of unlicensed seamen for service on ro-ro passenger ships. The
requirements would essentially incorporate by reference the provisions
of STCW Regulation V/2 as they relate to personnel with specific duties
on such ships, and those with duties for care of passengers. The
proposed rule would apply only to U.S. ro-ro passenger ships to which
SOLAS certificates are issued. Comments on whether application should
be expanded to other classes of ro-ro passenger ships may be submitted
to the docket.
46 CFR Part 15--Manning Requirements
The 1995 Amendments to STCW contain a number of provisions that
affect manning and watchkeeping on seagoing vessels, as well as
conditions that must be met before crewmembers can be assigned to
duties. The Coast Guard is proposing to revise part 15 to incorporate
these new requirements on U.S. merchant vessels that operate seaward of
the boundary line.
1. Incorporation by Reference (Sec. 15.105)
The Coast Guard would introduce the necessary language in
Sec. 15.105 to allow technical requirements of the 1995 Amendments to
STCW and to the STCW Code to be incorporated by reference into specific
rules in part 15.
2. Definitions (Sec. 15.301)
The Coast Guard would revise this section to reflect changes
proposed in parts 10 and 12. For example, a reference to GMDSS radio
operator, electronics technician--non-GMDSS, and electronics technician
must each be added to paragraph (b) or (c).
3. Employment and Service Within Restrictions of License or Document
(Sec. 15.401)
The Coast Guard would expand this section to include references to
STCW certificates and endorsements. The section would also propose
that, as of February 1, 2002, only persons with the appropriate
training and certification as GMDSS radio operators be employed or
engaged as masters, chief mates, or officers in charge of navigational
watches on ships required to participate in the GMDSS system under
SOLAS Chapter IV. Additionally, only persons trained in the use of ARPA
could be employed or engaged as masters, chief mates, officers in
charge of navigational watches, or operators of uninspected passenger
vessels on vessels fitted with ARPA. These requirements would
complement those for Secs. 10.205 and 10.209.
Section 15.401 would also, as of February 1, 2002, let only persons
holding electronic-technician endorsements not limited to non-GMDSS
electronics installations be designated to perform at-sea maintenance
of GMDSS installations, when such designation is used to meet the
maintenance requirements imposed by SOLAS Regulation IV/15. This would
complement the proposal for Sec. 12.25-45.
Section 15.401 would also allow only those with proper training
under subpart J of part 10 and Sec. 12.24-30 of part 12 to be employed
or engaged on ro-ro passenger ships.
4. Familiarization and Basic Safety-Training (Sec. 15.403)
The Coast Guard would implement STCW Regulation VI/1 of the 1995
Amendments by adding new Sec. 15.403 to Part 15 on familiarization and
basic safety-training. The section would propose that after February 1,
1997 no person may be assigned to perform any duties on a seagoing
vessel unless he or she has received approved familiarization training
in personal survival or has received sufficient information and
instruction in a number of subjects affecting personal safety, in
accordance with A-VI/1 of the STCW Code.
This section would also state that no person may be employed or
engaged in any capacity on board a seagoing vessel in the business of
that vessel as part of the crew with designated duties for safety or
pollution prevention in the operation of the ship unless he or she has
received approved basic safety-training or instruction in accordance
with A-VI/1 of the STCW Code. Designated duties for safety include
those associated with fire-team emergency squads and with assisting
passengers in emergencies.
Additionally, this section would provide that no person may perform
duties on board a seagoing vessel unless he or she has received the
required familiarization training or instruction, or has achieved the
required standard of competence through basic safety-training, as
appropriate.
Under the relevant parts of Secs. 10.205 and 12.02-11, the Coast
Guard would be able to approve training designed for particular ships
or types of service, within the limits allowed by STCW.
One comment submitted to the docket following the public meeting in
August expressed concern about the application of these requirements of
familiarization and basic safety-training to personnel serving on
MODUs. Again, to the extent a MODU was a seagoing ship under STCW, the
implementing regulations being proposed at this time would apply to its
personnel. On the other hand, in approving specific training, the Coast
Guard will take into consideration, and use as the basis for its
evaluation, any IMO resolutions that provide special guidance on the
training of personnel on MODUs.
5. Maintenance of Seamen's Records by Owner or Operator (Sec. 15.411)
STCW Regulation I/14 of the 1995 Amendments requires
Administrations to impose certain responsibilities on companies that
own or operate seagoing vessels. These responsibilities are fundamental
to good management, are consistent with the principles reflected in the
International Management Code for Safe Operation of Ships (ISM Code),
and are to a large extent already covered by domestic regulations.
For example, the obligation under item 1.1 of STCW Regulation I/14,
concerning the need to ensure that each seafarer holds the appropriate
STCW certificate, is addressed by 46 CFR 15.401. The obligation in item
1.2 of STCW Regulation I/14, concerning compliance with manning
requirements, is addressed by 46 CFR 15.401 and 15.515, and to some
extent by 46 CFR 15.801, with statutory support (e.g., 46 U.S.C. 8101
(c) and (f) and 8104(j)). Similarly, the object of item 1.4 of STCW
Regulation I/14, ensuring that seafarers are familiar with ship-
specific arrangements, equipment, and so forth, before being assigned
to duties, is already addressed in 46 CFR 15.405.
But, because Sec. 15.405 does not explicitly require companies to
ensure
[[Page 13297]]
that a level of familiarity has been achieved, the Coast Guard is
inviting comment on whether it should be revised. If so, the Coast
Guard also invites comments on whether the term company (or,
alternatively, the term owner or operator) should be defined in Part
15. The Coast Guard also invites comments on how Sec. 15.405 should be
revised to effectively implement paragraph 2 of section A.I/14 of the
STCW code, which states the following:
The company shall provide written instructions to the master of
each ship to which the Convention applies, setting forth the
policies and the procedures to be followed to ensure that all
seafarers who are newly employed on board the ship are given a
reasonable opportunity to become familiar with the shipboard
equipment, operating procedures and other arrangements needed for
the proper performance of their duties, before being assigned to
those duties.
To some extent, the requirements for maintaining certain records,
as set out in item 1.3 of STCW Regulation I/14, are already addressed
by statutory and regulatory provisions on shipping articles and other
records of seamen (e.g., 46 U.S.C. 10302, 10320, and 10502 and 46 CFR
part 14). Additionally, it is considered routine practice for U.S.
companies that employ seaman to maintain a personnel record for each
employee, or to ensure that one is maintained by an agency acting on
behalf of the company in such matters (such as a labor union that has
entered into a collective-bargaining agreement).
Taking the above into account, the rule proposed as Sec. 15.411
focuses on the recordkeeping requirements in STCW Regulation I/14 of
the 1995 Amendments. The object is to allow companies a suitable range
of flexibility for complying with these requirements in a manner most
consistent with good management. Furthermore, the policy of the Coast
Guard will be to presume, in the absence of information to the
contrary, that companies holding valid ISM certificates, issued in
accordance with the appropriate international, and domestic
regulations, are fulfilling their obligations under STCW Regulation I/
14.
One comment submitted in response to the notice published on August
2, 1995 [60 FR 39306], asked that the requirements of item 1.4 of STCW
Regulation I/14 (on familiarization with specific equipment and
procedures) not be extended to apply to duties of industrial personnel
on industrial vessels (e.g., MODUs) or research crew on research
vessels. The Coast Guard would not expect this proposed rule to impose
an unreasonable obligation on companies that employ such personnel.
However, in keeping with earlier statements in this preamble, the Coast
Guard recognizes that IMO will be giving further consideration to
issues of industrial personnel. Therefore, the proposals relating to
paragraph 1.4 of STCW Regulation 1/14 should be understood not to apply
to industrial personnel on MODUs or research personnel on research
vessels. Such personnel, however, would be subject to the
familiarization and basis safety training requirements, of STCW
Regulation VI/I, as described in section 4.
6. Watchkeeping Arrangements
The Coast Guard is proposing to revise Sec. 15.705 (Watches) by
requiring masters on seagoing vessels to observe the principles on
watchkeeping arrangements set out in STCW Regulation VIII/2 of the 1995
Amendments.
7. Workhours and Rest Periods
The Coast Guard is proposing to implement the rest-hour
requirements of STCW Regulation VIII/1 of the 1995 Amendments, and of
section A-VIII/1 of the STCW Code, by adding new subparagraphs to
Sec. 15.710. Essentially, the STCW Amendments will require that every
person assigned duty as an officer in charge of a watch or as a rating
forming part of a watch shall receive a minimum of 10 hours of rest in
any 24-hour period. These 10 hours of rest may be divided into two
parts as long as one segment is at least 6 hours.
Deviation from the requirement for 10 total and 6 continuous hours
of rest is permissible in the case of ``an emergency or drill or in
other overriding operational conditions.'' Additionally, the 10 hours
of rest in a 24-hour period may drop to 6 consecutive hours in a 24-
hour period over 2 days, as long as the watch-keeper receives 70 hours
of rest in each 7-day period. Watch schedules that ensure compliance
with these rest-hour requirements must be posted when they are easily
accessible to watchkeeping personnel and to port-control officers in
foreign ports.
Section B-VIII/1 of the STCW Code provides some guidance on the
meaning of the terms used in section A-VIII/1, and on the correct
interpretation of the rest-hour requirements when calculating workhours
outside of the periods of watchkeeping responsibility. For instance, it
construes the phrase ``overriding operational conditions'' to mean
``only essential shipboard work which cannot be delayed for safety or
environmental reasons or which could not reasonably have been
anticipated at the commencement of the voyage.''
The guidance in section B-VIII/1 of the STCW Code also states that
the minimum rest periods should not be interpreted as implying that all
other hours may be devoted to watchkeeping or other duties. It also
invites administrations to consider a requirement for recordkeeping to
ensure compliance with that for hours of the rest.
One comment submitted in response to the notice published on August
2, 1995 [60 FR 39306], expressed concern that an individual serving in
a two-watch rotation on a towing vessel would be considered unfit for
duty if he or she got only 5 hours of sleep in one 6-hour off-duty
period, and 2 hours of sleep in the next off-duty period. The Coast
Guard does not view the rest-hour requirements of STCW as mandating a
period in which the individual concerned is actually in his or her bunk
asleep. However, over any period of 24 hours, the watchkeeping
personnel must be provided the opportunity for an uninterrupted period
of rest for at least 6 hours, and an additional 4-hour period during
which no duties are assigned or performed. The operative word is
``opportunity''. This would not prevent a person from attending to
routine personal affairs, or engaging in recreational or other off-duty
activities.
Another comment submitted on this matter suggested that the rest-
hour requirements of STCW could have an adverse impact on the operation
of towing vessels and small passenger vessels because it would permit a
14-hour workday or a 98-hour workweek, in violation of U.S. statutory
and regulatory provisions that limit the number of hours a seaman may
be required to work.
Note, however, that the introduction of a rest-hour requirement
into U.S. regulations would not change any existing work-hour limits or
rest-hour requirements that apply to personnel on U.S. vessels. Limits
that apply to seagoing ships under 46 U.S.C. 8104 and 46 CFR 15.705 and
15.710 would remain fully in effect. Additionally, operators of towing
vessels and tankers already have to comply with both the work-hour
limits under 46 U.S.C. 8104(h) and 8104(n), respectively, and the rest-
hour requirements under STCW and 46 U.S.C. 8104(a).
In any specific set of circumstances, the stricter rule would
apply. For example, although the rest-hour requirements proposed here
would technically permit the operator of a seagoing towing vessel to
stand watch for up to 14 hours a day, 46 U.S.C. 8104(h) would limit the
operator to no more than 12 hours in a 24-hour period.
[[Page 13298]]
Similarly, although 46 U.S.C. 8104(n) technically permits a mate on a
tanker to work up to 15 hours in a 24-hour period, the rest-hour
requirements proposed here would limit his or her periods of duty to
not more than 14 hours in that same 24-hour period, unless there were
an emergency or other overriding operational condition; and then an
adjustment would subsequently be necessary to ensure that the mate
received 70 hours of rest in 7 days.
Although calculating work and rest may be complex under some non-
routine circumstances, the Coast Guard considers the STCW rest-hour
requirements of STCW and the existing work-hour limits in U.S. statutes
and regulations to be compatible and enforceable, and in keeping with
the object of safe watchkeeping.
Further comment to the docket is welcome, on the implementation of
the rest-hour requirement, and particularly on the extent to which the
terms rest hours and overriding operational conditions should be
clarified or interpreted either in this proposed rule itself or in the
policy on its enforcement. Comment is also welcome on the kinds of
shipboard activity (such as personal housekeeping) that should be
allowed to watchkeeping personnel who are off duty and on the need for
recordkeeping to ensure compliance with the rest-hour requirements.
Incorporation by Reference
The following material would be incorporated by reference in
Secs. 10.102, 12.01-3, and 15.105: Amendments to the Annex to the
International Convention on Standards of Training, Certification and
Watchkeeping for Seafarers, 1978, and the associated Seafarers'
Training, Certification and Watchkeeping (STCW) Code, as adopted under
resolutions 1 and 2, respectively, by the Conference of Parties to the
International Convention on Standards of Training, Certification and
Watchkeeping for Seafarers, 1978, held at IMO from June 26 to July 7,
1995.
Copies of the material are available for inspection where indicated
under ADDRESSES. Copies of the material are also available from IMO, 4
Albert Embankment, London, SE1 7SR, England, telephone in London 0171-
735-7611.
Before publishing a final rule, the Coast Guard will submit this
material to the Director of the Federal Register for approval of the
incorporation by reference.
Regulatory Evaluation
This proposed rule is not a significant regulatory action under
section 3(f) of Executive Order 12866 and does not require an
assessment of potential costs and benefits under section 6(a)(3) of
that Order. It has not been reviewed by the Office of Management and
Budget under that Order. It is not significant under the regulatory
policies and procedures of the Department of Transportation (DOT) [44
FR 11040 (February 26, 1979)].
A preliminary regulatory assessment has been prepared and is
available for inspection where indicated under ADDRESSES.
The regulatory assessment is preliminary at this stage. The Coast
Guard published a notice of inquiry on November 13, 1995 [60 FR 56970],
to solicit information that would be useful in calculating the costs
and benefits of implementing the 1995 Amendments to STCW. Some of those
calling the Coast Guard to discuss the notice said they could not give
a detailed or accurate assessment of impacts until they had seen the
specific proposals. Others indicated they did not foresee a cost impact
since they felt that their current practices and procedures generally
conformed with the requirements of the amendments to STCW.
To a great extent, the STCW revisions are introducing, as
requirements, practices already successfully promoted through the
current U.S. regulations (e.g., use of approved training, and the use
of simulators in training as predicates of remission of seagoing
service). In most cases, the new requirements would involve
modification or enhancement of existing training and oversight rather
than establishment of new programs.
The Coast Guard estimates that the proposal will affect
approximately 19,500 seafarers over a 5-year period. The estimated
composition of this group is 10,335 deck and other officers, 1,755
engineering officers, 3,900 able seamen, and 3,510 qualified members of
the engineering department.
The approximate vessel population that operate outside the boundary
line and may be affected by the proposed regulation are 136 MODUs; 95
industrial vessels; 271 freight ships; 103 oil recovery vessels; 696
offshore supply vessels; 20 passenger vessels; 2,112 small passenger
vessels; 14 research vessels; 14 maritime school ships; 162 tank ships;
15 towboats and tugboats; 462 tank barges; 3 ferries; and 486 freight
barges.
Costs
The Coast Guard estimates that costs fall into the following
categories: medical fitness, training costs, training infrastructure
costs, company and/or owner/operator costs, and government costs.
The Coast Guard estimates that approximately 12,000 seafarers apply
for MMDs annually. Approximate costs of $1,900,000 annually are
estimated for mariners certifying their medical fitness when applying
for an MMD.
Deck, radio, and other officers will be required to demonstrate
competency and knowledge in a combination of courses including GMDSS,
ARPA, Personal Survival, Personal Safety and Social Responsibility, and
Bridge Teamwork. The Coast Guard estimates that as many as 4,091
officers may be affected annually while the proposed regulation has a
high level of flexibility built into it for mariners, the Coast Guard
has assumed that mariners will attend formal, classroom courses to
comply with the requirements. Annual training costs for deck, radio,
and other officers are estimated at $21,804,580.
Engineering officers will be required to demonstrate competence and
knowledge in a combination of courses including Personal Survival,
Personal Safety and Social Responsibility, and Electronic and Control
Engineering. The Coast Guard estimates that as many as 645 engineering
officers may be affected annually. Annual training costs for
engineering officers are estimated at $3,247,575.
ABs will be required to demonstrate competence and knowledge in a
combination of courses including Personal Survival, Personal Safety and
Social Responsibility, Shipboard Orientation, Firefighting and Fire
Prevention, and estimates that as many as 1,369 ABs may be affected
annually. Annual training costs for ABs are estimated at $11,568,050.
QMEDs will be required to demonstrate competence and knowledge in a
combination of courses including Personal Survival, Personal Safety and
Social Responsibility, Shipboard Orientation, and Firefighting and Fire
Prevention. The Coast Guard estimates that as many as 1,253 QMEDs may
be affected annually. Annual training costs for QMEDs are estimated at
$7,580,650.
Ro/Ro personnel will be required to attend specialized training
including crowd management, passenger safety, cargo safety, and hull
integrity. The Coast Guard estimates that this may affect 225 Seafarers
every 5 years. Estimated annual cost is $67,500.
The Coast Guard has estimated a new electronics technician rating
for vessels equipped with GMDSS. Electronic technicians will be
required to demonstrate competence and knowledge to perform
maintenance,
[[Page 13299]]
diagnosis and repair of electronic equipment and installations. The
Coast Guard estimates that this may affect 1,128 Seafarers. The Coast
Guard has estimated this as a one-time cost of $6,204,000.
The Coast Guard has determined that training infrastructure costs
include QSS, Approved Instructor, Designated Examiner, Capital
Investments, and Course Development.
For QSS, the Coast Guard estimates that 100 training institutions
may be affected at an initial cost of $7,500, $1,000 annual maintenance
costs, and an independent evaluation estimated at $5,000. Total cost is
estimated at $1,750,000.
For Approved Instructors, the Coast Guard estimates that 1,500
instructors at 100 training institutions may be affected. Annual
approved instructor costs are estimated at $1,500,000.
For Designated Examiners, the Coast Guard estimates each will be
required to provide 20 hours of service. Annual designated examiner
costs are estimated at $3,900,000 for 1997 through 2001 and $780,000
for 2002 through 2003.
The Coast Guard has determined that there are likely to be some
GMDSS and ARPA Capital Investments necessary by training institutions
to accommodate the anticipated annual through-put of deck and other
officers. A one-time cost of $3,160,000 is estimated.
The Coast Guard has determined that there are likely to be some
course-development costs associated with the proposed rulemaking. A
one-time cost of $889,000 is estimated.
The Coast Guard has determined that costs for companies and for
owners and operators are likely to include those associated with rest-
hour and recordkeeping requirements.
The Coast Guard has determined that rest-hour requirements are
likely to affect 83 vessels annually. Crew augmentation costs for these
vessels is estimated at $2,120,650 annually.
The Coast Guard has determined that records on Seafarer training
and competence, medical fitness, and rest hour requirements will be
required. The Coast Guard estimates that this will likely affect 19,500
seafarers annually at an estimated cost of $1,462,500.
The Coast Guard does not anticipate any additional costs in
implementing the regulation at this time.
Total Costs
Costs of the proposal are forecast to 2003. The Coast Guard
estimates that these requirements will be fully integrated into the
marine infrastructure by 2003 and, thus, a regular part of doing
business. Costs are estimated at $45,789,021 in 1997, $36,218,521 in
1998, $35,568,521 in 1999 through 2001, $12,767,724 in 2002, and
$13,200,224 in 2003. The present value of the costs of this proposed
regulation discounted at 7 percent to 1997 would total $172,685,673.
Benefits
The Coast Guard has determined that the proposed rule has potential
economic benefits and a potential to reduce marine casualties.
Economics play a significant role in safety. While the U.S.
commercial fleet has long been among the safest in the world,
differences between U.S. standards and those of other maritime nations
put our vessels at a competitive disadvantage. Responsible operators
can be forced to operate with lower profit margins and less capital to
invest in safe operations, and in some cases forced out of the market
entirely. More aggressively holding all ships to the same standards set
for U.S. ships is key to shifting the balance. This proposal would
allow the U.S. to hold mariners aboard all vessels entering its ports
to the same competency standards which the U.S. holds its own vessels,
without foreign retaliation. Consequently, U.S. vessels visiting
foreign ports would not be faced with increased scrutiny that could
result in costly vessel delays. Such delays would otherwise likely
decrease the value of trade carried in U.S. bottoms. Conversely, under
this proposal, the U.S. could expect to increase its market share of
cargo carried which could result from the more even competitive playing
field accorded U.S. and foreign fleets because of this proposal.
Appendix F provides a summary of the value of U.S. international trade
and ocean trade worldwide.
U.S. ships only carry about 8 percent of the value of U.S. export
trade and 7 percent of the value of U.S. import trade. If, as a result
of complying with international standards proposed in this rulemaking,
U.S. vessels gain one tenth of one percent of the value of U.S.
international trade in any given year of implementation (approximately
$56,000,000), the annual benefits will outweigh the costs.
On average, there were 29 fatalities and 76 injuries annually as a
result of errors that potentially could be linked to training
deficiencies. The training required by this proposal has the potential
to significantly decrease the number of fatalities and injuries in
maritime transportation. Based on the $27,700,000 value of a human
life, if this proposal causes a reduction in the number of fatalities
by 17 in 1997, 13 in 1998-2001, and 55 in 2002-2003, the benefits will
exceed the costs.
The complex cumulative effect of human error makes it difficult to
quantify the exact benefits of the proposed rulemaking. One way to
reduce the risks associated with human error in operating seagoing
ships is to ensure that seafarers maintain the highest practicable
standards of training, certification, and competence. The proposal is
intended to reduce the risk of maritime casualties and pollution
incidents caused by human error. Benefits are expected to accrue from a
reduction of shipboard accidents and injuries because personnel will
have an increased awareness of safe shipboard practices. As the Coast
Guard reviews comments resulting from the proposal and formulates a
final rule, further review of benefits based on risk is anticipated.
Small Entities
Under the Regulatory Flexibility Act [5 U.S.C. 601 et seq.], the
Coast Guard must consider whether this proposal, if adopted, would have
a significant economic impact on a substantial number of small
entities. ``Small entities'' may include independently owned and
operated small businesses that are not dominant in their field and that
otherwise qualify as ``small business concerns'' under Section 3 of the
Small Business Act (15 U.S.C. 632). ``Small entities'' also include
small not-for-profit organizations and small governmental
jurisdictions.
The proposed rule has built in sufficient flexibility and options
to allow small entities to comply with its proposed requirements at
modest cost. For the most part, it is expected to affect only large
business enterprises and individuals mariners. There is no requirement
that one entity perform all the STCW training and assessment
requirements that are being proposed.
Those small entities engaged in training may choose to obtain
assessment from individual qualified assessors who may also be
organized as small entities. The Coast Guard does not limit the
arrangements as to who may offer instruction or assessment. Any
combination may be used by a mariner to achieve the desired
qualifications licenses, or certificates.
The proposed rule applies to individual mariners and allows for
small entities to remain in and actively compete in the maritime-
training sector of the maritime industry with options to teach and
assess as many courses or functions as any entity chooses. The proposal
covers requirements that
[[Page 13300]]
would not begin to go into effect until early 1997, through the phase-
in period.
Because of these accommodations and characteristics, the Coast
Guard certifies under 5. U.S.C. 605(b) that this proposal will not have
a significant economic impact on a substantial number of small
entities.
Collection of Information
Under the Paperwork Reduction Act [44 U.S.C. 3501 et seq.], the
Office of Management and Budget (OMB) reviews each proposed rule that
contains a collection-of-information requirement to determine whether
the practical value of the information is worth the burden imposed by
its collection. Collection-of-information requirements include
reporting, recordkeeping, notification, and other, similar
requirements.
This proposal contains collection-of-information requirements in
the following sections: 10.304 (training and assessment-record books);
10.309 and 12.03-1 (approved training); and 15.411 (maintenance of
seamen's records by owner or operator). The following particulars
apply:
Training conducted on board ships, when part of an approved program
based on 1 year of seagoing service for deck licenses (6 months for
engineer licenses), would have to make use of a training- and
assessment-record book to document that required training and
assessment of competency has been completed properly. The books would
be submitted to the Coast Guard as part of an application for a
license.
The QSS that would monitor training and assessment to ensure that
they were meeting objectives would compel organizations offering
training to document certain information and to maintain records for 1
year. The records would cover such matters as the course syllabus,
students performance, and the qualifications of instructors and
examiners. Additionally, an independent evaluation would need to be
documented periodically. Records would be subject to review by the
Coast Guard in its oversight function to ensure that training and
assessment satisfy minimum conditions.
The proposed rule would allow for wide variation in the means for
complying with new requirements to ensure that the scope of the QSS is
reasonably related to the scope of training and assessment conducted by
the entity concerned.
Companies owning or operating U.S.-documented seagoing vessels
would have to arrange for the maintenance of certain records concerning
the medical fitness, experience, training, and competence, of the
seamen employed or engaged on their ships. The records could be
maintained by a third party on behalf of the company, but they would
need to be readily accessible to those in management responsible for
the safety of vessel operations and the prevention of marine pollution.
The recordkeeping requirement would be in effect only during the period
of service of the seaman concerned.
The proposed rest-hour schedule would require documentation
necessary for the safe operation of the vessel. This would ensure that
the crew was informed of rest-hour requirements.
The proposed recordkeeping generally reflects routine practices for
U.S. ship-operating companies and training institutions. However, the
international rules in STCW were drafted to apply to companies and
training programs worldwide. In due course, by its obligation under
STCW as amended, the United States must demonstrate to the IMO that it
has in place certain specific regulations that implement the
international rules.
Dot No: 2115.
Administration: U.S. Coast Guard.
Title: Implementation of the 1995 Amendments to the International
Convention on Standards of Training, Certification and Watchkeeping for
Seafarers, 1978 (STCW).
Need for Information: To ensure compliance with international
requirements, and to maintain an acceptable level of quality in the
training and assessment of merchant mariners.
Proposed use of Information: The Coast Guard would have access to
information to monitor compliance with regulations and to identify
where corrective action may be needed. Coast Guard officials involved
in issuing licenses, documents, and STCW certificates would have a
reliable source for determining whether training and assessment had
been completed by candidates in accordance with domestic and
international rules.
Frequency of Response: Under this proposed rule, records would have
to be maintained for 1 year. In one case a certification of continued
compliance would have to be provided to the Coast Guard once a year.
Burden Estimate: 40,215 hours.
Respondents: 28,645.
Form(s): N/A.
Average Burden-Hours per Respondent: 1.4 hours.
The Coast Guard has submitted the requirements to OMB for review
under Sec. 3504(h) of the Paperwork Reduction Act. Persons submitting
comments on the requirements should submit their comments both to OMB
and to the Coast Guard where indicated under ADDRESSES.
Federalism
The Coast Guard has analyzed this proposal under the principles and
criteria contained in Executive Order 12612 and has determined that
this proposal does not have sufficient federalism implications to
warrant the preparation of a Federalism Assessment.
This rulemaking should not have a direct impact on State, local, or
tribal governments. However, States that operate or charter maritime-
training institutions would have to bring the relevant training
programs into line with the new requirements. For the most part, the
existing State-sponsored maritime-training institutions have programs
that would need little adjustment to meet the new requirements. And the
accreditation process for these institutions should satisfy the new
quality-assurance provisions.
Environment
The Coast Guard considered the environmental impact of this
proposed rule proposal and concluded that, under paragraph
2.B.2.e(34)(C) of Commandant Instruction M16475.1B, this rulemaking is
categorically excluded from further environmental documentation.
This rulemaking would have no direct environmental impact. The
implementation of the 1995 Amendments to STCW should reduce the risk
that human error will result in a maritime casualty or pollution
incident by ensuring that seafarers on seagoing ships are meeting the
highest practicable standards of competence. However, there are few
objective criteria for quantifying the reduction in this risk. A
``Categorical Exclusion Determination'' is available in the docket for
inspection or copying where indicated under addresses.
List of Subjects
46 CFR Part 10
Fees, Marine safety, Incorporation by reference, Reporting and
recordkeeping requirements, Schools, Seamen, Vessels.
46 CFR Part 12
Fees, Marine safety, Incorporation by reference, Reporting and
recordkeeping requirements, Schools, Seamen, Vessels.
46 CFR Part 15
Marine safety, Navigation (water), Incorporation by reference,
Reporting and recordkeeping requirements,
[[Page 13301]]
Schools, Seamen, Vessel manning, Vessels.
For the reasons set out in the preamble, the Coast Guard proposes
to amend 46 CFR parts 10, 12, and 15 as follows:
PART 10--LICENSING OF MARITIME PERSONNEL
1. the authority citation for part 10 continues to read as follows:
Authority: 31 U.S.C. 9701; 46 U.S.C. 2103, 7101, 7106, 7107; 49
CFR 1.45, 1.46; Sec. 10.107 also issued under the authority of 44
U.S.C. 3507.
2. Section 10.101 is amended by revising paragraphs (a) and (c) to
read as follows:
Sec. 10.101 Purpose of regulations.
(a) The purpose of the regulations in this part are to provide--
(1) A comprehensive means of determining the qualifications an
applicant must possess to be eligible for a license as deck officer,
engineer, pilot, radio officer, or radio operator on merchant vessels,
or for a license to operate uninspected towing vessels or uninspected
passenger vessels, or for a certificate of registry as staff officer;
and
(2) A means of determining that an applicant is competent to serve
as a master, chief mate, officer in charge of a navigational watch,
chief engineer officer, second engineer officer, officer in charge of
an engineering watch, designated duty engineer, or radio operator, in
accordance with the provisions of the International Convention on
Standards of Training, Certification and Watchkeeping for Seafarers,
1978, as amended (STCW), and to receive the appropriate certificate or
endorsement as required by STCW.
* * * * *
(c) The regulations in subpart C of this part prescribe the
requirements applicable to--
(1) Each approved training course if the training course is to be
acceptable as a partial substitute for service or for a required
examination, or as training required for a particular license or
license endorsement; and
(2) All training and assessment associated with meeting the
standards of competence established by STCW.
3. Section 10.102 is added to read as follows:
Sec. 10.102 Incorporation by reference.
(a) Certain material is incorporated by reference into this part
with the approval of the Director of the Federal Register under 5
U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that
specified in paragraph (b) of this section, the Coast Guard must
publish notice of change in the Federal Register and the material must
be available to the public. All approved material is available for
inspection at the Office of the Federal Register, 800 North Capitol
Street NW., Suite 700, Washington, DC, and at the U.S. Coast Guard,
Operating and Environmental Standards Division, 2100 Second Street SW.,
Washington, DC 20593-0001, and is available from the sources indicated
in paragraph (b) of this section.
(b) The material approved for incorporation by reference in this
part and the sections affected are as follows:
International Maritime Organization (IMO)
4 Albert Embankment, London, SE1 7SR, England.
Amendments to the Annex to the International Convention on
Standards of Training, Certification and Watchkeeping for Seafarers,
1978 (STCW), and the associated Seafarers' Training, Certification and
Watchkeeping Code (STCW Code), as adopted under resolutions 1 and 2,
respectively, by the Conference of Parties to the International
Convention of Standards of Training, Certification and Watchkeeping for
Seafarers, 1978, held at IMO from June 26 to July 7, 1995--10.103;
10.205; 10.304; 10.480; 10.602; 10.901.
4. Section 10.103 is amended by adding in alphabetical order the
following new definitions to read as follows:
Sec. 10.103 Definitions of terms used in this part.
Approved training means training that is approved by the Coast
Guard or meets the requirements of Sec. 10.309.
* * * * *
Coast-Guard-accepted means that the Coast Guard has officially
acknowledged in writing that the material or process at issue meets the
applicable requirements; that the Coast Guard has issued an official
policy statement listing or describing the material or process as
meeting the applicable requirements; or that an entity acting on behalf
of the Coast Guard under a Memorandum of Agreement has determined that
the material or process meets the applicable requirements.
* * * * *
Designated examiner means an individual who has been trained or
instructed in techniques of training or assessment and is otherwise
qualified to evaluate whether a candidate for a license, document, or
endorsement has achieved the level of competence required to hold the
license, document, or endorsement. This individual may be designated by
the Coast Guard or by a Coast-Guard-approved program of training or
assessment.
* * * * *
Practical demonstration means the performance of an activity under
the direct observation of a designated examiner for the purpose of
establishing that the performer is sufficiently proficient in a
practical skill to meet a specified standard of competence or other
objective criterion.
Qualified instructor means an individual who has been trained or
instructed in instructional techniques and is otherwise qualified to
provide required training to candidates for licenses, documents, and
endorsements.
* * * * *
Standard of competence means the level of proficiency to be
achieved for the proper performance of duties on board vessels in
accordance with national and international criteria.
STCW endorsement means a certificate or endorsement issued in
accordance with the International Convention on Standards of Training,
Certification and Watchkeeping for Seafarers, 1978, as amended (STCW).
An STCW endorsement issued by the Officer in Charge, Marine Inspection,
will be valid only when accompanied by the appropriate U.S. license or
document; and, if the license or document is revoked, then the
associated STCW endorsement will no longer be valid for any purpose.
* * * * *
5. In Sec. 10.107, paragraph (b)(3) is added to read as follows:
Sec. 10.107 Paperwork approval.
* * * * *
(b) * * *
(3) OMB 2115--46 CFR 10.304, 10.309.
6. In Sec. 10.201, paragraph (a) is revised to read as follows:
Sec. 10.201 Eligibility for licenses and certificates of registry,
general.
(a) The applicant shall establish to the satisfaction of the
Officer in Charge, Marine Inspection (OCMI), that he or she possesses
all of the qualifications necessary (e.g., age, experience, character
references and recommendations, physical examination, citizenship,
approved training, passage of a professional examination, as
appropriate, and, when required by this part, a practical demonstration
of skills) before the OCMI will issue a license or certificate of
registry.
* * * * *
[[Page 13302]]
7. In Sec. 10.202, paragraph (j) is added to read as follows:
Sec. 10.202 Issuance of licenses and certificates of registry.
* * * * *
(j) When an original license is issued, renewed, upgraded, or
otherwise modified, the Officer in Charge, Marine Inspection (OCMI),
will determine whether the holder of the license must hold an STCW
certificate or endorsement for service on a seagoing vessel and, if so,
and if the holder is qualified, will issue the appropriate certificate
or endorsement. The OCMI will also issue an STCW certificate or
endorsement at other times, if circumstances so require and if the
holder of the license is qualified to hold the certificate or
endorsement.
8. In Sec. 10.205, paragraph (g) is revised, and paragraphs (k),
(l), (m), (n), (o), and (p) are added, to read as follows:
Sec. 10.205 Requirements for original licenses and certificates of
registry.
* * * * *
(g) Firefighting certificate. (1) Applicants for licenses in the
following categories shall each present a certificate of completion
from an approved course or approved training in firefighting. The
course must be sufficient to establish that the applicant meets the
standard of competence in basic and advanced firefighting set forth in
STCW Regulations VI/1 and VI/3. The course must have been completed 5
years or less before the date of application for the license requested:
(i) All masters' or mates' licenses for service on vessels in ocean
or near-coastal service.
(ii) All licenses for operators of uninspected passenger vessels
for service beyond the boundary line.
(iii) All licenses for service on mobile offshore drilling units.
(iv) all engineers' licenses.
(2) The officer in charge, Marine Inspection (OCMI), may accept a
certificate of completion from an approved course or approved training
in firefighting designed for a particular ship or type of service;
however, in that case, the OCMI will limit the endorsement by
indicating the ship or type of service.
* * * * *
(k) Competence in the use of Automatic Radar-Plotting Aids (ARPA).
(1) Subject to paragraph (j)(2) of this section, all candidates for
masters' or mates' licenses for service on vessels in ocean or near-
coastal service, or for licenses for operators of uninspected passenger
vessels for service beyond the boundary line, shall each present a
certificate of completion from an approved course or approved training
on an ARPA simulator. The course must be sufficient to establish that
the applicant is competent to maintain safe navigation through the
proper use of ARPA, by correctly interpreting and analyzing the
information obtained from that device and taking into account both the
limitations of the equipment and the prevailing circumstances and
conditions. The simulator used in the course must meet or exceed the
performance standards established under STCW Regulation I/12 of the
1995 Amendments.
(2) Training and assessment in the use of ARPA is not required for
those who serve exclusively on ships not fitted with ARPA. However,
when the simulator training has not been completed, the license must be
endorsed to indicate this limitation.
(l) Certificate for operator of radio in the Global Maritime
Distress and Safety System (GMDSS). (1) Subject to paragraph (l)(2) of
this section, candidates for all masters' or mates' licenses for
service on vessels in ocean or near-coastal service shall each present
either a certificate for operator of radio in the GMDSS issued by the
Federal Communication Commission (FCC) or a certificate of completion
from a Coast-Guard- or an FCC-approved course for operator of radio in
the GMDSS. The course must be sufficient to establish that the
applicant is competent to perform radio duties on a ship participating
in the GMDSS and meets the standard of competence under STCW Regulation
IV/2 of STCW.
(2) Candidates intending to serve only on ships not required to
comply with the provisions of the GMDSS in Chapter IV of SOLAS need not
comply with those of paragraph (k)(1) of this section.
(m) Personal survival techniques. (1) Applicants for licenses in
the following categories shall each present a certificate of completion
from an approved course or approved training in personal survival
techniques. The course must be sufficient to establish that the
applicant meets the standard of competence under STCW Regulation VI/1
and table A-VI/1-1 of the STCW Code. The course must have been
completed 5 years or less before the date of application for the
license requested:
(i) All masters' or mates' licenses for service on vessels in ocean
or near-coastal service.
(ii) All licenses for operators of uninspected passenger vessels
for service beyond the boundary line.
(iii) All licenses for service on mobile offshore frilling units.
(iv) All engineers' licenses.
(2) The officer in charge, Marine Inspection (OCMI), may accept a
certificate of completion from an approved course or approved training
in firefighting designed for a particular ship or type of service;
however, in that case the OCMI will limit the endorsement by indicating
the ship or type of service.
(n) Personal safety and social responsibilities. (1) Applicants for
licenses in the following categories shall each present a certificate
of completion from an approved course or approved training in personal
safety and social responsibilities. The course must be sufficient to
establish that the applicant meets the standard of competence under
STCW Regulation VI/1 and table A-VI/1-4 of the STCW Code. The course
must have been completed 5 years or less before the date of application
for the license requested:
(i) All masters' or mates' licenses for service on vessels in ocean
or near-coastal service.
(ii) All licenses for operators of uninspected passenger vessels
for service beyond the boundary line.
(iii) All licenses for service on mobile offshore drilling units.
(iv) All engineers' licenses.
(2) The officer in charge, Marine Inspection (OCMI), may accept a
certificate of completion from an approved course or approved training
in firefighting designed for a particular ship or type of service;
however, in that case, the OCMI will limit the endorsement by
indicating the ship or type of service.
(o) Procedures for bridge team-work. Candidates for all masters' or
mates' licenses for service on vessels in ocean or near-coastal service
shall each present sufficient documentary proof that they understand
and can effectively apply procedures for bridge team-work as an
essential aspect of maintaining a safe navigational watch, taking into
account the principles of bridge-resource management enumerated in
section B-VIII/2 of the STCW Code.
(p) Practical demonstration of skills. Candidates for original
licenses must each successfully complete any practical demonstrations
required under this part and appropriate to the particular licenses
concerned, to prove that they are sufficiently proficient in skills
required under subpart I of this part. The OCMI must be satisfied as to
the authenticity and acceptability of all evidence that each candidate
has successfully completed those demonstrations in the presence of a
designated examiner. The OCMI will place in each candidate's file a
written record of the skills required, the results
[[Page 13303]]
of the practical demonstrations, and the identification of the
designated examiner in whose presence those occurred.
9. In Sec. 10.207, the section heading, the heading for paragraph
(c), and paragraph (c)(1) are revised to read as follows:
Sec. 10.207 Requirements for raise in grade of license.
* * * * *
(c) Age, experience, training, and assessment. (1) Applicants for a
raise of grade of licenses shall establish that they possess the age,
experience, and training qualifications necessary, and that they have
been examined and otherwise assessed as may be required by this part to
establish competence to hold the particular license requested, before
they are entitled to a raise in grade of license.
* * * * *
10. In Sec. 10.209, paragraphs (k), (l), and (m) are added to read
as follows:
Sec. 10.209 Requirements for renewal of licenses and certificates of
registry.
* * * * *
(k) After July 31, 1998, each applicant for renewal of a license in
any of the following categories shall meet the applicable requirements
of Secs. 10.205(g), 10.205(l), and 10.205(m) unless he or she has
previously done so:
(1) All masters' or mates' licenses for service on vessels in ocean
or near-coastal service.
(2) All licenses for operators of uninspected passenger vessels for
service beyond the boundary line.
(3) All licenses for service on mobile offshore drilling units.
(4) All engineers' licenses.
(l) After July 31, 1998, each applicants for renewal of a license
in any of the following categories of license shall provide evidence of
having both demonstrated competence in firefighting, personal survival
techniques, and personal safety and social responsibility and been
examined or continuously assessed in these areas as part of an approved
training program, within the previous 5 years:
(1) All masters' or mates' licenses for service on vessels in ocean
or near-coastal service.
(2) All licenses for operators of uninspected passenger vessels for
service beyond the boundary line.
(3) All licenses for service on mobile offshore drilling units.
(4) All engineers' licenses.
(m) After July 31, 1998, each applicant for renewal of any master's
or mate's license for service on vessels in ocean or near-coastal
service, or any license for operator of an uninspected passenger vessel
for service beyond the boundary line, shall meet the applicable
requirements of Secs. 10.205(k), 10.205(l), and 10.205(o) if he or she
has not previously done so.
11. In Sec. 10.304, the heading is revised and paragraphs (e), (f),
and (g) are added to read as follows:
Sec. 10.304 Substitution of training for required service, and use of
training- and assessment-record books.
* * * * *
(e) Where a candidate for ocean and near-coastal deck licenses uses
completion of approved training to substitute for required service,
then not less than 1 year of the remaining service must be part of
approved training that meets the appropriate requirements of Chapter II
of STCW and the requirements of subpart C of this part. The candidate's
training must be documented in a Coast-Guard-accepted training- and
assessment-record book.
(f) Each candidate for an engineer's licenses for service on
seagoing vessels shall complete onboard training as part of approved
training that meets the appropriate requirements of Chapter III of STCW
and the requirements of subpart C of this part. The training must be
documented in a Coast-Guard-accepted training- and assessment-record
book.
(g) The training- and assessment-record book referred to in
paragraphs (e) and (f) of this section must contain at least the
following:
(1) Identification of the candidate, including full name, home
address, photograph or photo-image, and personal signature.
(2) The objectives of the training and assessment.
(3) The tasks to be performed or the skills to be demonstrated,
based on the standards of competence set forth in the tables of the
appropriate sections in Part A of the STCW Code.
(4) The criteria to be used in determining that the tasks or skills
have been performed properly, based on the standards of competence set
forth in the tables of the appropriate sections in Part A of the STCW
Code.
(5) A place for a qualified instructor to indicate by his or her
initials that the candidate has received training in the proper
performance of the task or skill.
(6) A place for a qualified examiner to indicate by his or her
initials that the candidate has successfully completed a practical
demonstration and has proved competent in the task or skill under the
criteria.
(7) Identification of each qualified instructor by full name, home
address, employer, job title, ship name or business address, number of
any Coast Guard license or document held, and personal signature.
(8) Identification of each designated examiner by full name, home
address, employer, job title, ship name or business address, number of
any Coast Guard license or document held, and personal signature
confirming that his or her initials certify that he or she has
witnessed the practical demonstration of a particular task or skill by
the candidate.
12. Section 10.309 is added to read as follows:
Sec. 10.309 Approved training other than approved courses.
(a) When the training and assessment of competence required by
these regulations are not subject to Sec. 10.302 of this part and are
not being used to substitute for seagoing service, they must meet the
following requirements:
(1) The training and assessment program must have written, clearly
defined objectives that emphasize specific knowledge, skills, and
abilities, and include criteria to use in establishing a candidate's
successful achievement of the objectives.
(2) The training must be set out in a written syllabus that
conforms to a Coast-Guard-accepted outline for such training and
includes--
(i) The sequence of subjects to be covered;
(ii) The number of classroom hours in the presence of a qualified
instructor to be spent on each subject;
(iii) The identity and professional qualifications of the
instructor(s) to be conducting the training;
(iv) The identification of other media or facilities to be used in
conducting training; and
(v) Measurements at appropriate intervals of each candidate's
progress toward acquisition of the specific knowledge, skills, and
abilities stated in the objectives.
(3) Except as provided in paragraphs (a)(4) and (a)(5) of this
section, documentary evidence must be readily available to establish
that all instructors--
(i) Have experience, training, or instruction in effective
instructional techniques;
(ii) Are qualified in the task for which the training is being
conducted; and
(iii) Hold the level of license, endorsement, or other professional
credential required of those who would apply, on board a vessel, the
relevant level of knowledge, abilities, and skills described in the
training objectives.
(4) Neither a specialist in a particular field of non-maritime
education, such as
[[Page 13304]]
mathematics or first aid, nor an individual with at least 3 years of
service as a member of the Armed Forces of the United States
specializing in the field in which he or she is to conduct training,
need hold a maritime license or document to conduct training in that
field.
(5) A simulator may be used in training if--
(i) The simulator meets applicable performance standards;
(ii) The instructor has gained practical operational experience on
the particular type of simulator being used; and
(iii) The instructor employing the simulator has received
appropriate guidance in instructional techniques involving the use of
simulators.
(6) Essential equipment and instructional materials must afford all
candidates adequate opportunity to participate in exercises and acquire
practice in performing required skills.
(7) A process or routinely assessing the effectiveness of the
instructors, including the use of confidential evaluations by
candidates, must be in place.
(8) Records of candidates' performance must be maintained for at
least a year.
(9) To ensure that the training is meeting its objectives and the
requirements of paragraph (a) of this section, its offeror must monitor
it at suitable intervals in accordance with a Coast-Guard-accepted
quality-standards system, which must include the following features:
(i) Those monitoring the trading, shall be persons knowledgeable
about the subjects being monitored and about the national and
international requirements that apply to the training, and they shall
not themselves be involved in the training.
(ii) Those monitoring the training must enjoy convenient access to
all appropriate documents and facilities, and opportunities both to
observe all appropriate activities and to conduct confidential
interviews when necessary.
(iii) Arrangements must be such as to ensure that persons
monitoring the training are not penalized or rewarded, directly or
indirectly, by the sponsor of the training for making any particular
observations or for reaching any particular conclusions.
(10) Those monitoring the training shall communicate their
conclusions to the Coast Guard within 1 month of the completion of the
monitoring.
(11) Upon prior notice by the Coast Guard, those providing the
training shall let the Coast Guard observe the training and review
documentation relating to paragraphs (a)(1) through (a)(10) of this
section.
(b) The Coast Guard will maintain a list of training each of whose
providers annually submits a certificate, signed by the provider or its
authorized representative, starting that the training fully complies
with requirements of this section. Training on this list will
presumptively offer the training necessary for licenses and STCW
endorsements under this part. The Coast Guard will update this list
periodically and make it available to members of the public on request.
(c) If the Coast Guard determines, on the basis of observations or
conclusions either of its own or by those monitoring the training, that
particular training does not satisfy one or more of the conditions
described in paragraph (a) of this section--
(1) The Coast Guard will so notify the provider of the training by
letter enclosing a report of the observations and conclusions;
(2) The provider will have a specified period to appeal the
conclusions to the appropriate official at Coast Guard Headquarters, or
to bring the training into compliance; and
(3) If the appeal is denied--or the deficiency is not corrected in
the allotted time, or within any additional period held by the Coast
Guard, considering progress toward compliance, to be appropriate--the
Coast Guard will remove the training from the list referred to in
paragraph (b) of this section until it can verify full compliance; and
it may deny applications based in whole or in part on training not on
the list until additional training or assessment can be documented.
13. In Sec. 10.480, paragraph (d)(1) is added and paragraph (d)(20
is added and reserved to read as follows:
Sec. 10.480 Radar observer.
* * * * *
(d) * * *
(1) Each applicant for an STCW certificate or endorsement as master
or deck officer must complete approved radar-simulator training that
meets the appropriate requirements of sections A-I/12 and A-II of the
STCW Code.
* * * * *
14. Section 10.601 is revised to read as follows:
Sec. 10.601 Applicability.
This subpart provides for the licensing of radio officers for
employment on vessels, and for the certification of radio operators for
service on ships subject to the provisions on the Global Maritime
Distress and Safety System (GMDSS) of Chapter IV of SOLAS.
15. In Sec. 10.603, the heading is revised, and paragraphs (d) and
(e) are added to read as follows:
Sec. 10.602 Requirements for radio offices' licenses and radio
operators' certificates.
* * * * *
(d) Each applicant for a radio operator's certificate required for
service on ships subject to the Global Maritime Distress and Safety
System (GMDSS) shall provide evidence that he or she meets the standard
of competence set out in STCW Regulation IV/2 including the competence
to transmit and receive information using subsystems of GMDSS, to
fulfill the functional requirements of GMDSS, and to provide radio
services in emergencies.
(e) Evidence required by paragraph (d) of this section must include
a certificate of completion of a Coast Guard-approved or FCC-approved
course on the GMDSS.
16. In Sec. 10.901, paragraphs (c) and (d) are added to read as
follows:
Sec. 10.901 General provisions.
* * * * *
(c) Each applicant for a license for service in the following
capacities on vessels that operate beyond the boundary line must also
provide sufficient documentary evidence that he or she has successfully
performed practical demonstrations using one or more of the methods for
demonstrating competence authorized under the tables set out under the
appropriate regulations of STCW:
(1) Deck Department--(i) Officer in charge of the navigational
watch on seagoing ships of 500 gross tons or more.
(ii) Officer in charge of the navigational watch on seagoing ships
of less than 500 gross tons not engaged on near-coastal voyages.
(iii) Officer in charge of the navigational watch on seagoing ships
of less than 500 gross tons engaged on near-coastal voyages.
(iv) Master and chief mate on seagoing ships of 3,000 gross tons or
more.
(v) Master and chief mate on seagoing ships of between 500 and
3,000 gross tons or more.
(vi) Master on seagoing ships of less than 500 gross tons not
engaged on near-coastal voyages.
(vii) Master on seagoing ships of less than 500 gross tons engaged
on near-coastal voyages.
(2) Engine Department--(i) Officer in charge of the an engineering
watch in a manned engine-room on a seagoing ship.
[[Page 13305]]
(ii) Designated duty engineer in a periodically unmanned engine-
room on a seagoing ship.
(iii) Chief engineer officer of a seagoing ship driven by main
propulsion machinery of 3,000 kW [4,000 hp] of propulsion power or
more.
(iv) Second engineer officer of a seagoing ship driven by main
propulsion machinery of 3,000 kW [4,000 hp] of propulsion power or
more.
(v) Chief engineer officer of a seagoing ship powered by main
propulsion machinery of between 750 kW [1,000 hp] and 3,000 kW [4,000
hp] of propulsion power or more.
(vi) Second engineer officer of a seagoing ship driven by main
propulsion machinery of between 750 kW [1,000 hp] and 3,000 kW [4,000
hp] of propulsion power or more.
(d) Simulators used in assessment of competence under paragraph (c)
of this section must meet the appropriate performance standards set out
in section A-I/12 of the STCW Code. However, simulators installed or
brought into use before February 1, 2002, need not meet them so far as
they fulfill the objectives of the assessment of competence or
demonstration of proficiency.
17. In Sec. 10.910, the introductory text and table 10.910-2 are
revised to read as follows:
Sec. 10.910 Subjects for deck licenses.
On each topic indicated by an ``X'', each applicant for an ocean or
near-coastal license is subject to an assessment of his or her command
of the practical skills included within each professional topic, as
well as to a written test of his or her knowledge. On each topic
indicated by a ``T'' he or she is subject only to an assessment of
evidence obtained from his or her completion of approved training. On
each topic indicated by an ``A'' he or she is subject only to an
assessment of his or her command of those practical skills.
* * * * *
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18. Section 10.950 is revised to read as follows:
Sec. 10.950 Subjects for engineer licenses.
(a) On each topic indicated by an ``X'', each applicant for an
engineering license is subject to a written test of his or her
knowledge. On each topic indicated by a ``T'', he or she is subject
only to an assessment of evidence obtained from his or her completion
of approved training. On each topic indicated by an ``A'' he or she is
subject only to an assessment of his or her practical skills assessed
by an established regime of on-board practical factors, simulator
demonstration, or a combination.
(b) A distinct engineering license for steam-driven vessels of
limited power or tonnage is no longer practicable, because of the small
number of these vessels. When such a license is necessary for these
vessels, the owner or operator is responsible for the engineer's
competence in the operation of steam propulsion. Engineer licenses
endorsed for steam must first hold a comparable license for motor-
driven vessels and attend a course approved for limited steam engines.
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19. Subpart J, consisting of Secs. 10.1001 through 10.1005, is
added to read as follows:
Subpart J--Ro-Ro Passenger Ships
Sec.
10.1001 Purpose or regulations.
10.1003 Definitions.
10.1005 General requirement for license-holders.
Subpart J--Ro-Ro Passenger Ships
Sec. 10.1001 Purpose of regulations.
The purpose of the regulations in this subpart is to establish
requirements for officers serving on roll-on/roll-off (ro-ro) passenger
ships.
Sec. 10.1003 Definitions.
Roll-on/roll-off (ro-ro) passenger ship means a passenger ship with
ro-ro cargo spaces or special-category spaces as defined in the
International Convention for the Safety of Life at Sea, 1974, as
amended (SOLAS), and to which a SOLAS certificate is issued.
Sec. 10.1005 General requirement for license-holders.
To serve on a ro-ro passenger ship after January 30, 1997, a person
licensed as master, chief mate, licensed mate, chief engineer, or
licensed engineer shall meet the appropriate requirements of STCW
Regulation V/2 and section A-V/2 of the STCW Code, and hold documentary
evidence to show his or her meeting these requirements.
PART 12--CERTIFICATION OF SEAMEN
1. The authority citation for part 12 continues to read as follows:
Authority: 31 U.S.C. 9701; 46 U.S.C. 2101, 2103, 2110, 7301,
7302, 7503, 7505, 7701; 49 CFR 1.46.
2. Section 12.01-1 is revised to read as follows:
Sec. 12.01-1 Purpose of regulations.
(a) The purposes of the regulations in this part are to provide--
(1) A comprehensive and adequate means of determining the identity
or the qualifications an applicant must possess to be eligible for
certification to serve on merchant vessels of the United States; and
(2) A means of determining that an applicant is competent to serve
in a ``rating forming part of a navigational watch'' or a ``rating
forming part of an engine-room watch'', or is otherwise ``designated to
perform duties in a periodically unmanned engine-room'', on a seagoing
ship, in accordance with the provisions of the International Convention
on Standards of Training, Certification and Watchkeeping for Seafarers,
1978, as amended (STCW), and to receive the certificate or endorsement
required by STCW.
(b) The regulations in subpart 12.03 of this part prescribe the
requirements applicable to all training and assessment associated with
meeting the standards of competence established by STCW.
3. Section 12.01-3 is added to read as follows:
Sec. 12.01-3 Incorporation by reference.
(a) Certain material is incorporated by reference into this part
with the approval of the Director of the Federal Register under 5
U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that
specified in paragraph (b) of this section, the Coast Guard must
publish notice of change in the Federal Register and the material must
be available to the public. All approved material is available for
inspection at the Office of the Federal Register, 800 North Capitol
Street NW., Suite 700, Washington, DC, and at the U.S. Coast Guard,
Operating and Environmental Standards Division, 2100 Second Street SW.,
Washington, DC, and is available from the sources indicated in
paragraph (b) of this section.
(b) The material approved for incorporation by reference in this
part and the sections affected are as follows:
International Maritime Organization (IMO)
4 Albert Embankment, London, SE1 7SR, England.
Amendments to the Annex to the International Convention on
Standards of Training, Certification and Watchkeeping for Seafarers,
1978 (STCW), and the associated Seafarers' Training, Certification and
Watchkeeping Code (STCW Code), as adopted under resolutions 1 and 2,
respectively, by the Conference of Parties to the International
Convention on Standards of Training, Certification and Watchkeeping for
Seafarers, 1978, held at IMO from June 26 to July 7, 1995--12.01-1;
12.01-6; 12.02-7; 12.02-11; 12.05-3; 12.05-7; 12.10-3; 12.10-9; 12.10-
11; 12.15-3; 12.15-7; 12.25-45; 12.30-5.
4. Section 12.01-6 is amended by adding in alphabetical order the
following new definitions to read as follows:
Sec. 12.01-6 Definitions of terms used in this part.
Approved training means training that is approved by the Coast
Guard or otherwise meets the requirements of Sec. 12.03-1.
Coast-Guard-accepted means that the Coast Guard has officially
acknowledged in writing that the material or process at issue meets the
applicable requirements; that the Coast Guard has issued an official
policy statement listing or describing the material or process as
meeting the applicable requirements; or that an entity acting on behalf
of the Coast Guard under a Memorandum of Agreement has determined that
the material or process meets the applicable requirements.
Designated examiner means an individual who is trained or
instructed in assessment techniques and is otherwise qualified to
evaluate whether a candidate for a license, document, or endorsement
has achieved the level of competence required to hold the license,
document, or endorsement. This individual may be designated by the
Coast Guard, or is designated as part of a Coast Guard-approved
training or assessment program.
* * * * *
Practical demonstration means the performance of an activity under
the direct observation of a designated examiner for the purpose of
establishing that the performer is sufficiently proficient in a
practical skill to meet a specified standard of competence or other
objective criterion.
Qualified Instructor means an individual who has been trained or
instructed in instructional techniques and is otherwise qualified to
provide required training to candidates for licenses, documents, and
endorsements.
* * * * *
Standard of competence means the level of proficiency to be
achieved for the proper performance of duties on board vessels in
accordance with national and international criteria.
STCW endorsement means a certificate or endorsement issued in
accordance with the International Convention on Standards of Training,
Certification and Watchkeeping for Seafarers, 1978, as amended (STCW).
An STCW endorsement issued by the Officer in Charge, Marine Inspection
shall be valid only when accompanied by the appropriate U.S. license or
document; and if the license or document is revoked, then the
associated STCW endorsement is no longer valid for any purpose.
5. In Sec. 12.02-7, paragraphs (d) and (e) are added to read as
follows:
Sec. 12.02-7 When documents are required.
* * * * *
(d) Every individual serving as a rating forming part of a
navigational watch on a seagoing ship of 500 gross tons or more shall
hold an STCW
[[Page 13316]]
endorsement certifying him or her as qualified to perform the
navigational function at the support level, in accordance with STCW.
(e) Every individual who are serving in a rating forming part of a
watch in a manned engine-room or designated to perform duties in a
periodically unmanned engine-room, on a seagoing ship driven by main
propulsion machinery of 750 kW [1,000 hp] of propulsion power or more,
shall hold an STCW endorsement certifying him or her as qualified to
perform the marine-engineering function at the support level, in
accordance with STCW.
6. In Sec. 12.02-11, the heading is revised, and paragraphs (h) and
(i) are added, to read as follows:
Sec. 12.02-11 General provisions respecting merchant mariners'
documents.
* * * * *
(h) When a merchant mariner's document is issued, renewed, or
endorsed, the Officer in Charge, Marine Inspection (OCMI), will
determine whether the holder of the document is required to hold an
STCW endorsement for service on a seagoing vessel and, if so, and if
the holder is qualified, will issue the appropriate endorsement. The
OCMI will also issue an STCW endorsement at other times, if
circumstances so require if the holder of and the document is qualified
to hold the endorsement. The OCMI will issue an STCW endorsement for
the following ratings:
(1) A rating forming part of a navigational watch on a seagoing
ship of 500 gross tons or more if the holder of the document is
qualified in accordance with STCW Regulation II/4 and section A-II/4 of
the STCW Code, to perform the navigational function at the support
level.
(2) A rating forming part of a watch in a manned engine-room, if
the holder of the document is designated to perform duties in a
periodically unmanned engine-room, on a seagoing ship driven by main
propulsion machinery of 750 kW [1,000 hp] of propulsion power or more
and if the holder is qualified in accordance with STCW Regulation III/4
and section A-III/4 of the STCW Code, to perform the marine-engineering
function at the support level.
(i) At the request of the holder of the document, the OCMI may add
an endorsement to indicate that the holder has received familiarization
or basic safety-training required under, Chapter VI of STCW.
7. In Sec. 12.02-17, paragraph (e) is added to read as follows:
Sec. 12.02-17 Rules for the preparation and issuance of documents.
* * * * *
(e) An applicant for a merchant mariner's document shall provide a
document issued by a qualified medical practitioner attesting the
applicant's medical fitness to perform the functions for which the
document is issued.
* * * * *
8. Subpart 12.03, consisting of Sec. 12.03-1, is added to read as
follows:
Subpart 12.03--Approved Training
Sec.
12.03-1 Approved training other than approved courses.
Subpar 12.03--Approved Training
Sec. 12.03-1 Approved training other than approved courses.
(a) When training and assessment of competence required by these
regulations is not subject to the course-approval provisions of
Sec. 10.302 of this chapter, such training and assessment must meet the
following requirements:
(1) The program must have written, clearly defined objectives that
emphasize specific knowledge, skills, and abilities, and include
criteria to be used in establishing a student's successful achievement
of the training objectives.
(2) The course of training must be set out in a written syllabus
which conforms to a Coast-Guard-accepted outline for such training and
includes--
(i) The sequence of subjects to be covered;
(ii) The number of classroom hours (i.e., in the presence of a
qualified instructor) to be spent on each subject;
(iii) The identify and professional qualifications of the
instructor(s) to be conducting the training;
(iv) Identification of other media or facilities to be used in
conducting the training; and
(v) Measurements at appropriate intervals of each student's
progress toward acquisition of the specific knowledge, skills and
abilities stated in the training objectives.
(3) Documentary evidence must be readily available to establish
that all instructors--
(i) Have experience, training, or instruction in effective
instructional techniques;
(ii) Are qualified in the task for which the training is being
conducted; and
(iii) Hold the level of license, endorsement, or other professional
credential required of those who would apply, on board a vessel, the
relevant level of knowledge, abilities, and skills described in the
training objectives; provided, however--
(A) A specialist in a particular field of non-maritime education,
such as mathematics or first-aid, and an individual with at least 3
years of service as a member of the Armed Forces of the United States
specializing in the field in which he or she is to conduct training,
need not hold a maritime license or document to conduct training in
that field; and
(B) A simulator may be used in training if--
(1) The instructor employing the simulator has received appropriate
guidance in instructional techniques involving the use of simulators;
(2) The instructor has gained practical operational experience on
the particular type of simulator being used; and
(3) The simulator meets applicable performance standards.
(4) Essential equipment and instructional materials must be
conveniently available to allow all students adequate opportunity to
participate in exercises and acquire practice in performing required
skills.
(5) A process of routinely assessing the effectiveness of the
instructors, including the use of confidential student evaluations,
must be in place.
(6) Records of student performance must be maintained for a period
of not less than 1 year.
(7) A process must be in place for monitoring at suitable intervals
that the training program is meeting its training objectives and is
consistently applying the requirements in accordance with a Coast
Guard-accepted quality-standards system, which shall include, as a
minimum, the following:
(i) Those monitoring the training program shall be individuals who
are knowledgeable about the subject area being monitored and about the
national and international requirements which apply to the training
program, and they shall not themselves be involved in the activities
being monitored.
(ii) Persons engaged to conduct monitoring of training programs
must be provided convenient access to all appropriate documents and
facilities, as well as opportunities to observe all appropriate
activities, and to conduct confidential interviews when necessary.
(iii) Arrangements shall be such as to ensure that persons
performing monitoring activities shall not be directly or indirectly
penalized or rewarded by the sponsor of the training program being
monitored for making any particular observations or for reaching any
particular conclusions.
(8) The results of the monitoring must be communicated to the Coast
Guard within 1 month of completion of those activities.
[[Page 13317]]
(9) Upon prior notification by the Coast Guard, an opportunity must
be provided for the Coast Guard to observe training activities and
review documentation relating to paragraphs (a)(1) through (a)(10) of
this section.
(b) The Coast Guard will maintain a list of training programs which
annually submit a certification, signed by the sponsor or an authorized
representative of the sponsor, stating that the program is conducted in
a manner which fully complies with the requirements in offering a
specified course of approved training. Programs on this list will be
presumptively considered to offer approved training for the purposes of
evaluating materials supporting applications for licenses and STCW
endorsements under this part. This list shall be updated periodically
and made available to members of the public on request.
(c) If the Coast Guard determines, on the basis of an observation
of training activities or a review of relevant documentation, that a
particular program does not meet one or more of the conditions
described in paragraph (a) of this section--
(1) The Coast Guard will so notify the managers or sponsors of the
program by letter enclosing a report of the Coast Guard's observations
and its conclusions;
(2) The managers or sponsors of the program will have a specified
period to appeal the Coast Guard's conclusions to the appropriate
official at Coast Guard Headquarters, or to come into compliance with
the requirement where the program has been found to be deficient; and
(3) If the appeal is denied, or the deficiency is not corrected in
the allotted time, or within any additional period considered by the
Coast Guard to be appropriate considering progress toward compliance,
the training program shall be removed from the list referred to in
paragraph (b) of this section until full compliance can be established
by the Coast Guard, and applications which are based in whole or in
part on training received from a program at a time when it was not on
the list may be denied until additional training or assessment can be
documented.
9. In Sec. 12.05-3, paragraph (d) is revised, paragraph (e) is
amended by removing the period at the end and adding a semicolon in its
place, and paragraphs (f) and (g) are added to read as follows:
Sec. 12.05-3 General requirements.
* * * * *
(d) Pass an examination demonstrating ability as an able seaman and
lifeboatman with proficiency in survival craft and rescue boats;
* * * * *
(f) Complete approved basic safety-training as set out in STCW
Regulation VI/1 and section a-VI/1 of the STCW Code. This training must
encompass personal survival, firefighting and fire prevention,
elementary first aid, and personal safety and social responsibilities.
The Coast Guard may approve a basic safety-training program designed
for a particular ship or type of service; however, in that case, the
Coast Guard will limit the endorsement by indicating the ship or type
of service. The training must have been completed 5 years or less
before the date of application for the endorsement. For renewal, the
applicant shall prove that his or her competence in all the subjects
encompassed by the training has been assessed and established within
the last 5 years; and
(g) Meet the requirements of STCW Regulation II/4 and section A-11/
4 of the STCW Code, if the applicant will be serving in a rating
forming part of a navigational watch on a seagoing ship of 500 gross
tons or more.
10. In Sec. 12.05-7, paragraph (a)(5) is added before the note to
read as follows:
Sec. 12.05-7 Service or training requirements.
(a) * * *
(5) For a candidate to qualify to receive an STCW endorsement for
service in a ``rating forming part of a navigational watch'' on a
seagoing ship of 500 gross tons or more, the candidate's seagoing
service must include training and experience associated with
navigational watchkeeping and involve the performance of duties carried
out under the direct supervision of the master, the officer in charge
of the navigational watch, or a qualified rating. The training and
experience must be sufficient to establish that the candidate has
achieved the required standard of competence prescribed in table A-II/4
of the STCW Code, in accordance with the methods of demonstrating
competence and the criteria for evaluating competence specified in that
table.
* * * * *
11. In Sec. 12.05-11, the heading and paragraph (a) are revised to
read as follows:
Sec. 12.05-11 General provisions respecting merchant mariner's
document endorsed for service as able seaman.
(a) The holder of a merchant mariner's document endorsed for the
rating of able seaman may serve in any unlicensed rating in the deck
department without obtaining an additional endorsement; provided,
however, that the holder shall hold the appropriate STCW endorsement
when serving in a ``rating forming part of a navigational watch'' on a
seagoing ship of 500 gross tons or more.
* * * * *
12. In Sec. 12.10-3, the heading, paragraph (a) introductory text,
and paragraph (a)(6) are revised, and paragraph (c) is added, to read
as follows:
Sec. 12.10-3 General requirements.
(a) To be eligible for certification as lifeboatman with
proficiency in survival craft and rescue boats, an applicant shall be
at least 18 years of age, shall meet the requirements of STCW
Regulation VI/2, paragraph 1, and the appropriate provisions of section
A-VI/2 of the STCW Code, and shall meet one of the following
requirements:
* * * * *
(6) Successful completion of a training course, approved by the
Commandant, that includes a minimum of 30 hours' actual lifeboat
training; provided that the applicant produces evidence of having
served a minimum of 6 months at sea aboard ocean or coastwise vessels.
* * * * *
(c) To be eligible for certification as lifeboatman with
proficiency in survival craft and rescue boats, an applicant shall
receive approved basic safety-training as set out in STCW Regulation
VI/1 and section A-VI/1 of the STCW Code. This training must encompass
personal survival, firefighting and fire prevention, elemental first
aid, and personal safety and social responsibilities. The Officer in
Charge, Marine Inspection (OCMI), may approve a basic safety-training
program designed for a particular ship or type of service; however, in
that case, the OCMI will limit the endorsement by indicating the
particular ship or type of service. The training must have been
completed 5 years or less before the date of application for the
endorsement. For renewal, an applicant shall prove that his or her
competence has been assessed and established within the last 5 years.
Sec. 12.10-7 [Reserved].
13. Section 12.10-7 is removed and reserved.
14. Section 12.10-9 is added to read as follows:
[[Page 13318]]
Sec. 12.10-9 Certificates of proficiency in fast rescue boats.
(a) Every person engaged or employed in a rating as a lifeboatman
with proficiency in fast rescue boats shall hold a certificate of
proficiency in these boats or a merchant mariner's document endorsed
for proficiency in them.
(b) To be eligible for a certificate of proficiency in fast rescue
boats or a merchant mariner's document endorsed for proficiency in
these boats, an applicant must--
(1) Be qualified as a lifeboatman with proficiency in survival
craft and rescue boats under this subpart; and
(2) Provide sufficient proof that he or she has met the
requirements for training and competence of STCW Regulation VI/2,
paragraph 2, and the appropriate requirements of section A-VI/2 of the
STCW Code.
15. Section 12.10-11 is added to read as follows:
Sec. 12.10-11 Requirements for those designated to provide medical
care on board ship.
(a) Every person designated to provide medical first aid on board
ship, or to take charge of medical care on board ship, shall hold
documentary evidence indicating that the holder has attended a course
of training in medical first aid or medical care, as appropriate.
(b) The Coast Guard will issue such documentary evidence to the
person, or endorse his or her license or document, on being satisfied
that the training required under paragraph (a) of this section was
sufficient to establish that he or she meets the standards of
competence set out in STCW Regulation VI/4 and the provisions of
section A-VI/4 of the STCW Code.
16. In Sec. 12.15-3, paragraphs (d) and (e) are added to read as
follows:
Sec. 12.15-3 General requirements.
* * * * *
(d) To be eligible for certification as qualified member of the
engine department, an applicant shall complete approved basic safety-
training as set out in STCW Regulation VI/1 and section A-VI/1 of the
STCW Code. This training must encompass personal survival, firefighting
and fire prevention, elementary first aid, and personal safety and
social responsibilities. The Officer in Charge, Marine Inspection
(OCMI), may approve a basic safety-training program designed for a
particular ship or type of service; however, in that case, the OCMI
will limit the endorsement by indicating the particular ship or type of
service. The training must have been completed within 5 years or less
before the date of application for the endorsement. For renewal, the
applicant shall prove that his or her competence in all the subjects
encompassed by the training has been assessed and established within
the last 5 years.
(e) To be eligible for certification as qualified member of the
engine department, an applicant shall meet the requirements of STCW
Regulation III/4 and section A-II/4 of the STCW Code, if he or she will
be either serving in a rating forming part of a watch in a manned
engine-room or designated to perform duties in a periodically unmanned
engine-room on a seagoing ship driven by main propulsion machinery of
750 kW [1,000 hp] propulsion power or more.
17. in Sec. 12.15-7, paragraph (c) is added to read as follows:
Sec. 12.15-7 Service or training requirements.
* * * * *
(c) To qualify to receive an STCW endorsement as ``rating forming
part of a watch in a manned engine-room or designated to perform duties
in a periodically unmanned engine-room'' on a seagoing vessel driven by
main propulsion machinery of 750 kW [1,000 hp] propulsion power or
more, an applicant shall prove seagoing service that includes training
and experience associated with engine-room watchkeeping and involves
the performance of duties carried out under the direct supervision of a
qualified engineer officer or a member of a qualified rating. The
training must be sufficient to establish that the applicant has
achieved the standard of competence prescribed in table A-I/4 of the
STCW Code, in accordance with the methods of demonstrating competence
and the criteria for evaluating competence specified in that table.
18. in Sec. 12.15-11, the heading is revised, paragraphs (a)
through (j) are redesignated as paragraphs (1) through (10), the
introductory text is designated as paragraph (a), and paragraph (b) is
added, to read as follows:
Sec. 12.15-11 General provisions respecting merchant mariner's
document endorsed for service as qualified member of the engine
department.
* * * * *
(b) The holder of a merchant mariner's document endorsed for the
rating of qualified member of the engine department shall hold the
appropriate STCW endorsement when either serving in a ``rating forming
part of a watch in a manned engine-room or designated to perform duties
in a periodically unmanned engine-room'' on a seagoing vessel driven by
main propulsion machinery of 750 kW [1,000 hp] propulsion power or
more.
19. Section 12.25-45 is added to read as follows:
Sec. 12.25-45 Electronics technician.
(a) An applicant is eligible to have his or her merchant mariner's
document endorsed for the rating of electronics technician if he or she
holds a certificate of completion from--
(1) Approved training that includes instruction and assessment by
qualified instructors and designated examiners, and requires the
student both to complete appropriate examinations and practical
demonstrations to establish competence in the basic knowledge,
understanding, and skills necessary to perform maintenance, diagnosis,
and repair of electronic equipment and installations on board ships and
to make practical use of maintenance and repair manuals provided for
such equipment and installations; or
(2) An FCC- or Coast-Guard-approved course that covers at least the
scope and content of training outlined in section B-IV/2 of the STCW
Code for training in maintenance of GMDSS installations on board ships.
(b) Only an applicant fulfilling the requirements of paragraph
(a)(2) of this section may be designated to perform at-sea maintenance
requirements imposed by SOLAS Regulation IV/15.
(c) An applicant fulfilling only the requirements of paragraph
(a)(1) of this section will have his or her document endorsed as
follows: ``electronics technician--non-GMDSS.'' No one whose document
bears this endorsement may be designated to perform at-sea maintenance
of GMDSS installations when such a designation is used to meet the
maintence requirements imposed by SOLAS Regulation IV/15.
20. Subpart 12.30, consisting of 12.30-1 through 12.30-5, is added
to read as follows:
Subpart 12.30--Ro-Ro Passenger Ships
Sec.
12.30-1 Purpose of regulations.
12.30-3 Definitions.
12.30-5 General requirements.
Subpart 12.30--Ro-Ro Passenger Ships
Sec. 12.30-1 Purpose of regulations.
The purpose of the regulations in this subpart is to establish
requirements for certification of seamen serving on roll-on/roll-off
(Ro-Ro) passenger ships.
Sec. 12.30-3 Definitions.
Roll-on/roll-off (Ro-Ro) passenger ship means a passenger ship with
ro-ro cargo
[[Page 13319]]
spaces or special-category spaces as defined in the International
Convention for the Safety of Life at Sea, 1974, as amended (SOLAS), and
to which a SOLAS Certificate is issued.
MMD means merchant mariner's document.
12.30-5 General requirements.
To serve on a ro-ro passenger ship after January 30, 2002, a person
holding an MMD and performing duties toward safety, cargo-handling, or
care for passengers shall meet the appropriate requirements of STCW
Regulation V/2 and section A-V/2 of the STCW Code, and have his or her
MMD endorsed to show his or her meeting those requirements.
PART 15--MANNING REQUIREMENTS
1. The authority citation for part 15 continues to read as follows:
Authority: 46 U.S.C. 3703, 8105; 49 CFR 1.46.
2. Section 15.105 is added to subpart A to read as follows:
Sec. 15.105 Incorporation by reference.
(a) Certain material is incorporated by reference into this part
with the approval of the Director of the Federal Register under 5
U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that
specified in paragraph (b) of this section, the Coast Guard must
publish notice of change in the Federal Register and the material must
be available to the public. All approved material is available for
inspection at the Office of the Federal Register, 800 North Capitol
Street NW., Suite 700, Washington, DC and at the U.S. Coast Guard,
Operating and Environmental Standards Division, 2100 Second Street SW.,
Washington, DC 20593-0001, and is available from the sources indicated
in paragraph (b) of this section.
(b) The material approved for incorporation by reference in this
part and the sections affected are as follows:
International Maritime Organization (IMO)
4 Albert Embankment, London, SE1 7SR, England.
Amendments to the Annex to the International Convention on
Standards of Training, Certification and Watchkeeping for Seafarers,
1978 (STCW), and the associated Seafarers' Training, Certification and
Watchkeeping Code (STCW Code), as adopted under resolutions 1 and 2,
respectively, by the Conference of parties to the International
Convention on Standards of Training, Certification and Watchkeeping for
Seafarers, 1978, held at IMO from June 26 to July 7, 1995--15.401;
15.403; 15.705.
3. In Sec. 15.301, the periods at the ends of paragraphs (b)(7) and
(b)(10) are removed, a semicolon is added in each place, the word
``and'' is added after the semicolon after paragraph (b)(10), and
paragraph (b)(11) is added; and paragraphs (c)(7) and (c)(8) are added
to paragraph (c) as that paragraph will stand after the revision
effective on March 31, 1996, all to read as follows:
Sec. 15.301 Definitions of terms used in this part.
* * * * *
(b)* * *
(11) GMDSS radio operator.
(c) * * *
(7) Electronics technician.
(8) Electronics technician--Non-GMDSS.
* * * * *
4. In Sec. 15.401, the heading is revised, the existing text is
designated as paragraph (a), and paragraphs (b), (c), (d), (e), (f),
(g), (h), and (i) are added, to read as follows:
Sec. 15.401 Employment and service within restrictions of license,
document, and STCW endorsement.
* * * * *
(b) On a vessel operating beyond the boundary line, no person may
employ or engage any person to serve, and no person may serve, in a
position in which a person shall hold an STCW endorsement, including
master, chief mate, chief engineer, second engineer, officer of the
navigational or engineering watch, or radio operator, unless the person
serving holds an appropriate, valid STCW certificate or endorsement
issued in accordance with part 10 or 12 of this chapter.
(c) On a seagoing vessel of 500 gross tons or more, no person may
employ or engage any person to serve, and no person may serve, in a
rating forming part of the navigational watch, except for training,
unless the person serving holds an appropriate, valid STCW certificate
or endorsement issued in accordance with part 12 of this chapter.
(d) After January 31, 1997, no person may either be engaged or
employed to serve on a roll-on/roll-off (ro-ro) passenger ship to which
a SOLAS certificate has been issued, or perform duties on such a ship,
unless he or she holds a license or document endorsed for service on
ro-ro passenger ships in accordance with Sec. 10.1005 or Sec. 12.30-5,
of this chapter, whichever is appropriate to the service or the duties.
(e) On a seagoing vessel driven by main propulsion machinery of 750
kW [1,000 hp] propulsion power or more, no person may employ or engage
any person to serve, and no person may serve, in a rating forming part
of a watch in a manned engine-room, nor may any person be designated to
perform duties in a periodically unmanned engine-room, except for
training or for the performance of duties of an unskilled nature,
unless the person serving holds an appropriate, valid STCW certificate
or endorsement issued in accordance with part 12 of this chapter.
(f) After January 31, 2002, on a seagoing vessel required to comply
with provisions of the Global Maritime Distress and Safety System
(GMDSS) in Chapter IV of SOLAS, no person may employ or engage any
person to serve, and no person may serve, as the master, chief mate, or
officer of the navigational watch, unless the person serving holds the
appropriate Certificate for Operator of Radio in Global Maritime
Distress and Safety System (GMDSS).
(g) After January 31, 1997, on a seagoing vessel required to comply
with provisions of the GMDSS in Chapter IV of SOLAS, no person may
employ or engage any person to serve, and no person may serve, as the
person designated to perform at-sea maintenance of GMDSS installations,
when such designation is used to meet the maintenance requirements
imposed by STCW Regulation IV/15, unless the person serving holds an
electronic-technician endorsement not limited to non-GMDSS electronic
installations.
(h) After January 31, 2002, on a seagoing vessel fitted with an
Automatic Radar-Plotting Aid (ARPA), no person may employ or engage any
person to serve, and no person may serve, as the master, chief mate, or
officer of the navigational watch, unless the person serving has been
trained in the use of ARPA in accordance with Sec. 10.205 or
Sec. 10.209 of this chapter.
(i) The provisions of paragraphs (b) through (g) of this section
are effective as of August 1, 1998.
5. Section 15.403 is added to read as follows:
Sec. 15.403 Familiarization and basic safety-training.
(a) After January 31, 1997, on a seagoing vessel, no person may
assign any person to perform shipboard duties, and no person may
perform those duties, unless the person performing them has received--
(1) Familiarization training in personal survival techniques as set
out in the standard of competence under STCW Regulation VI/1; or
(2) Sufficient training or instruction, to be able to--
[[Page 13320]]
(i) Communicate with other persons on board on elementary safety
matters and understand information symbols, signs, and alarm signals
covering information on safety;
(ii) Know what to do if a person falls overboard; if fire or smoke
is detected; or if the fire or abandon-ship alarm sounds;
(iii) Identify stations for muster and embarkation, and emergency-
escape routes;
(iv) Locate and don life-jackets;
(v) Raise the alarm and know the use of portable fire
extinguishers;
(vi) Take immediate action upon encountering an accident or other
medical emergency before seeking further medical assistance on board;
and
(vii) Close and open the fire, weathertight, and watertight doors
fitted in the particular ship other than those for hull openings.
(b) After January 31, 1997, on a seagoing vessel, no person may
assign any person on board a ship, as part of the complement with
designated safety or pollution-prevention duties in the operation of
the ship, to perform shipboard duties, and no person may perform those
duties, unless the person performing them has--
(1) Received approved basic safety-training or instruction as set
out in the standards of competence under STCW Regulation VI/1,
particularly with respect to personal survival techniques, fire
prevention and fire-fighting, elementary first aid, and personal safety
and social responsibilities; and
(2) Established competence within the last 5 years as part of an
approved training program, in accordance with the methods and criteria
prescribed under STCW Regulation VI/1.
(c) Each person who has met the requirements of either Secs. 10.205
and 10.209 of this chapter or Secs. 12.05-3, 12.10-3, and 12.15-3 of
this chapter meets the requirements of this section without further
training or assessment.
6. Section 15.411 is added to read as follows:
Sec. 15.411 Maintenance of seamen's records by owner or operator.
Each owner or operator of a U.S.-documented vessel that operates
beyond the boundary line shall ensure that procedures are in place, in
respect of licensed and unlicensed seamen who serve on each such
vessel, to ensure that the following information is maintained
throughout their service, and is readily accessible to those in
management responsible for the safety of vessels and prevention of
marine pollution:
(a) Medical fitness.
(b) Experience and training relevant to assigned shipboard duties.
(c) Assessment of competence in performance of assigned shipboard
duties.
7. In Sec. 15.705, paragraph (f) is revised to read as follows:
Sec. 15.705 Watches.
* * * * *
(f) Masters of vessels that operate beyond the boundary line shall
observe the principles concerning watchkeeping as set out in STCW
Regulation VIII/2 and section A-VIII/2 of the STCW Code.
8. In Sec. 15.710, the heading is revised, paragraphs (a) through
(d) are redesignated as paragraphs (1) through (4), respectively, the
introductory text is designated as paragraph (a), and paragraphs (b)
and (c) are added to read as follows:
Sec. 15.710 Working hours and rest periods.
* * * * *
(b) After January 31, 1997, each person assigned duty as officer in
charge of a navigational or engineering watch, or duty in a rating
forming part of a navigational or engineering watch, on any vessel that
operates beyond the boundary line shall receive a minimum period of 10
hours of rest in any 24-hour period, except in an emergency, a drill,
or any other overriding operation condition, provided--
(1) The hours of rest are divided into no more than two periods,
one of which must be at least 6 hours in length; and
(2) The minimum period of 10 hours of rest may be reduced to not
less than 6 consecutive hours as long as--
(i) No reduction extends beyond 2 days; and
(ii) He or she receives at least 70 hours of rest in each 7-day
period.
(c) The Master shall post watch schedules where they are easily
accessible. Each schedule must include each affected person.
(d) For purposes of applying this section--
(1) Rest period means a period of time during which no tasks are
assigned to the person concerned, the person is not scheduled to
perform any duty, and the person is allowed to sleep without being
interrupted; and
(2) Overriding operational conditions means circumstances in which
essential shipboard work cannot be delayed for reasons of safety or
environment or for reasons not foreseeable at the commencement of the
voyage.
Dated: 5 March 1996.
Joseph J. Angelo,
Acting Chief, Office of Marine Safety, Security and Environmental
Protection.
[FR Doc. 96-7019 Filed 3-25-96; 8:45 am]
BILLING CODE 4910-14-M
