# Implementation of the 1995 Amendments to the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978 > Briefs, arguments, decisions, and more. URL: https://www.frixlaw.com/law-library/documents/fr%3AE9-26821 ## Record - **Collection:** Federal Register - **Document type:** Proposed Rule - **Published:** November 17, 2009 - **Citation:** 74 FR 59354 ## Text DEPARTMENT OF HOMELAND SECURITY Coast Guard 46 CFR Parts 10, 11, 12, and 15 [Docket No. USCG-2004-17914] RIN 1625-AA16 Implementation of the 1995 Amendments to the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978 AGENCY: Coast Guard, DHS. ACTION: Notice of proposed rulemaking. SUMMARY: The Coast Guard proposes to amend its regulations to fully incorporate the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978, as amended (STCW Convention), as well as the Seafarer's Training, Certification and Watchkeeping Code (STCW Code) in the requirements for the credentialing of United States merchant mariners as found in 46 CFR Parts 10, 11, 12, and 15. The changes proposed incorporate lessons learned from implementation of the STCW Convention and STCW Code through the interim rule and attempt to clarify those regulations that have generated confusion in the past. DATES: Comments and related material must either be submitted to our online docket via http://www.regulations.gov on or before February 16, 2010 or reach the Docket Management Facility by that date. Comments sent to the Office of Management and Budget (OMB) on collection of information must reach OMB on or before February 16, 2010. ADDRESSES: You may submit comments identified by Coast Guard docket number USCG-2004-17914 using any one of the following methods: (1) Federal eRulemaking Portal: http://www.regulations.gov. (2) Fax: 202-493-2251. (3) Mail: Docket Management Facility (M-30), U.S. Department of Transportation, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue SE., Washington, DC 20590. (4) Hand Delivery: Same as mail address above, between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. The telephone number is 202-366-9329. To avoid duplication, please use only one of these methods. See the “Public Participation and Request for Comments” portion of the SUPPLEMENTARY INFORMATION section below for instructions on submitting comments. Collection of Information Comments: If you have comments on the collection of information discussed in section VII.D of this NPRM, you must also send comments to the Office of Information and Regulatory Affairs (OIRA), Office of Management and Budget (OMB). To ensure that your comments to OIRA are received on time, the preferred methods of receipt are by e-mail to oira_submission@omb.eop.gov (include the docket number and “ Attention: Desk Officer for Coast Guard, DHS” in the subject line of the e-mail) or fax at 202-395-6566. An alternate, though slower, method is by U.S. mail 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. Viewing incorporation by reference material: You may inspect the material proposed for incorporation by reference at room 1210, U.S. Coast Guard Headquarters, 2100 Second Street SW., Washington, DC 20593-0001 between 8 a.m. and 4 p.m., Monday through Friday, except Federal holidays. The telephone number is 202-372-1401. Copies of the material are available as indicated in the “Incorporation by Reference” section of this preamble. FOR FURTHER INFORMATION CONTACT: If you have questions on this notice of proposed rulemaking (NPRM), call or e-mail Mark Gould, Maritime Personnel Qualifications Division, U. S. Coast Guard, telephone 202-372-1409, e-mail Mark.C.Gould@uscg.mil. If you have questions on viewing or submitting material to the docket, call Renee V. Wright, Program Manager, Docket Operations, telephone 202-366-9826. SUPPLEMENTARY INFORMATION: Table of Contents I. Public Participation and Request for Comments A. Submitting Comments B. Viewing Comments and Documents C. Privacy Act D. Public Meeting II. Abbreviatins III. Background IV. Discussion of Proposed Rule A. Overview B. Differences Between This NPRM and the Coast Guard's Current Regulations 1. Medical Competency 2. Medical Standards for Issuance of STCW Endorsements 3. Training Schools and Approved Courses 4. Acceptance of Military Sea Service and Training To Qualify for an STCW Endorsement 5. Basic Safety Training Requirements 6. Application of the STCW Convention to Mariners serving on Vessels of Less Than 200 Gross Register Tons (GRT)/500 Gross Tonnage (GT) 7. Deck Officer Progression 8. Engineer Officer Endorsements 9. Officer Endorsements 10. Rating Endorsements 11. Manning 12. Grandfathering 13. Minimum Age C. Table of Proposed Changes D. Part 12 Renumbering E. Request for Comments V. Discussion of Comments on the Interim Rule (IR) 1. Scope of Application—General 2. Application to Fishing Industry Vessels 3. Application to Towing Industry Vessels 4. Application to Small Passenger Vessels 5. Application to Offshore Supply Vessels 6. Tonnage Issues 7. STCW Certificate or Endorsement 8. Length of Service Requirement 9. Qualifications of Instructors and Designated Examiners 10. License Structure 11. Bridge Teamwork Procedures 12. License Renewal and Refresher Training 13. QSS and ISM Code 14. QSS, Coast Guard Course Approval, and Maritime Academies 15. QSS Alternatives 16. Simulators 17. Basic Safety Training and Ship-Specific Familiarization 18. Training Record Books 19. Standards of Medical Fitness 20. Training for Those Providing Medical First Aid or for Qualification as Person in Charge of Medical Care Onboard Ship 21. Fatigue and STCW—General 22. STCW Rest Periods for Watchkeeping Personnel 23. GMDSS—General 24. GMDSS and ARPA 25. GMDSS and Electronics Technician 26. Proficiency in Survival Craft and Lifeboatman 27. Proficiency in Fast Rescue Boats 28. Company Recordkeeping Responsibilities 29. Special Requirements for Personnel on Ro-Ro Passenger Ships 30. Special Requirements for Personnel on Passenger Ships 31. Publication of STCW Requirements in the Code of Federal Regulations (CFR) VI. Incorporation by Reference VII. Regulatory Analyses A. Regulatory Planning and Review B. Small Entities C. Assistance for Small Entities D. Collection of Information E. Federalism F. Unfunded Mandates Reform Act G. Taking of Private Property H. Civil Justice Reform I. Protection of Children J. Indian Tribal Governments K. Energy Effects L. Technical Standards M. Environment I. Public Participation and Request for Comments We encourage you to participate in this rulemaking by submitting comments and related materials. All comments received will be posted, without change, to http://www.regulations.gov , and will include any personal information you have provided. A. Submitting Comments If you submit a comment, please include the docket number for this rulemaking (USCG-2004-17914), indicate the specific section of this document to which each comment applies, and provide a reason for each suggestion or recommendation. You may submit your comments and material online or by fax, mail or hand delivery, but please use only one of these means. We recommend that you include your name and a mailing address, an e-mail address, or a phone number in the body of your document so that we can contact you if we have questions regarding your submission. To submit your comment online, go to http://www.regulations.gov , in the “Document Type” drop down menu, select “Proposed Rules” and insert “USCG-2004-17914” as the “Keyword.” If you submit your comments by mail or hand delivery, submit them in an unbound format, no larger than 8 1/2 by 11 inches, suitable for copying and electronic filing. If you submit them by mail and would like to know that they reached the Facility, please enclose a stamped, self-addressed postcard or envelope. We will consider all comments and material received during the comment period and may change this proposed rule based on your comments. B. Viewing Comments and Documents To view comments, as well as documents mentioned in this preamble as being available in the docket, go to http://www.regulations.gov , in the “Document Type” drop down menu, select “Proposed Rules” and insert “USCG-2004-17914” as the “Keyword.” If you do not have access to the Internet, you may view the docket online by visiting the Docket Management Facility in Room W12-140 on the ground floor of the Department of Transportation West Building, 1200 New Jersey Avenue, SE., Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. We have an agreement with the Department of Transportation to use the Docket Management Facility. C. Privacy Act Anyone can search the electronic form of comments received into any of our dockets by the name of the individual submitting the comment (or signing the comment, if submitted on behalf of an association, business, labor union, etc.). You may review a Privacy Act notice regarding our public dockets in the January 17, 2008 issue of the Federal Register (73 FR 3316). D. Public Meeting We plan to hold public meetings. We will announce the dates and locations of these meetings in a later Federal Register notice. II. Abbreviations A/B Able Seaman ARPA Automatic Radar Plotting Aid BCO Ballast Control Operator BRM Bridge Resource Management BS Barge Supervisor BST Basic Safety Training CFR Code of Federal Regulations COI Certificate of Inspection COLREGS International Regulations for Preventing Collisions at Sea CPR Cardio-Pulmonary Resuscitation DC Damage Control DDE Designated Duty Engineer DE Designated Examiner DL Dangerous Liquid DOT Department of Transportation EEZ Exclusive Economic Zone ERM Engine Room Resource Management FCC Federal Communications Commission F.H. Food Handler FR Federal Register GMDSS Global Maritime Distress and Safety System GRT Gross Register Tons GT Gross Tonnage HP Horsepower IMDG The International Maritime Dangerous Goods Code IMO International Maritime Organization IR Interim Rule IRFA Initial Regulatory Flexibility Act ISM International Safety Management Code ISO International Organization for Standardization ISPS International Ship and Port Facility Security ITB Integrated Tug Barge ITC International Tonnage Convention on Tonnage Measurement of Ships, 1969 KUP Knowledge, Understanding, and Proficiency kW Kilowatts LG Liquefied Gas MARAD Maritime Administration MARPOL 73/78 International Convention for the Prevention of Pollution From Ships, 1973 as modified by the Protocol of 1978 MERPAC Merchant Marine Personnel Advisory Committee MMC Merchant Mariner Credential MMD Merchant Mariner Document MODUs Mobile Offshore Drilling Units NAVSAC Navigation Safety Advisory Committee NDR National Driver Register NMC U.S. Coast Guard National Maritime Center NEPA National Environment Policy Act of 1969 NPRM Notice of Proposed Rulemaking NVIC Navigation and Vessel Inspection Circular OCMI Officer in Charge, Marine Inspection OICEW Officer in Charge of an Engineering Watch OICNW Officer in Charge of a Navigation Watch OIM Offshore Installation Manager OIRA Office of Information and Regulatory Affairs OMB Office of Management and Budget OSVs Offshore Supply Vessels OUPV Operator of an Uninspected Passenger Vehicle PIC Person in Charge PMS Preventive Maintenance System PSC Proficiency in Survival Craft QMED Qualified Member of the Engineering Department QSS Quality Standard Systems REC Regional Examination Center RFA Regulatory Flexibility Act RFPEW Ratings Forming Part of an Engineering Watch RFPNW Ratings Forming Part of a Navigation Watch SHIP Seafarers' Health Improvement Program SOLAS The International Convention for the Safety of Life at Sea (1974) STCW Code Seafarer's Training, Certification and Watchkeeping Code STCW Convention International Convention on Standards of Training, Certification, and Watchkeeping for Seafarers, 1978, as amended STCW-F International Convention on Standards of Training, Certification, and Watchkeeping for Fishing Vessel Personnel TOAR Towing Officer's Assessment Record TRB Training Record Book TSA Transportation Security Administration TSAC Towing Safety Advisory Committee UPVs Uninspected Passenger Vessels UTV Uninspected Towing Vessels VSO Vessel Security Officer III. Background The Coast Guard published an interim rule (IR) on June 26, 1997 (62 FR 34505), making changes to the regulations governing the credentialing of merchant mariners. A complete discussion of the background for the IR is found in the preamble to the IR (62 FR 34506). These changes were necessary to implement amendments to the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978 as amended (the STCW Convention), which the International Maritime Organization (IMO) adopted in 1995, and which entered into force on February 1, 1997. The 1997 IR ensured that U.S. merchant mariner credentials would meet International Maritime Organization (IMO) standards, thereby reducing the possibility that U.S. ships could be detained in a foreign port for non-compliance. The Coast Guard proposes to update the changes made by the 1997 IR through experience gained during the implementation of that rule. This proposed rule will also incorporate all effective amendments to the STCW Convention and Code up to and including the publication date of this proposed rule. The Coast Guard determined, as a result of comments from the public and federal advisory committees (the Merchant Marine Personnel Advisory Committee and the Towing Safety Advisory Committee), that more information, including more detailed regulation text, was required for the regulated public. We have identified a number of issues with the current regulations: (1) There are several areas as outlined in the Table of Changes pertaining to the requirements a mariner must meet in order to obtain a credential, that need clarification and/or additional information; (2) The Coast Guard conducted an independent evaluation of the credentialing program and found that, although the program was giving the STCW Convention full and complete effect, there were a number of areas that should be clarified, as outlined in the Table of Changes. (3) In addition, we made several technical changes throughout parts 10, 11, 12, and 15 of 46 CFR, including the renumbering of part 12 to bring the numbering of the sections in line with the numbering in the other parts of subchapter B of title 46. On May 20, 2008, the Coast Guard issued an interim rule amending its regulations to implement the vessel security officer training and certification amendments to the STCW Convention and the STCW Code (73 FR 29060). These amendments incorporate the training and qualification requirements for vessel security officers (VSOs) into the requirements for the credentialing of United States merchant mariners. These amendments (73 FR 29060) are not impacted by this proposed rulemaking. The VSO requirements apply to all vessels subject to the STCW Convention under current regulations. This includes all seagoing vessels, defined in the proposed 46 CFR 10.107 (currently 15.1101) to mean self-propelled vessels that operate beyond the Boundary Line established by 46 CFR part 7, except those vessels which have been determined to be otherwise exempt from the STCW Convention as per 46 CFR 15.103(e) and (f). On March 16, 2009, the Coast Guard published a final rule titled “Consolidation of Merchant Mariner Qualification Credentials” (74 FR 11196). This final rule streamlined regulations and consolidated four separate credentialing documents into one Merchant Mariner Credential (MMC), and also eliminated redundant burdens and government processes. As noted in the Table of Changes, some minor changes have been made in this proposed rule that would affect the portions of subchapter B revised by the MMC rulemaking. IV. Discussion of Proposed Rule A. Overview This proposed rule is a result of ongoing work to ensure that U.S. mariners comply with the standards set forth in the STCW Convention. During the implementation process for the IR (from 1997 to the present), the Coast Guard recognized a need to make substantial changes to the merchant mariner licensing and documentation credentialing program. Because of these substantial changes, we recognized the necessity of developing a more comprehensive rule, and of providing additional opportunity—through this NPRM—for the public to comment on these changes. Most seagoing merchant mariners must comply with the requirements of the STCW Convention. STCW requirements reflected in the CFR are not currently organized in a manner that is easy to read and understand. This NPRM seeks to make the requirements for merchant mariners clear and concise, and proposes a scheme that will make both domestic and international requirements easier to understand. B. Differences Between This NPRM and the Coast Guard's Current Regulations This list provides a brief summary of the significant changes proposed in this NPRM. The “Table of Proposed Changes” in part C of this section provides more detailed information and explanation of the changes in the summarized listing below. 1. Medical Competency Would establish clear requirements for attaining competence as a person in charge (PIC) of medical care and as a medical first aid provider. Would establish that all officers onboard seagoing ships must hold medical first aid competence. 2. Medical Standards for Issuance of STCW Endorsements Would provide requirements on the medical fitness standards for merchant mariners. As part of this effort, a quick-reference table is provided. Would establish physical abilities expected of merchant mariners. Would clarify when the medical practitioner must conduct tests demonstrating the merchant mariner's physical ability. Would provide clarification that staff officers and entry level ratings need only demonstrate physical ability when serving on vessels to which the STCW Convention applies. 3. Training Schools and Approved Courses Would update the requirements for the material that must be submitted as part of an application for an approved course or training program. Would require information that the Coast Guard had previously only requested from course developers for Coast Guard approval of training courses. Would remove the specific requirements for radar courses, providing the industry more flexibility when developing courses and curriculum. Would specify the requirement for providers of approved courses and training programs to be compliant with a quality standard systems (QSS). This would clarify that Coast Guard-accepted QSS organizations may accept and monitor training on behalf of the Coast Guard. 4. Acceptance of Military Sea Service and Training To Qualify for an STCW Endorsement Would provide that a member of the military can qualify for an STCW endorsement after meeting the training and service requirements for merchant mariners. 5. Basic Safety Training Requirements Would clarify that the requirement for basic safety training (BST) is no longer considered an STCW endorsement; BST continues to be a manning requirement. Would add a manning requirement in part 15 for BST that is consistent with STCW Convention requirements. 6. Application of the STCW Convention to Mariners serving on Vessels of Less Than 200 Gross Register Tons (GRT)/500 Gross Tonnage (GT) Would establish requirements for mariners serving on seagoing vessels of less than 200 GRT/500 GT on international voyages, whether they are near-coastal or oceans routes. 7. Deck Officer Progression Would revise the deck officer progression to be consistent with the standards set forth by the STCW Convention. Would remove the 200 GRT/500 GT-level endorsements. Would revise service requirements for mariners qualifying for the 1,600 GRT/3,000 GT-level endorsements. 8. Engineer Officer Endorsements Would revise the engineer officer progression to be consistent with the standards set forth by the STCW Convention. Would provide limited engineer endorsements for service on vessels less than 10,000 horsepower (HP)/7,500 kilowatts (kW) on near-coastal waters. 9. Officer Endorsements Would provide specific areas of knowledge, understanding, and proficiency (KUP) required for operational and management level licenses. Would provide equivalencies between GRT and GT for use only with the issuance of mariner credentials. 10. Rating Endorsements Would add sections for STCW-specific ratings. Would add a new endorsement entitled “Survivalman” for individuals serving on vessels without installed lifeboats. 11. Manning Would move sections detailing the certification requirements for ratings from part 12 to part 15. 12. Grandfathering Would clarify that this proposed rule does not require a mariner to meet newly proposed requirements in order to retain a credential already held. However, a mariner would have to meet any newly proposed requirements in order to upgrade a credential. For example, under this proposed rule, a second mate/officer in charge of a navigational watch (OICNW) who seeks to obtain a chief mate endorsement would not be required to go back and complete training requirements for an OICNW. 13. Minimum Age Would establish the minimum age for those applicants seeking a rating or STCW endorsement under Part 12. Would incorporate the age of 16 as the minimum age for issuing a rating or STCW endorsement. C. Table of Proposed Changes This table provides a more-detailed, CFR-section-referenced summary of significant changes proposed in this NPRM. The table incorporates the changes noted in the brief summary of the significant changes listed in part C above, “Differences between this NPRM and the Coast Guard's Current Regulations.” This part, and part B above, discuss all substantive changes being proposed by this rulemaking. Current cite Cite under proposed rule Summary of proposed change Explanation of proposed change 10.107 10.107 Adds the definition of boundary line Assists applicants in understanding the limits of the STCW Convention. Adds the definition of a Coast Guard-accepted quality standards system (QSS) organization Adds definition regarding those organizations that may conduct QSS activities in regard to training. Adds the definition of domestic voyage Clarifies that domestic service does not include entering foreign waters. This clarification is necessary for those operating small passenger vessels in waters close to or adjacent to foreign waters to assist in determining whether the operator would be required to hold an STCW endorsement. Adds definition of gross register tons (GRT) Provides definition for term used in the proposed rule and establishes an abbreviation for the use of this term throughout this subchapter. Adds the definition of gross tonnage (GT) Provides definition for term used in the proposed rule consistent with the STCW Convention and establishes an abbreviation for use throughout this subchapter. Adds the definition of international voyage Clarifies what constitutes an international voyage. Adds the definition of kilowatt (kW) Provides the definition of a term used in conjunction with the implementation of the STCW Convention and STCW Code. Adds the definition of management level Provides that master, chief mate, chief engineer and first assistant engineer (second engineer officer) are considered management level under the STCW Convention. Adds the definition of operational level Provides that officer endorsements other than management level are considered operational level under the STCW Convention. Adds the definition of propulsion power Provides a more general definition of a ship's power. Adds the definition of quality standard system (QSS) Provides clarification of what is intended by this term when used in this subchapter. Adds the definition of seagoing Assists in the interpretation of the requirements of the STCW Convention. Adds the definition of seagoing vessel Adds definition to ensure it captures all vessels to which STCW applies. No commercial vessels restriction, as appears in current 46 CFR 15.1101 definition, because that would have excluded vessels such as yachts and government-owned vessels, which are required to be operated by mariners holding an STCW endorsement. Adds a definition of survivalman Provides terminology for a new endorsement for persons serving in a position similar to lifeboatman but on a vessel without a lifeboat. Adds the definition of training program Provides clarity regarding what is intended by this term. Revises the definition of near coastal Reflects that this is a domestic definition and that another country may define the term differently. None 10.205(b)(i) Adds grandfathering provision for existing STCW endorsements Clarifies that this proposed rule does not require a mariner to meet newly proposed requirements in order to retain a credential already held. 10.215 10.215 Revises the physical requirements for mariners applying for a Coast Guard-issued credential. These changes include: Annual submission of physicals by pilots, removal of the specific tests for color vision, revision of vision standard, revision of hearing standard, clarification regarding demonstration of physical ability Provides the Coast Guard some flexibility in the acceptance of other tests, as well as acknowledgement that some of the vision tests are no longer available. The requirement to demonstrate physical ability provides information required for those mariners serving on vessels to which STCW applies. 11.202(b) 11.202(b) Moves the requirement for basic safety training (BST) and refers to part 15 Requires applicant to meet BST requirements as listed in § 15.1105. BST requirements are found in part 15 under manning, rather than as a professional requirement to obtain a certificate. 11.202(c) 11.407(a)(2) Moves the requirement for automatic radar plotting aid (ARPA) from the general section Moves requirement to the appropriate operational-level certificate. 11.202(d) 11.407(a)(2) Moves the requirement for the training and assessment on Global Maritime Distress and Safety System (GMDSS) from the general section Incorporates the GMDSS requirement with the requirement for the appropriate operational-level certificate. 11.202(e) 11.407(a)(2) Moves the requirement for Bridge Resource Management (BRM) (formerly Procedures for Bridge Team Work) from the general section Moves the BRM requirement to the appropriate operational-level certificate. 11.213 11.213 Revises the rules affecting the credit of sea service towards a mariner's credential Clarifies that maritime service from the armed forces must be consistent with the requirements of other mariners, i.e. , an individual must first hold an operational-level credential in order to qualify for a management-level credential. 11.301 10.301 Revises the applicability to include training programs Clarifies that the STCW Convention covers all training used to pursue certification, whether or not it is part of an approved course or training program. See Regulation I/6 of the STCW Convention and Section A-I/6 of the STCW Code. 11.302 10.302 Revises the credit that can be provided by course approval to allow for multiple purposes Provides industry more flexibility to complete the requirements, as current regulations are too confining. Revises the requirements for the request for course approval Incorporates previously issued guidance documents to assist industry in understanding otherwise vague requirements. Clarifies the suspension of approval requirements Organizes the requirements for suspension of course approval. Revises the reasons for withdrawal of course approval Clarifies reasons for withdrawal of course approval. 11.303 10.303 Revises section to require that each student demonstrate practical skills appropriate for the course Ensures that the training provided meets the requirements of the STCW Convention, i.e. , not only ensuring applicant knowledge, understanding and proficiency (KUP), but also requiring a demonstration of skills. See STCW Regulation I/6 of the STCW Convention. Revises the records and reports required for each approved course Provides the Coast Guard the ability to fulfill its obligation under the STCW Convention to validate the training received by merchant mariners. See Regulation I/8 of the STCW Convention. Adds QSS requirements for an approved course Provides consistency with the obligation under the STCW Convention for approved training to be part of a QSS. See Regulation I/8 of the STCW Convention. 11.304 10.304 Revises the requirement to substitute all sea service for successful completion of an approved training program Provides service credit for training programs, since they regularly provide more extensive training situations and broader opportunities to demonstrate proficiency. 11.305 None Removes specific requirements regarding radar-observer certificates and qualifying courses Removes requirements now unnecessary due to other proposed changes throughout this subpart. None 10.305 Adds requirements for qualification as a designated examiner Ensures that qualified individuals conduct evaluations of mariners as required by the STCW Convention. See Section A-I/6 of the STCW Code. None 10.308 Adds requirements for training programs to meet the proposed requirements for course approval and general training standards, which includes being part of a QSS Provides consistency with the obligation under the STCW Convention for approved training to be part of a QSS. See Regulation I/8 of the STCW Convention. 11.309 10.309 Revises section to reduce redundant language from other sections of this subpart Provides clarification with reference to § 10.302 for collecting the necessary information. Adds QSS requirements for accepted training Provides consistency with the obligation under the STCW Convention for approved training to be part of a QSS. See Regulation I/8 of the STCW Convention. None 10.311 Adds simulator performance standards Provides consistency with existing requirements and Section A-I/12 of the STCW Code. 11.401 11.401 Revises section to more specifically reflect STCW Convention requirements. Provides clarification regarding the requirements for STCW endorsements for mariners on seagoing vessels Includes the STCW Convention requirements generally throughout the subpart in an effort to clarify regulations. See Part A, Chapter II of the STCW Code. Adds a requirement to complete an assessment of professional skills Provides a specific requirement for an STCW endorsement for those serving on seagoing vessels greater than 200 GRT/500 GT or any vessel on an international voyage. This requirement was previously listed in 46 CFR subpart I. Revises the list of requirements to obtain a master or mate endorsement for vessels of 200 GRT/500 GT or more and for all seagoing vessels on international voyages Provides consistency with the STCW Convention list of requirements for persons on that size vessel, including basic and advanced firefighting, ARPA, GMDSS, and radar observer. Revises the flashing light requirement Extends the flashing light proficiency requirement to those to whom the STCW Convention applies, i.e. , all mariners serving on seagoing vessels. See Table A-II/1 of the STCW Code. Removes the requirement for deck officers to obtain a qualification as able seaman Provides consistency with the STCW Convention that does not require a qualification as able seaman for seagoing deck officers. Revises the application of equivalent sea service to mariners required to meet STCW standards Specifies that a course without seagoing service would not be granted equivalent service under the STCW Convention, which requires service at sea for various endorsements. See Chapter II of the STCW Code. Moves information requiring compliance with STCW Convention regulations and standards of competence from § 11.903 Makes the existing requirements easier to locate and follow. 11.402 11.402 Adds a table providing equivalencies between GRT and GT Enables equating between the two systems, for credentialing purposes only. Revises tonnage limitations for an unlimited officer endorsement by setting the minimum to 2,000 GRT/3,300 GT Establishes a minimum tonnage limitation. It was previously possible to obtain a limitation of less than 2,000 GRT/3,300 GT; however, there is little reason to establish any limitation less than 2,000 GRT/3,300 GT. 11.403 11.403 (See also, 11.430(f) Structure of deck officer endorsements for Great Lakes and inland waters service) Replaces deck officer endorsements structure diagram with new diagram showing progression of deck officer endorsements for seagoing service based on vessel tonnage Reflects the proposed progression for deck officer endorsements limited to seagoing service. 11.404 11.404 Revises the requirements to allow multiple routes for progression to master Allows advancement to master directly from either officer in charge of a navigation watch (OICNW) or chief mate, as provided in the STCW Convention. This progression would be allowed to assist those mariners who are unable to obtain service time as a chief mate. See Regulation II/2 of the STCW Convention. Revises the requirement to include meeting the training requirements for chief mate if the applicant does not hold an endorsement or license as chief mate Provides consistency with STCW Convention requirements allowing applicants meeting the same minimum training as an individual progressing through chief mate to progress. See Regulation II/2 of the STCW Convention. 11.405 11.405 Revises the requirement for chief mate (oceans and near coastal) to include the requirements for approved training required by the STCW Convention Provides a list of necessary KUPs and sets a requirement for assessment of an individual seeking an endorsement as chief mate. A chief mate serving on seagoing vessels must meet STCW Convention requirements. See Section A-II/2 of the STCW Code. Provides specific requirements for transition for an endorsed or licensed applicant to serve on seagoing vessels between 200 and 1,600 GRT/500 and 3,000 GT Provides necessary training requirements for mariners licensed at the management level for vessels between 200 and 1,600 GRT/500 and 3,000 GT. There are gaps currently in the requirements between these two vessel size categories. Revises to specifically state that service as a rating, while holding an officer endorsement, would not count toward a management-level officer endorsement Provides consistency with STCW Convention requirements, which do not allow service as a rating to count toward a management-level certificate. See Regulation II/2 of the STCW Convention. 11.406 11.406 Revises the service requirements for second mate to specify that the service must have been on a seagoing vessel Provides consistency with STCW Convention requirements that service towards those endorsements be on seagoing vessels. 11.407 11.407 Revises the requirement for OICNW (oceans and near coastal) to provide for approved training as required by the STCW Convention Provides a list of necessary KUPs and sets an assessment requirement for endorsement as chief mate. An OICNW serving on seagoing vessels must meet STCW Convention requirements. See Regulation II/1 of the STCW Convention. Revises the paragraph, allowing for graduation from a maritime academy to meet this requirement Clarifies that an individual must complete an approved program to qualify for this endorsement, and opens up the process to more programs. 11.410 11.410 Revises the section regarding the credential authorizing service on vessels of not more than 500 GRT/1,200 GT. No original endorsement with this tonnage, or a raise of grade to this tonnage, will be issued; however, renewals will continue to be issued Clarifies that this credential would no longer be issued as an original endorsement or as a raise of grade to this tonnage. There is limited need for the 500 GRT/1,200 GT level endorsement, and the need could be met with the credential for vessels less than 1,600 GRT/3,000 GT by revising the requirements for those endorsements. Restricts officer endorsements issued under this section using orally assisted exams to vessels to which the STCW Convention does not apply Provides consistency with STCW Convention requirement for persons serving on seagoing vessels of this size. Orally assisted exams do not satisfy the requirement. See Chapter II of the STCW Code. 11.412 11.412 Adds the requirement that applicants for an endorsement as master must be qualified as mate & OICNW for vessels of 200 GRT/500 GT or more Provides consistency with STCW Convention requirements that all persons seeking management-level endorsements qualify as OICNW for vessels of 200 GRT/500 GT or more. See Regulation II/2 of the STCW Convention. Revises the service required for an endorsement as master from 4 years total to either 36 months as OICNW, or 24 months including 12 months as chief mate Provides consistency with STCW Convention requirements for this level of endorsement. The total service time could now be between 5 and 6 years. See Regulation II/2 of the STCW Convention. Revises the process for obtaining this endorsement directly from OICNW or chief mate to include service Clarifies that the service, training, and assessment requirements of this section must be met to obtain an endorsement as master. None 11.413 Adds new requirements for chief mate of self-propelled, seagoing vessels of less than 1,600 GRT/3,000 GT Provides consistency for this management-level credential, available through the STCW Convention. The Coast Guard received a recommendation from the Merchant Marine Personnel Advisory Committee (MERPAC) to include this level endorsement to assist domestic officers seeking service on foreign flag vessels. See Regulation II/2 of the STCW Convention. 11.414 11.414 Revises this section to require that a person applying for an endorsement as mate must meet the requirements for OICNW in § 11.407 Provides consistency with STCW Convention requirements that an individual seeking this level endorsement meet the requirements of any other OICNW for seagoing vessels. See Regulation II/1 of the STCW Convention. Revises the service requirements for an endorsement as mate to allow service on vessels of 75 GRT or more Increases the number of mariners who would qualify for an endorsement as mate. 11.418 None Removes the officer endorsement for master of vessels not more than 500 GRT This endorsement would no longer be required because it would lower the tonnage requirements for those serving on vessels of not more than 1,600 GRT/3,000 GT. 11.420 None Removes the officer endorsement for mate of vessels not more than 500 GRT This endorsement would no longer be required because it would lower the tonnage requirements for those serving on vessels of not more than 1,600 GRT/3,000 GT. 11.422 11.422 Adds the specific requirement that additional service as a deck officer is required to raise a tonnage limitation Provides clarity as to what the Coast Guard would look for when evaluating an application for raising the tonnage limitation. None 11.423 Adds new section providing requirements for those seeking officer and STCW endorsements as master of vessels of less than 200 GRT/500 GT on near-coastal waters Provides specific requirements for those seeking to obtain an STCW endorsement as master on vessels of less than 200 GRT/500 GT. See Regulation II/3 of the STCW Convention. 11.424 11.424 Revises section to address those seeking officer and STCW endorsements as mate or OICNW of vessels less than 200 GRT/500 GT on near coastal waters Provides specific requirements to meet STCW Convention requirements, including 36 months of service and meeting training and assessment requirements. See Regulation II/3 of the STCW Convention. Removes reference to masters of ocean, stream, or motor vessels of not more than 200 gross tons Provides consistency with the STCW Convention requiring that applicants seeking to operate vessels of 200 GRT/500 GT or less on ocean waters must meet the requirements for the endorsement as master of seagoing vessels of between 200 GRT/500 GT and 1,600 GRT/3,000 GT. 11.426 11.426 Revises this section, which is applicable only to those vessels to which the STCW Convention does not apply Clarifies existing regulations regarding the applicability of an endorsement as master of seagoing of less than 200 GRT limited to domestic near-coastal voyages. 11.427 11.427 Revises this section, which is applicable only to those vessels to which the STCW Convention does not apply Clarifies existing regulations regarding the applicability of an endorsement as mate of seagoing vessels of less than 200 GRT limited to domestic near-coastal voyages. 11.428 11.428 Revises this section, which is applicable only to those vessels to which the STCW Convention does not apply Clarifies existing regulations regarding the applicability of an endorsement as master of seagoing vessels of less than 100 GRT limited to domestic near-coastal voyages. 11.429 11.429 Revises this section, which is applicable only to those vessels to which the STCW Convention does not apply Clarifies existing regulations regarding the applicability of an endorsement as limited master of seagoing vessels of less than 100 GRT on domestic near-coastal voyages. 11.463 11.463 Adds the requirement for towing vessel officers serving on seagoing vessels to comply with the STCW Convention Clarifies the regulations and policy for officers on towing vessels. 11.467 11.467 Adds the limitation to the endorsement as operator of uninspected passenger vessels to not more than 100 nautical miles offshore Clarifies that this endorsement is limited to domestic near-coastal waters not more than 100 nautical miles offshore. 11.493 11.493 Revises language to require that Master (OSV) applicants complete a Coast Guard-approved program that meets STCW Convention requirements Eliminates unnecessary language and ensures that all programs approved by the Coast Guard are consistent with the STCW Convention. See Chapter II of the STCW Code. 11.495 11.495 Revises language to require that Chief Mate (OSV) applicants complete a Coast Guard-approved program that meets STCW Convention requirements Eliminates unnecessary language and ensures that all programs approved by the Coast Guard are consistent with the STCW Convention. See Chapter II of the STCW Code. 11.497 11.497 Revises language to require that Mate (OSV) applicants complete a Coast Guard-approved program that meets STCW Convention requirements Reduces unnecessary language and ensures that all programs approved by the Coast Guard are consistent with the STCW Convention. See Chapter II of the STCW Code. § 11.501 § 11.501 Provides a list of engineer officer endorsements for the STCW Convention Includes the three endorsements allowed by the STCW Convention for the two levels of engineer officers. These would be included to provide clarity in the incorporation of the STCW Convention. See Chapter III of the STCW Convention. Moves information requiring compliance with STCW Convention regulations and standards of competence from § 11.903 Makes the existing requirements easier to locate and follow. Adds a restriction regarding limitation for those who do not hold an STCW endorsement Provides the limitation for those without the endorsement to serve on vessels of limited horsepower because the STCW Convention applies to all seagoing vessels. See Chapter III of the STCW Convention. § 11.502 § 11.502 Adds specific language requiring that training on any propulsion mode be added to an endorsement Provides consistency with the STCW Convention requiring that an individual receive the training and education for the authority placed upon a credential. See Chapter III of the STCW Convention. § 11.505 § 11.505 Adds a new diagram showing the progression and crossover introduced in this rulemaking Provides a visual representation of the progression introduced in this rulemaking. Revises the existing engineer license structure diagram to remove chief engineer (limited oceans) Provides consistency with the STCW Convention. This endorsement would no longer exist; those serving on seagoing vessels must hold an STCW endorsement. None § 11.506 Adds section modifying the required service for chief engineer Provides consistency with the STCW Convention. See Regulation III/2 of the STCW Convention. Provides additional path to chief engineer from chief engineer (limited) Provides this progression because the only difference between the two endorsements is the required training and education. Revises the service requirements to remove the opportunity to use a qualified member of the engineering department (QMED) service towards an endorsement as chief engineer Provides consistency with STCW Convention requirements, which count only service as an officer towards the management level endorsements. See Regulation III/2 of the STCW Convention. None § 11.507 Adds section to make the prerequisite service be that of an officer in charge of an engineering watch (OICEW) Provides consistency with STCW Convention requirements regarding service and qualification as OICEW. See Regulation III/2 of the STCW Convention. Adds a specific requirement to complete approved training for a management-level endorsement Includes in regulation the requirement (based upon STCW Convention requirements) previously published in a Coast Guard policy letter. See Regulation III/2 of the STCW Convention. None § 11.508 Adds requirements for officer endorsement as second assistant engineer and STCW endorsement as OICEW Provides consistency with STCW Convention requirements regarding service and qualification. See Regulation III/1 of the STCW Convention. None § 11.509 Adds requirements for officer endorsements as third assistant engineer for seagoing service with an STCW endorsement as OICEW Provides consistency with STCW Convention requirements regarding service and qualification. See Regulation III/1 of the STCW Convention Accepts the use of training programs as a process to achieve these endorsements Clarifies that successful completion of an approved program is the most specific method for meeting the requirement. This allows for a broader acceptance of training programs. Lists the training and education requirements for an endorsement as third assistant engineer and OICEW Provides consistency with STCW Convention requirements regarding specific training and education for these endorsements. See Regulation III/1 of the STCW Convention. Provides progression from assistant engineer (limited) and designated duty engineer (DDE) after completing approved or accepted training Allows those holding an approved STCW endorsement with limitations to only complete the additional training between the two endorsements. These requirements are based on STCW Convention requirements and were previously published in a Coast Guard policy letter. See Regulation III/1 of the STCW Convention. § 11.510 § 11.510 Adds new section to allow an applicant to obtain a chief engineer endorsement limited to vessels less than 10,000 HP and near-coastal waters Provides U.S. mariners the opportunity to reduce the training and education requirements for service in near-coastal waters allowed by the STCW Convention. See Regulation III/2 of the STCW Convention. § 11.520 Moves the requirements for chief engineer endorsements without STCW endorsements This requirement still exists for inland engineers. None § 11.511 Adds new section allowing applicants to obtain a first assistant engineer endorsement limited to vessels less than 10,000 HP and near-coastal waters. This section provides the management-level training required for these limited endorsements Provides U.S. mariners the opportunity to reduce the training and education requirements for service in near-coastal waters allowed by the STCW Convention. See Regulation III/2 of the STCW Convention. None § 11.512 Adds a new section for chief engineer, limited to vessels of less than 4,000 HP Provides for the training and education for vessels of this propulsion power, consistent with the STCW Convention. See Regulation III/3 of the STCW Convention. None § 11.513 Adds requirements to qualify as first assistant engineer with an STCW endorsement as second engineer officer on motor or gas turbine propelled vessels of less than 4,000 HP/3,000 kW Provides consistency with STCW Convention requirements regarding service and qualification. See Regulation III/2 of the STCW Convention. § 11.514 § 11.522 Moves and revises the requirements for second assistant engineer endorsements without STCW endorsements This requirement still exists for inland engineers. § 11.514 Revises section to add requirements for assistant engineer on vessels of not more than 4,000 HP on near-coastal routes Provides an option consistent with the STCW Convention for a limited endorsement for engineers on vessels of limited propulsion on near-coastal routes. See Regulation III/3 of the STCW Convention. § 11.512 § 11.521 Moves the requirements for first assistant engineer endorsements without STCW endorsements This requirement still exists for inland engineers. § 11.516 § 11.523 Moves and revises the requirements for third assistant engineer endorsements without STCW endorsements This requirement still exists for inland engineers. § 11.518 § 11.524 Moves and revises the requirements for chief engineer (limited) endorsements without STCW endorsements This requirement still exists for inland engineers. § 11.522 § 11.525 Moves and revises the requirements for assistant engineer (limited) endorsements without STCW endorsements This requirement still exists for inland engineers. § 11.524 § 11.526 Revises the requirement for DDE Complies with STCW Convention requirements for service on vessels to which the STCW Convention doesn't apply, and to vessels on the Great Lakes and other inland waters. See Chapter III of the STCW Convention. § 11.551 11.551 Revises the section to provide the completion of a program of training, assessment, and sea service approved by the Coast Guard for offshore supply vessel (OSV) engineer endorsements Consolidates and clarifies the information that was previously in §§ 11.551, 11.553 and 11.555. § 11.811(b) § 10.215 Includes medical requirements for vessel security officer (VSO) Meets the new STCW Convention requirements that come into force on July 1, 2009. § 11.901 11.901 Revises the section to require keeping the record of demonstrations of proficiency in the applicant's file Notifies applicants that the Coast Guard will maintain a record of completed assessments. Removes the list of endorsements requiring STCW endorsement Amends section because the list of endorsements was redundant and unnecessary in this location. § 11.903 11.903 Revises the list of endorsements requiring examination Removes the endorsements that don't require an examination, based on a change in policy and progression consistent with the STCW Convention, i.e. , master and second mate. Deletes the paragraph excluding master and mate of towing vessels The exclusion for master and mate of towing vessels would be provided in §§ 11.464 and 11.465 Revises table 11.903(c) and moves it to the subpart on requirements for deck and engine officers in §§ 11.401 and 11.501, respectively Improves the use of the table as a reference for applicants seeking information on the requirements for various endorsements. § 11.910 11.910 Revises table 11.910-1 Reflects the combined endorsements at the management and operational levels. Revises table 11.910-2 Revises the table of subjects based on combined examinations at the operational and management levels and updates the information for the STCW Convention. § 11.950 11.950 Revised table 11.950 by creating table for seagoing vessels and another for Great Lakes and inland waters Reflects the combined endorsements at the management and operational levels and updates information for the STCW Convention. None § 12.201 Adds a minimum age required to obtain a rating endorsement Incorporates STCW Convention requirements and current Coast Guard practices that use 16 as the minimum age for these credentials. § 12.03-1 Subpart C of part 10 Consolidates Coast Guard-accepted and approved training into one subpart Reduces regulatory redundancy. § 12.05-3 § 12.412 Revises the general requirements to obtain an endorsement as able seaman (A/B) to include holding or qualified to hold an endorsement as lifeboatman or survivalman Clarifies the A/B requirement to allow being qualified for lifeboatman or survivalman, and removes the requirement to pass the lifeboatman exam if the individual already holds the appropriate endorsement. § 12.05-3(c) § 12.420 Adds a new section to provide the requirements for ratings forming part of a navigational watch (RFPNW) Provides requirements for RFPNW, required by the STCW Convention, in one location. The regulations do not currently identify these requirements. See Regulation II/4 of the STCW Convention. § 12.05-5 [Reserved] § 10.215 Consolidates the physical and medical requirements with all other endorsements and provides specific requirements rather than referring the applicant to the requirements for deck officers Clarifies the requirements for this endorsement. § 12.05-9 § 12.416 Adds the option of survivalman as meeting the requirements for lifeboatman Provides additional flexibility for mariners serving on vessels without lifeboats by allowing them the ability to obtain an A/B endorsement. § 12.05-11 § 12.418 Adds the option of survivalman Allows for additional flexibility for the industry. § 12.10-1 § 15.403 Moves this requirement to § 15.403 Moves section to part 15 as it is a manning requirement. § 12.10-3 § 12.610 Revises the section to add the STCW Convention requirements for proficiency in survival craft and rescue boats. Removes the list of specific programs from meeting the requirements Includes demonstrations of proficiency required by the STCW Convention. Lifeboatman endorsement must comply with the STCW Convention. There is no need to list the approved programs as they are in the list of approved courses. See Regulation VI/2 of the STCW Convention. § 12.10-5 12.610 Incorporates revised examination and demonstration of ability requirements into § 12.610 with other requirements for lifeboatman Moves these requirements for clarity. § 12.10-7 None Removes section Information is provided under able seamen ( see proposed § 12.418) and not required in this subpart. § 12.10-9 § 12.620 Revises the requirements for certificates of proficiency in fast rescue boats, adding a specific number of drills and the specific areas of competence the STCW Convention requires Provides additional information clarifying the STCW Convention requirements to obtain an endorsement for proficiency in fast rescue boats. See Regulation VI/2 of the STCW Convention. None § 12.630 Provides a new section for a survivalman endorsement Adds new section because there are individuals assigned to vessels without lifeboats who do not need to meet the full requirements for lifeboatman, but must still meet the proficiency in the survival craft installed on their vessels. See STCW Convention section VI/2. § 12.13-1 § 15.403 Moves this documentary evidence section to part 15 We made this section consistent with the similar section applicable to able seamen and moved it into part 15 regarding manning requirements. § 12.13-3 § 12.640 Revises this basis-of- documentary- evidence section to include those persons who have alternative qualifications Adds the additional process to meet this requirement through the possession of a professional license or alternative professional qualification. § 12.15-1 § 15.825 Moves section to part 15 We made this section consistent with the similar section applicable to able seamen and moved it into part 15 regarding manning requirements; removed requirement to produce an endorsement to the United States Customs and Border Protection Port Director or master. § 12.15-3(e) § 12.510 Revises the rating forming part of an engineering watch (RFPEW) requirement for QMED Removes the specific requirement for the STCW endorsement as RFPEW associated with QMED and moves it to its own subpart. Adds a note that RFPEW may be required for those QMEDs serving on seagoing vessels. § 12.15-5 § 12.512 Moves the medical and physical exam requirements for QMED Places medical and physical requirements for all endorsements in part 10. § 12.15-7 § 12.514 Revises the requirement to provide a more general requirement that a QMED endorsement applicant must complete an appropriate training program There is no need to provide specific information regarding the training programs and courses; this information is included in the course approval letters provided to each training provider. § 12.15-11 § 12.518 Revises existing language without substantive changes Removes language that didn't add clarity. None § 12.530 Adds new section providing the requirements for RFPEW Provides specific requirements for this STCW rating, even though this rating was part of the requirements for QMED. See Regulation III/4 of the STCW Convention. § 12.25-20 § 12.706 Revises to refer to § 10.215 Refers to the medical and physical requirements section in part 10. § 12.25-45 § 12.650 Revises section to provide more specific information regarding the qualification requirements for an endorsement as GMDSS at-sea maintainer Specifies the methods of qualification allowed to obtain the endorsement. § 15.103 § 15.103 Adds clarification that a safe manning certificate may be issued to uninspected vessels on an international voyage Provides uninspected vessels on international voyages the necessary information they will need to provide port state control officers in foreign ports. § 15.301(b) § 10.109(d) Revises section to add VSO to the list of endorsements under the STCW Convention Adds endorsement to meet the new STCW Convention requirements that will come into force on July 1, 2009. Various § 15.403 Moves requirements from throughout subchapter B to this section, providing details for when various credentials are required Consolidates all manning requirements into part 15. Consolidates the general exception from the STCW Convention Moves the exception to part 15 because it is a manning issue. None § 15.404 Adds this section to provide the various endorsements required for service Explains specific endorsements required and covered under these manning requirements. § 15.515 § 15.515 Clarifies the requirement regarding passenger vessels Provides clarification to assist in understanding manning requirements because existing language is confusing. § 15.605 § 15.605 Adds the requirement that individuals serving on uninspected passenger vessels (UPVs) on international voyages must comply with the STCW Convention UPVs operating on near-coastal domestic voyages are held to be substantially in compliance with the STCW Convention. However, the STCW Convention requires all individuals to be in compliance with the STCW Convention when on international voyages. See Article III of the STCW Convention. § 15.805 15.805 Provides for all UPVs on international voyages to be under the control of an individual holding a license or endorsement as master Provides consistency with the STCW Convention, which requires that all vessels on an international voyage, including UPVs, must be operated by an individual who complies with the STCW Convention. See Article III of the STCW Convention. § 15.845 15.845 Adds manning provision for survivalman rating Provides an alternative for those vessels without lifeboats and sets the provisions to use survivalmen in lieu of lifeboatmen. § 15.1109 15.705 Moves requirement that masters of seagoing vessels must observe the STCW Convention watchkeeping principles Consolidates watchkeeping requirements to meet the STCW Convention watchkeeping principles. See Chapter VIII of the STCW Convention. D. Part 12 Renumbering Part 12, Requirements for Rating Endorsements, was largely rewritten to incorporate the rating requirements of the STCW Convention. In addition, the numbering of part 12 was changed to reflect the numbering of the remainder of 46 CFR subchapter B. Below is a quick-reference table showing the subparts and sections of the previous part 12 that were renumbered, revised, and inserted into the new part 12. Old Reference New Reference Subpart 12.01 Subpart A § 12.01-1 § 12.101 § 12.01-3 § 12.103 § 12.01-9 § 12.105 Subpart 12.02 Subpart B § 12.02-11 § 12.201 § 12.02-17 § 12.203 Subpart 12.03 Subpart C § 12.03-1 § 12.301 Subpart 12.05 Subpart D § 12.05-1 § 12.410 § 12.05-3 § 12.412 § 12.05-7 § 12.414 § 12.05-9 § 12.416 § 12.05-11 § 12.418 § 12.05-7(a)(5) § 12.420 Subpart 12.15 Subpart E § 12.15-3 § 12.510 § 12.15-5 § 12.512 § 12.15-7 § 12.514 § 12.15-9 § 12.516 § 12.15-11 § 12.518 § 12.15-13 § 12.520 § 12.15-15 § 12.522 § 12.15-7(C) § 12.530 Subpart F § 12.10-3; -5 § 12.610 § 12.10-9 § 12.620 § 12.630 § 12.13-1; -3 § 12.640 § 12.25-45 § 12.650 Subpart 12.25 Subpart G § 12.25-1 § 12.702 § 12.25-10 § 12.704 § 12.25-20 § 12.706 § 12.25-25 § 12.710 § 12.25-30 § 12.720 § 12.25-35 § 12.730 § 12.25-40 § 12.740 Subpart 12.40 Subpart H § 12.40-1 § 12.801 § 12.40-5 § 12.803 § 12.40-7 § 12.805 § 12.40-9 § 12.807 § 12.40-11 § 12.809 § 12.40-13 § 12.811 § 12.40-15 § 12.813 E. Request for Comments The Coast Guard seeks specific comment on the requirements within proposed subpart E of part 11 of 46 CFR in regards to the proposed training for engineering officers and the current lack of approved courses. We would like public comment to determine when training facilities believe they will be able to develop the new training proposed in this rule. V. Discussion of Comments on the Interim Rule (IR) This section contains an analysis of 41 comments received in response to the IR. All references to specific regulations by commenters refer to regulations in existence at the time of the 1997 IR. Comments expressing support for a specific exemption are discussed below under the relevant sections. 1. Scope of Application—General Seven comments were received expressing general views about the scope of application aspects listed in the IR. These commenters were opposed to or concerned about any exemption or relaxation of requirements for personnel on inland vessels, on small passenger vessels, on Great Lakes vessels, on offshore supply vessels (OSVs), on fishing boats, on mobile offshore drilling units (MODUs), and on vessels of less than 200 GRT/500 GT on domestic voyages. One commenter said the Coast Guard should take steps to ensure all personnel on exempted vessels are subject to special training requirements that are equivalent to the STCW Convention and subject to a quality standards system (QSS). Another commenter agreed that exemptions could not be granted simply on the grounds that vessels operate domestically. One commenter advocated that a unified set of standards should apply to all licensed officers in the merchant marine, and that, therefore, the STCW Convention standards should apply to all personnel serving not only at sea, but also on inland waters and the Great Lakes. This commenter recognized that this approach would exceed the scope and intent of this rulemaking and the STCW Convention, and suggested that unification of standards be introduced in due course under a separate set of proposals. The commenter said all personnel on seagoing ships, including those serving on smaller ships, should be subject to the full range of the STCW Convention requirements. We do not propose to extend application of the STCW Convention to inland waters, since the scope of the STCW Convention is limited to seagoing ships. Our entire scheme of licensing, testing, inspection, and continued oversight for inland water and Great Lakes provides a level of safety equivalent to the STCW Convention. One commenter said the exemption from the STCW Convention for vessels operating exclusively on the Great Lakes should be removed to allow licensed officers on those ships to obtain STCW endorsements. The exemption does not entirely remove the possibility for such officers to receive an STCW endorsement if they are able to provide evidence of having completed the required training and assessment. It is not necessary or appropriate to expand the application of the STCW Convention requirements to the Great Lakes (which the U.S. considers to be outside the scope of the STCW Convention). We have worked with training facilities in the Great Lakes region, including the Great Lakes Maritime Academy, to provide a route for those mariners interested in acquiring an STCW endorsement for service outside the Great Lakes. One commenter expressed the view that it would not be appropriate to issue an STCW endorsement for service on the “Inside Passage,” i.e., international voyages between Seattle, WA, and Vancouver, British Columbia, to someone who had not demonstrated competence under the STCW Convention. Another commenter requested a determination that this route be considered “within the boundary lines” and, therefore, not subject to the STCW Convention implementation schedule. Yet another commenter expressly requested that no exemption be granted to vessels operating on the waters of the Inside Passage. As explained in the preamble to the IR, we consider these waters to be inland waters, which are outside the scope of the STCW Convention. However, on request, we will issue an STCW endorsement limited to service on the Inside Passage to holders of U.S. inland licenses or endorsements, provided such documentation is necessary for operation in waters under Canadian jurisdiction. The limitation placed on the document should be sufficient indication to all concerned that the holder has not been subject to the full range of assessments necessary under the STCW Convention for service on seagoing ships when operating outside the boundary line. Two commenters supported our implementation of the measurement system established by the International Convention of Tonnage Measurement of Ships. We have used both gross register tons (GRT), which is the domestic tonnage measurement, and gross tonnage (GT), which is the international tonnage measurement, in this NPRM. The GRT/GT tonnage equivalencies are found in the table at 46 CFR 11.402(a). One commenter did not support the exemption that allowed for “short” voyages. This exemption has been retained in § 15.103 due to industry needs of the small vessel community, such as towing vessels and small passenger vessels on domestic near-coastal voyages. In addition, STCW provides the administrative flexibility to provide exemptions on such vessels. One commenter stated that the interchanging of the terms “certificate” and “endorsement” in the IR is confusing. This issue has been overcome by the development of the MMC rulemaking, which establishes the use of endorsements as the method of placing qualifications on a mariner's Coast Guard-issued credential. The previous concerns related to the STCW Convention's use of certificate and endorsement, as implemented by each administration. These certificates and endorsements are referenced in the MMC final rule (74 FR 11196, Mar. 16, 2009). The definition of “endorsement” may be found at 46 CFR 10.107. 2. Application to Fishing Industry Vessels Six comments noted that the IR, as written, applies only to fish-processing vessels. In general, the commenters said all fishing industry vessels should be treated the same, and opposed application of STCW Convention requirements to any fishing industry vessel, including fish-processing vessels. The commenters suggested that the Coast Guard should exempt fish-processing vessels from the STCW Convention requirements or be more flexible in applying it, and should seek legislative authority, if necessary, to allow for such an exemption. We are obligated to treat fish-processing vessels differently from fishing vessels and fish-tender vessels because fish-processing vessels are distinctively defined by legislation (46 U.S.C. 2101(11b)) as “a vessel that commercially prepares fish or fish products other than by gutting, decapitating, gilling, skinning, shucking, icing, freezing, or brine chilling.” Only vessels actively engaged in fishing are excluded under the terms of the STCW Convention, and the Coast Guard has determined that fish-processing vessels are not actively engaged in fishing. Therefore, we have no authority to fully exempt fish-processing vessels from the STCW Convention requirements without a legislative change. Where flexibility does exist, we have made every effort to ensure the fishing vessel industry can operate under a uniform system. For example, this NPRM proposes retaining the provision from the IR that recognizes compliance with the regulations in 46 CFR part 28 as meeting STCW Convention requirements for basic safety training (BST). Two comments stated that it would be preferable to address all fishing industry vessels under the International Convention on Standards of Training, Certification and Watchkeeping for Fishing Vessel Personnel (STCW-F). The STCW-F applies only to fishing vessels which do not include fish-processing vessels. We are obligated to treat fish-processing vessels differently from fishing vessels and fish-tender vessels because fish-processing vessels are distinctively defined by legislation (46 U.S.C. 2101(11b)), and as stated in our response to the previous comment. Three commenters stated that there are competitive impacts from imposing STCW Convention requirements on only one segment of the fishing industry; for example, when fish-processing vessels, which are included, must compete for business with factory trawlers, which are exempt. We are obligated to treat fish-processing vessels differently from fishing vessels and fish-tender vessels because fish-processing vessels are distinctively defined by legislation (46 U.S.C. 2101(11b)). Only vessels actively engaged in fishing are excluded under the terms of the STCW Convention, and the Coast Guard has determined that fish-processing vessels are not actively engaged in fishing. Therefore, we have no authority to fully exempt fish-processing vessels from the STCW Convention without a legislative change. Where flexibility does exist, we have made every effort to ensure the fishing vessel industry can operate under a uniform system. Six commenters said it was not logical to apply the STCW Convention (and impose extra costs) on fish-processing vessels, which typically operate while anchored in protected waters, while exempting fishing vessels operating at sea, where the risks are higher. As noted in response to the previous comment, we are obligated to treat fish-processing vessels differently from fishing vessels and fish-tender vessels because fish-processing vessels are distinctively defined by legislation (46 U.S.C. 2101(11b)). Only vessels actively engaged in fishing are excluded under the terms of the STCW Convention, and the Coast Guard has determined that fish-processing vessels are not actively engaged in fishing. Therefore, we have no authority to fully exempt fish-processing vessels from the STCW Convention without a legislative change. As indicated previously, where flexibility does exist, we have made every effort to ensure the fishing vessel industry can operate under a uniform system. One commenter said STCW Convention requirements should only be imposed on fishing industry vessels operating outside of the U.S. exclusive economic zone (EEZ) rather than outside the boundary line. The Coast Guard does not concur with this comment. The STCW Convention applies to all ocean waters, which have been interpreted as those waters outside the boundary line and would include the entire EEZ. One commenter did not consider the requirements of 46 CFR part 28 on drills and safety instruction comparable to the STCW Convention requirement and recommended deleting this option. We do not agree that removing this option would be appropriate because the STCW Convention does not apply to fishing vessels. Additionally, the fishing vessel industry has built its safety training programs around the requirements of 46 CFR part 28, and we believe there is a strong interest in having uniform standards wherever possible. 3. Application to Towing Industry Vessels We received three comments concerning the application of the STCW Convention to the towing vessel industry. Two commenters expressed support for the approach taken in the IR, which effectively exempted towing vessels of less than 200 GRT/500 GT on domestic voyages from additional regulation. These comments also endorsed our intent to avoid duplicate regulation by taking into account the final rule on licensing and manning requirements for towing vessel operators, published on June 17, 2003 (68 FR 35801). One of these commenters said we should proceed with the development of clear policy guidance for vessel owners and operators as well as for regional examination centers (RECs) to ensure consistent implementation of new requirements. One commenter said the application to uninspected towing vessels (UTVs) operating beyond the boundary line was not clear. While this NPRM proposes to retain the approach taken in the IR, we have clarified that UTVs operating beyond the boundary line are subject to the STCW Convention. Furthermore, since the comment was received (in December 1997), we issued Navigation and Vessel Inspection Circulars (NVIC) 4-01—available at http://www.uscg.mil/hq/cg5/NVIC/ —to address credentialing of towing vessel officers. 4. Application to Small Passenger Vessels There were four comments regarding the passenger vessel industry. Two comments expressed support for the approach taken in the IR, which, on the basis of equivalencies in existing regulations, effectively exempted small passenger vessels on domestic voyages from additional regulation. However, one of these commenters urged us to re-draft the equivalency as a general exemption and extend this equivalency exemption to include small passenger vessels on international voyages. This commenter suggested that, if we were unable to issue such an exemption, then we should hold a public hearing to explore the issues of the applicability of the STCW Convention to vessels on domestic voyages, and the “subordination of U.S. regulation to an international organization.” Regarding the need for a public meeting on the relationship of maritime treaty law to vessels in domestic or international service, we do not consider that such a meeting would contribute directly to this rulemaking project. As a party to the STCW Convention since 1991, the U.S. is committed to its terms, including any revisions that have been adopted in accordance with its amendment procedures. Whether it is proper for U.S. vessels under other circumstances to be subject to international conventions is outside the scope of this rulemaking project. Two commenters did not support the approach introduced in the IR that would allow holders of licenses for small passenger vessels operating beyond the boundary line to obtain STCW endorsements without being observed by a designated examiner (DE) or completing an approved training program. One of the commenters said an exemption was inconsistent with the revised STCW Convention. We have maintained the approach taken by the IR in this NPRM. The STCW Convention clearly provides a sufficient range of administrative flexibility to allow for exemptions from requirements for smaller ships on domestic voyages. However, for personnel serving on vessels in international service, where foreign port state control officers can be expected to insist on strict compliance with the STCW Convention, the scope of administrative discretion is very limited. We would consider approving specially tailored training programs, if submitted, for personnel serving on smaller vessels in international service (with a resulting limitation on the licenses, certificates, endorsements, and documents issued). 5. Application to Offshore Supply Vessels We received 10 comments concerning the offshore supply vessel (OSV) industry as discussed below. Three of the commenters supported the approach taken in the IR, which allows the issuance of a special category of licenses for the OSV industry. One commenter favored some form of relief for OSVs from the application of STCW Convention and Code, but said the exemption the Coast Guard proposed did not go far enough and should be extended up to 500 GRT. This commenter also disagreed on the use of a license restricted to OSVs and doubted that any mariner would want it. Four commenters disagreed with the approach taken in the IR, because the STCW Convention does not identify OSVs as a special vessel type. Two commenters focused on training aspects. One commenter said equivalencies should not be applied by a local Officer in Charge, Marine Inspection (OCMI) but, rather, on a uniform national criterion. One commenter said the Coast Guard should hold a public meeting to educate mariners in the Gulf of Mexico region about STCW Convention requirements and the implications of the IR. This NPRM retains the approach taken in the IR. It is clear from working with individuals and companies in the OSV industry that not all the areas of knowledge, understanding and proficiency (KUP), as set out in the tables in the STCW Code (incorporated by reference in the IR and available for viewing at the address under ADDRESSES ), are relevant to the OSV industry. Additionally, certain areas of proficiency that are not included or emphasized in the tables of the STCW Code are required for competence in the OSV industry. We will continue to work with companies operating OSVs, individuals who work on OSVs, and organizations that train personnel for service on OSVs to find the right balance of proficiencies needed for this limited license. If any equivalency is ultimately introduced for this license, we will develop the criteria as a national policy to provide the necessary uniformity in local application by OCMIs and RECs. We do not consider the types of ships identified in Chapter V of the STCW Convention ( i.e., tankers, passenger ships, and Ro-Ro passenger ships) to be the only possible categories of ships for which a special or limited license can be issued under the STCW Convention. The STCW Convention clearly allows for limitations to be placed on the STCW endorsement. In the present case, the holder would be limited to service on OSVs unless assessed in those areas of proficiency that would allow removal of the limitation. One commenter stated that it is necessary to improve the methods used for communicating with active mariners who are directly affected by these regulations. The Coast Guard agrees and, in an effort to make information on the STCW Convention more easily available, we have launched an STCW Convention Web site, http://www.uscg.mil/STCW/. Two commenters offered suggestions on specific areas of training and service that need to be emphasized in an OSV-based program of training and experience. These recommendations do not affect the wording of the regulation and will be considered in developing policy guidance for the approval of OSV training programs. One commenter said the OSV license provisions ( i.e. , those formerly found in §§ 10.493, 10.495, and 10.497) should each explicitly state, “The STCW Convention certificate or endorsement will be expressly limited to service on the vessel or class of vessels and will not establish qualification for any other purpose.” We do not consider it necessary to add this to the regulation since the title and description of the license as given in the regulations and used on the STCW endorsement will expressly limit service to OSVs. 6. Tonnage Issues Three commenters expressed opinions on the application of the regulatory and international tonnage systems to licensing and to OSVs. One commenter supported the use of the 3,000 GT threshold for unlimited U.S. licenses based on the International Tonnage Convention on Tonnage Measurement of Ships, 1969 (ITC). Another commenter urged the Coast Guard to make every effort to promote the use of the ITC for tonnage measurement. We are obligated not only to operate within the framework of the ITC requirements, but also within the framework of the U.S. statutory requirements, which allow for a domestic tonnage measurement system. Because of the differences between the two measurement systems, we have developed table 11.402(a), which establishes the equivalencies that the Coast Guard will use when evaluating credentials. A small number of comments from the five commenters above fall outside the scope of this rulemaking. 7. STCW Certificate or Endorsement One commenter said the use of the terms STCW “certificate” and STCW “endorsement” should be clarified. Another commenter supported the idea of combining the U.S. license and STCW endorsement into a single document. Subchapter B of 46 CFR was revised under the MMC final rule, which changed the terminology to use the phrase “STCW endorsement” (74 FR 11217, 11219). Additionally, that rulemaking consolidates all our domestic credentials into one document. 8. Length of Service Requirement One commenter requested clarification of the reference to “remaining service” in 46 CFR 10.304(e). Essentially, the commenter suggests that the provision, which requires applicants for an STCW endorsement as officer in charge of a navigational watch (OICNW) to have “not less than one year of remaining service” as part of an approved training program, does not specify the actual total service required. We agree that the section is unclear and have clarified the requirements in proposed § 11.407 to address the difference between: (1) Completion of the service and training requirements; and (2) completion of an approved program which includes service. One commenter suggested that more discussion is needed to resolve inconsistencies between the seagoing service requirements in 46 CFR part 10 and the STCW Convention regulations. We propose incorporating the sea service requirements of the STCW Convention into the proposed 46 CFR part 11, including the alternate sea service requirements for paths of progression to management level certificates. As with other provisions of this proposed rule, we seek public comment on the proposed 46 CFR part 11. 9. Qualifications of Instructors and Designated Examiners (DEs) One commenter suggested revising 46 CFR 10.309(a)(3)(iii) to allow those with expired licenses to serve as instructors. The commenter observed that performance evaluations from on-the-job experience may be sufficient to enable an individual to qualify as a DE. We agree and propose to revise the requirement to provide an appropriate balance between the need for instructors to “hold the level of license, endorsement or other professional credential” required of those who would use the knowledge and skills necessary to teach onboard a vessel, and the need to ensure that qualified and experienced instructors are not prevented from giving instruction for lack of a license. A professional credential can be something other than a license if the qualification to perform the skill on a vessel is a special endorsement (as in the case of radar or Global Marine Distress and Safety System (GMDSS)). This commenter also expressed concern that the Coast Guard would use the recommended timetable from the International Maritime Organization (IMO) model course on “Train the Trainer” as the mandatory length of training for qualifying instructors under U.S. regulations. The IMO model courses are non-mandatory. They serve as a useful reference point for a wide range of training programs which cover the same basic material. One commenter said the definition of DE should be expanded to include licensed engineers and mates performing as instructors at schools operated for the deep sea industry such as the Maritime Institute of Technology and Graduate Studies, the Maritime Administration (MARAD), the Harry Lundeberg School of Seamanship, and the American Maritime Officers' STAR Center. Four other commenters agreed with the view that instructors from union schools should receive the same automatic designation as qualified instructors and DEs as provided to instructors at the maritime academies. One of these commenters said an alternative would be to delete the recognition granted to maritime academy instructors in the IR. We note that the comments did not provide information to substantiate the proposed revision with respect to instructors at training facilities that are not subject to independent academic accreditation. However, we remain open to the possibility of granting a general approval for instructors at any single training facility to act as DEs within their respective approved training programs. We would grant this approval after establishing that the system used to employ instructors at the facility is effective and reliable in maintaining qualified staff who conduct assessments of proficiency. This can be accomplished through normal course approval procedures as outlined in 10 CFR Subpart C—Training Schools with Approved Courses. In addition, we are satisfied that the special system of oversight maintained jointly by the Coast Guard and MARAD is adequate to verify that academy instructors are qualified. Three commenters suggested there should be two DE levels: One for shipboard examiners and one for shoreside examiners. One of these commenters said this would address concerns of shipboard officers who are reluctant to perform assessments of proficiency and to make entries in training record books (TRBs). We do not concur that a two-tier concept for DEs should be introduced in this rulemaking. While the scope of guidance necessary for performing an assessment of proficiency should relate to the range of skills assessed, that assessment, whether performed onshore or onboard a ship, should use the same criteria. The distinction between shoreside and onboard assessment may be important for developing an assessment situation or scenario, but should not require a different set of assessment standards. 10. License Structure One commenter favored retaining the current four-tier system of licenses rather than the three-tier system used in the STCW Convention. Another commenter recommended that no changes should be made to the domestic licensing system without careful study by the Merchant Marine Personnel Advisory Committee (MERPAC). We asked MERPAC to study this issue, and they recommended that we retain the current four-tier system. Consequently, we have not altered the basic four-tier system of licenses in this NPRM; however, we have provided alternative paths of progression. 11. Bridge Teamwork Procedures Two commenters said it was important to include shipboard training in bridge teamwork procedures for unlicensed personnel ( i.e. , helmsman and lookout), and to provide bridge teamwork training for ratings forming part of a navigational watch (RFPNWs). We agree that this is desirable, and that this should be understood within the context of Table A-II/4 of the STCW Code, which lists the following among the required KUPs for qualifying as an RFPNW: The “ability to understand orders and communicate with the officer of the watch in matters relevant to watchkeeping duties * * * procedures for the relief, maintenance, and handover of a watch * * * [and] information required to maintain a safe watch.” The level of training and assessment does not have to be of the same scope and depth as required for an officer in charge of a navigation watch (OICNW) in Table A-II/1 of the STCW Code and in 46 CFR 11.407(a)(2). One commenter requested clarification as to whether the Coast Guard must approve training in bridge teamwork procedures. Another commenter was not opposed to in-service, onboard assessments of competence in bridge teamwork, but stated that the Coast Guard should verify that the resulting level of competence is equal to structured training. A third commenter said the Coast Guard should require formal classroom and simulator instruction in bridge teamwork and bridge resource management (BRM) in all cases. As a general matter, all training that is provided to meet an STCW Convention requirement must be monitored under an approved QSS. During the transition period, we accepted assessment as one method of proving competence to allow for those who had previously completed BRM or had extensive experience on vessels that practiced BRM. Now that the transition period has ended, we propose requiring formal training and assessment. Furthermore, we are proposing a requirement for training in BRM at the operational level. One commenter expressed support for the list of items that the preamble to the IR indicated should be covered in the assessment of proficiency in bridge teamwork procedures (62 FR 34519). These items were included in the guidance contained in NVIC 4-97 on company responsibilities. 12. License Renewal and Refresher Training One commenter felt that the options available in the IR for renewing licenses should be revised to require refresher training in the International Safety Management Code (ISM), GMDSS, and other new technologies. We drafted the IR to reflect or retain the options made available in section A-I/11 of the STCW Code. These include passing an approved test or performing functions equivalent to seagoing service. Refresher training is also an option. Therefore, we do not consider a revision restricting U.S. license holders to any one of these options appropriate. 13. QSS and ISM Code One commenter said that before the Coast Guard accepts the ISM certificate as sufficient evidence of a QSS for in-house training and assessment, it should review the ISM certification process to ensure there is sufficient time and scope to verify evidence of compliance with the STCW Convention. This commenter expressed doubt that the current procedures were adequate to encompass STCW Convention requirements. The preamble to the IR stated that we were planning to “accept the ISM Certificate of a company as sufficient evidence of a QSS for in-house training and assessment, provided the company incorporates, in its ISM program, a commitment to comply with 46 CFR 10.309,” which sets out the elements of a Coast Guard-accepted QSS (62 FR 34513). We provided further guidance on company roles and responsibilities in NVIC 4-97, which states that a valid Safety Management Certificate and Document of Compliance by themselves establish a presumption of compliance with STCW Convention regulation I/14 (Company responsibilities). This is a limited presumption that does not extend to other STCW Convention regulations such as I/8 on Quality Standards. We consider the ISM system to offer a solid basis for adopting the STCW Convention requirements if the company is providing opportunities for onboard training and assessment. However, some modifications to the company's ISM system are essential to ensure that the special requirements of 46 CFR 10.309 are fulfilled. Two commenters said that ISM audits would not accomplish STCW Convention audits in the same time period during which both systems are being implemented. At this time, there hasn't been an instance of an approved use of ISM to encompass STCW Convention audits. Three classification society systems of evaluation are Coast Guard-accepted QSSs, but the system is not designed to “piggyback” on an ISM audit. One commenter said if the ISM certificate process is used as evidence of QSS for in-house training, increases in manning should be considered. The Coast Guard is not considering a specific manning requirement at this time because it is beyond the scope of this rulemaking, which seeks merely to incorporate the STCW Convention into our regulations. 14. QSS, Coast Guard Course Approval, and Maritime Academies One commenter, while expressing general support for the IR, said that, in the absence of any Coast Guard-accepted QSSs, there might be a need to delegate course approvals from the U.S. Coast Guard National Maritime Center (NMC) to the local OCMIs. We are not endorsing this proposal for several reasons. First, NMC oversight provides a higher degree of nationwide consistency in course approvals. Adding workload to local Coast Guard units would not necessarily increase the efficiency of the approval process. Since receiving the comment, we have approved two classification societies and one accreditation service to act as Coast Guard-accepted QSSs. One commenter said the system of monitoring the training programs at the maritime academies and the Coast Guard's own course approval system did not comply with STCW Convention Regulation I/8 on QSS. This commenter suggested using International Organization for Standardization (ISO) 9002 and applying it across the board to all maritime training and to the Coast Guard's course approval system. The Coast Guard has developed a comprehensive QSS for the merchant marine personnel qualification system. We agree that all training courses and programs used for qualification under the STCW Convention should be monitored under a QSS and, in this rulemaking, we are proposing that all training courses and programs used for qualification under the STCW Convention be monitored under a QSS, including those training programs provided by the maritime academies. While the standard used within the Coast Guard is based upon ISO 9001:2000, we have not required a specific standard to use in this rulemaking. 15. QSS Alternatives Three commenters supported the concept of employing a panel of maritime education specialists from maritime associations, maritime trade organizations, maritime training institutions, corporations, or other organizations that meet the requirements of 46 CFR 10.309(a) as an alternative to a Coast Guard-accepted QSS. One commenter said the Coast Guard should assemble and manage teams of visitors to ensure national uniformity. Another commenter expressed concern about this concept, particularly in the areas of potential conflicts of interest and lack of administrative structure. If submitted, we will consider any viable proposal for such a concept to be implemented under NVIC 7-97 (Guidance on STCW Quality Standards Systems for Merchant Marine Courses or Training Programs). No regulatory revision is necessary to accommodate this concept. One commenter said it was important for the Coast Guard to retain the no-cost course approval process and consider the costs associated with third-party QSSs. We will continue to approve training programs for the foreseeable future because of effectiveness of third-party oversight. 16. Simulators One commenter said the Coast Guard should not allow or approve “personal computer/PC-based training,” as it does not constitute satisfactory simulator training involving spatial and equipment duplication. This commenter added that technical performance standards should be developed for “full-task simulators, part-task simulators, and personal computers used to provide limited visual scenes, diagnostics, and memory” and that the regulations should stipulate the simulators required for radar and automatic radar plotting aid (ARPA) training. At this time, many questions remain about the effectiveness of simulator technology in maritime training. We will continue working with MERPAC and others in the maritime training community to develop guidance related to simulator technology in maritime training for use in Coast Guard course approvals or by Coast Guard-accepted QSSs that may be interested in implementing this type of technology. Regarding computer-based training, the Coast Guard continues to accept this type of training under our course approval process. 17. Basic Safety Training and Ship-Specific Familiarization Three commenters raised issues concerning the four elements of basic safety training (BST): Basic fire-fighting, elementary first aid, personal survival, and personal safety/social responsibility. One commenter asked when the Coast Guard would make a notation on the STCW endorsement indicating that the holder had been trained and assessed in BST. It is unnecessary for such a notation to be placed on the STCW endorsement. Other forms of documentary proof, such as a course completion certificate, meet this STCW Convention requirement. The IR allowed for the possibility that such a notation could be made by the Coast Guard; however, since then, changes in interpretation of the STCW Convention by IMO and the Coast Guard allow a mariner to retain competency in BST through continued sea service. Another commenter sought consistency between the STCW Convention requirements for BST and other requirements for crew training, particularly requirements associated with life saving appliances and arrangements (46 CFR part 199). The commenter noted that the requirement for drills under part 199 allowed some time for a new crewmember to be trained, while the STCW Convention requirement for ship-specific training required similar training before any shipboard duties could be assigned. The two sets of regulations have different purposes. Title 46 CFR 199.180(c) focuses on the drills that are essential to ensure the crew can respond to an emergency and coordinate its activities. The STCW Convention requirement focuses on the individual seafarer who must be familiarized with the ship-specific arrangements, installations, equipment, procedures, and ship characteristics relevant to his or her routine or emergency duties, and the ship's written procedures, which must ensure that newly employed seafarers are given a reasonable opportunity to reach an acceptable level of familiarization “before being assigned to those duties” ( See Section A-I/14 of the STCW Code). The two regulations are consistent. The onboard written procedures can certainly take into account the schedule of drills as part of the ship-specific familiarization process before a newly employed seafarer is assigned duties. One commenter asked whether familiarization training requires an ability to read. The commenter referred to guidance included in the preamble to the IR (62 FR 34520) where the following was included in the recommended checklist of items to be addressed with newly employed crew members: “Read and understand relevant standing orders, safety and environmental-protection procedures, and company policies clarifying any unclear or confusing material.” The commenter did not believe that the STCW Convention requires or mentions any reading capability. The STCW Convention requires deck officers to have an adequate knowledge of English, and for engineer officers to be able to use English in oral and written form. Therefore, when we refer to reading and understanding “relevant” orders, procedures, and policies, this guidance would apply to those to whom such documents are addressed. If an individual is employed on a ship in a capacity where reading is not required, familiarization training could be provided by another means. One commenter said the requirement for training in personal safety and social responsibility can be accomplished on the job as part of a company's Safety Management System under the ISM Code, and a certificate of completion by a company should be accepted as evidence of such training; therefore, we should revise 46 CFR 10.205(l) accordingly. A company-issued certificate could serve as documentary proof of this element of basic training and assessment, provided the program of training is approved by the NMC or monitored by a Coast-Guard-accepted QSS in accordance with § 10.309 and NVIC 7-97, and provided the assessment is conducted by a DE. The ISM system can readily be adapted to encompass these elements and no change to the regulation is needed to accommodate such actions. One commenter said the requirements for BST or instruction, as presented in 46 CFR 15.1105(c), are broader than the STCW Convention requirement because they address all crewmembers who are assigned a duty on the muster list. This commenter suggested requiring only familiarization training for those crewmembers on a cruise ship who have minimal duties on the muster list (such as carrying a blanket to the muster station), will assist passengers in emergencies, or have other specific emergency duties (such as lifeboatman). We raised this issue at the IMO Maritime Safety Committee in June 1997. The United States stated its support for the new amendments to the STCW Convention to focus on personnel on passenger ships “with the understanding that basic safety training requirements in chapter VI already apply to personnel on passenger ships who are nominated or designated to assist passengers in emergencies.” The IMO Committee “agreed with this understanding, recognizing that training should be related to the duties assigned to such personnel.” Therefore, we do not see a need to revise 46 CFR 15.1105. This commenter also expressed the opinion that evidence of having received the appropriate BST or instruction can be met by company-maintained records and need not be in the form of individual certificates. Therefore, the rule should be revised to reflect this view. We agree that company-maintained records can serve as evidence to be produced to establish that crewmembers have received approved BST or instruction, provided the scope and date of training or instruction are itemized for each crewmember in such records. The wording used in 46 CFR 15.1105(c) and (d) ( i.e. , “produce evidence”) is directly derived from the relevant wording in the STCW Code (“provide evidence”), and would allow the use of company-maintained records as long as the individual concerned has convenient access to the records when he or she needs them for license or document renewal, as well as for port state control purposes. Therefore, no revision to the regulation appears necessary or appropriate. One commenter endorsed the idea that the companies use a checklist for ensuring that new crewmembers are familiarized with ship-specific procedures, equipment and arrangements. This idea is included in NVIC 4-97 on company responsibilities. 18. Training Record Books One commenter noted that his training record book (TRB) should capture all shipboard training and assessment, although he did not view shipboard assessment as required to satisfy STCW Convention competency standards. This commenter noted that his TRB would also serve as documentary evidence of BST. Another commenter suggested re-drafting the regulation to encourage using the TRB to record all required training, including training in hazardous materials and refrigerants. This suggested change is not necessary or appropriate. TRBs have a special limited purpose under 46 CFR 10.304 as part of the licensing process to obtain an operational level endorsement. There is nothing in the regulation that prevents the use of an expanded TRB to encompass other records of training. The subjects suggested as examples go beyond the scope of this rulemaking. A commenter suggested citing the TRB as “essential documentary evidence” under 46 CFR 10.207 for the purpose of raising the grade of a license. The TRB has a special limited purpose under the regulations. This purpose is consistent with the TRB requirement under the STCW Convention. Documentary proof of competence based on the relevant tables in the STCW Code would be required for anyone applying for a raise in grade of a license if the sea service or training commenced on or after August 1, 1998, or when the application is submitted. It is unnecessary to revise the regulations to establish a single fixed format for this proof. 19. Standards of Medical Fitness One commenter suggested the Coast Guard revise NVIC 6-89 on physical evaluation guidelines for merchant mariners' documents and licenses, and that it should hold a public meeting to present Coast Guard and MERPAC proposals and receive general industry suggestions and comments. Since receiving this comment, we replaced NVIC 6-89 with NVIC 2-98. After consulting with MERPAC to solicit their views, we subsequently decided to replace NVIC 2-98 and published a draft document in the Federal Register seeking public comment (71 FR 56998, Sept. 28, 2006). After addressing these public comments (73 FR 56600, Sept. 29, 2008), we issued NVIC 04-08 and made it effective October 29, 2008. The Coast Guard will continue to work with MERPAC and other advisory committees when considering medical fitness standards. One commenter believed the Coast Guard might use a revision of NVIC 6-89 as a means of imposing the Seafarers' Health Improvement Program (SHIP) on the maritime industry as a mandatory standard. After considering the use of SHIP, the Coast Guard chose to work in consultation with MERPAC to develop the revised NVIC 04-08 that provides guidance to mariners and their physicians in the evaluation of medical conditions. Three commenters supported a proposal submitted to the docket in response to the NPRM that the Coast Guard require mariners to report any prescription drugs they are taking. We did not require this in the IR because it was not mandated by the STCW Convention. However, this information is already included on the form submitted by the mariner with his or her application (the CG-719K), as required by 46 CFR 10.225(b)(7). 20. Training for Those Providing Medical First Aid or for Qualification as Person in Charge (PIC) of Medical Care Onboard Ship One comment said the Coast Guard should revise 46 CFR 12.13-1 to require that applicants provide documentation of training within the previous 5 years for certification to provide medical first aid or be in charge of medical care onboard a ship. Recent qualifying service, or “recency,” generally means 90 days of service on vessels of appropriate tonnage or horsepower within the 3 years immediately preceding the date of application. The STCW Convention does not stipulate a period of recency, and we do not consider it appropriate to add a requirement to this rulemaking that exceeds the requirements of the STCW Convention. 21. Fatigue and STCW—General One commenter suggested that increased requirements for obtaining an original license or to renew a license might result in a shortage of qualified officers at a time when more crewmembers are necessary to allow increased off-watch time for operating personnel to reduce fatigue. The commenter suggested “incentives” might be needed to attract new recruits to the maritime industry. We have no way to make the determination whether increased requirements would result in individuals choosing or not choosing to enter the maritime profession. The Coast Guard is not the appropriate agency to determine incentives to be provided to the maritime industry in order to attract new recruits. That falls within the purview of MARAD. 22. STCW Rest Periods for Watchkeeping Personnel Following the publication of the IR, in March 1998, the Coast Guard's Navigation Safety Advisory Committee (NAVSAC) proposed to allow a deviation from the required rest periods in 46 CFR 15.1111 for circumstances that “could not reasonably have been anticipated at the commencement of the voyage,” which is directly derived from the wording of section B-VIII/1 of the STCW Code. NAVSAC proposed that this phrase should be interpreted narrowly to include only unexpected circumstances developing during a voyage that cannot normally be avoided by good voyage planning, effective management practices, and a comprehensive, scheduled maintenance program. Such circumstances impose on the crew a temporary increase in workload to maintain the operational status of the ship, but they should not be based on economic considerations, pressure to meet commercial deadlines, or regulatory requirements. Examples of circumstances that “could not reasonably have been anticipated at the commencement of the voyage” include, but are not limited to: Sudden severe weather; a prolonged period of fog; failure of equipment that is fundamental to the safe operation of the ship; and re-assignment of workload due to the illness or incapacity of a crew member. This guidance should not be interpreted as undermining the master's authority to take action when necessary for the safety of the ship, the crew, and persons in danger at sea. Several commenters made reference to this proposal. One commenter supported this proposal. This commenter also supported the definitions of “rest” and “overriding operational conditions” as used in 46 CFR 15.1101 in the IR. Another commenter specifically said he agreed with the principle that proper voyage planning can minimize operational emergencies. This commenter also agreed that when there is a difference between a statutory requirement and the STCW Convention rest periods, the stricter of the two rules should apply. One commenter supported the provision that permits the interruption of rest periods to ensure full crew participation in drills. This provision directly reflects the wording of the STCW Convention ( See A-VIII/1, paragraph 3). One commenter requested the Coast Guard revise the rule on rest periods to take into account situations where the unlicensed crewmembers work on a schedule of “one week on, one week off” on a “six hours on, six hours off basis,” but they are also called out during off-watch periods to assist in line handling and vehicle loading, and therefore do not always get 70 hours of rest in the 7-day work week. This commenter says some adjustment is possible in work schedules, but tides and currents also affect the operational schedule. Almost all of the vessels operated by the commenter are documented for lakes, bays, and sounds. The STCW rest requirement does not apply to personnel on vessels operating within the boundary line. 23. GMDSS—General One commenter observed that there were difficulties in achieving implementation of the GMDSS, and, therefore, that the Coast Guard should consider either introducing a new license for radio officers on GMDSS-equipped ships, or establish a new shipboard position called “communications and electronics officer,” which would be filled by someone qualified to be both a GMDSS radio operator and an at-sea maintainer. In the IR, we retained the provisions on radio officer licenses (46 CFR 10.603), provided for STCW endorsement for competence as a GMDSS radio operator (46 CFR 10.205(n) and 10.603(d)) and as a GMDSS at-sea maintainer (46 CFR 12.25-45). We are proposing to retain these provisions in this NPRM ( See proposed § 11.603 and § 12.650). Anyone qualified under either of the GMDSS provisions can receive the appropriate STCW endorsement, and a single individual can receive STCW endorsements for both areas of competence, if qualified. Therefore, there is no need to create a new category of license. The proposal to create a new shipboard position to address difficulties in implementing GMDSS is beyond the scope of this rulemaking. 24. GMDSS and ARPA One commenter suggested the Coast Guard revise 46 CFR 15.1103(e) and (g) to impose an earlier compliance date for certification of deck watch officers in GMDSS (January 1999) and ARPA (January 1998). We are not adopting this suggestion for several reasons: (1) We maintained the requirements of the IR during the transitional period to avoid the confusion that might arise as a result of modifying those requirements; (2) The dates used in the IR were consistent with the requirements of the STCW Convention; (3) The dates proposed in the comment have passed; and (4) As the comment noted, the IR did not preclude earlier implementation by a company or an individual license holder. Another commenter said the regulations should not permit issuance of a license for service on unlimited tonnage vessels unless the applicant has met the ARPA training requirements. We do not agree. Currently mariners serving on seagoing vessels equipped with ARPA must meet training and assessment standards for that equipment. Some mariners hold upper-level licenses, but never serve on seagoing vessels. Requiring training and assessment for such mariners imposes an unnecessary economic burden. The statement that service is limited to ships not fitted with ARPA on the face of the STCW endorsement should preclude any chance of confusion over the scope or validity of the license. 25. GMDSS and Electronics Technician Three commenters said they had hoped the Coast Guard would include a new rating for “electronics technician” in the IR. One commenter wanted this endorsement available for unlicensed mariners. Another commenter wanted the skills associated with this rating to be addressed by creating a new license for radio officer/GMDSS maintainer. This commenter expressed concern that a person could serve as a GMDSS at-sea maintainer without completing an approved training program, by holding only a Federal Communications Commission (FCC) license. Another commenter said the concept of an “electronics technician” should address the maintenance associated with the increasing complexity of all the electronic systems on a ship, and not be narrowly linked to GMDSS maintenance. As noted in the preamble to the IR (62 FR 34516), we will reconsider the concept of an “electronics technician” when developing a proposal for revision of 46 CFR part 12. Based on this concept, and the fact that all essential elements for GMDSS certification under the STCW Convention are in the IR (as indicated above in section 23 on GMDSS—General), we have not included this new rating in this NPRM. 26. Proficiency in Survival Craft and Lifeboatman Seven commenters suggested that proof of proficiency in survival craft in the STCW Convention (section A-VI/2, paragraphs 1 to 4 of the STCW Code) and 46 CFR 10.209 should only be necessary within 5 years of original or initial certification, and not subsequently required. We agree, provided the mariner maintains continued proficiency in accordance with regulation I/11 of the STCW Code and 46 CFR 10.209 (under the renumbered § 10.227 in this NPRM). No revision is necessary to reflect this interpretation. One commenter asked the Coast Guard whether certification as lifeboatman would entitle the holder to a 1995 STCW endorsement for proficiency in survival craft to the same extent that it now entitles the holder to a 1978 STCW endorsement. After February 1, 2002, all mariners with certification as lifeboatman should have held an endorsement for proficiency in survival craft. Any individual who does not hold such an endorsement would have to meet the requirements of 46 CFR 12.610 and 12.630 as proposed in this NPRM. 27. Proficiency in Fast Rescue Boats One commenter would like requirements for training personnel in fast rescue boats in 46 CFR 12.10-9 to be extended to allow scheduling of training to avoid disrupting normal vessel operations. The MMC final rule removed the deadline of July 1998. 28. Company Recordkeeping Responsibilities One commenter said that, as a vessel owner and operator, his company had “no means of maintaining comprehensive files” on individuals who move from ship to ship and company to company. This commenter suggested the records should be “centralized either with the individual, the appropriate union or the Coast Guard.” The commenter suggested limiting the recordkeeping responsibility under 46 CFR 15.1107 to the period of service “on the company's vessel” and that the Coast Guard consider developing a centralized, accessible database to track seafarer-specific information. Another commenter supported the idea of permitting an agent acting on behalf of the company to maintain seafarer records, and asked that the Coast Guard allow this in the regulations. The wording of 46 CFR 15.1107 does not require “comprehensive” recordkeeping, but only recordkeeping relevant to the mariner's medical fitness, training and experience relevant to his or her assigned duties, and competency in assigned shipboard duties. Furthermore, as stated in section 4(b) of NVIC 4-97, Guidance on Company Roles and Responsibilities Under STCW, the company is responsible for keeping appropriate records, but a third-party agent (such as a union) can maintain custody of the records, provided they are accessible when needed. We do not consider a revision necessary to accommodate this approach. Although we do encourage efforts to develop databases to support the implementation of the STCW Convention, which has its own recordkeeping obligations (Regulation I/9 of the STCW Code), there are financial, administrative, and privacy implications of a centralized database that would necessitate examination before any concrete steps could be taken in that direction. 29. Special Requirements for Personnel on Ro-Ro Passenger Ships One commenter said that the requirements for training personnel on Ro-Ro passenger ships should allow additional time to develop an in-house training program. The original deadline for certification (February 1, 1997) was imposed by the 1995 STCW Amendments, and the IR was effective well before the due date. Because the deadline has long since passed, a relaxation of the deadline at this stage would be meaningless. 30. Special Requirements for Personnel on Passenger Ships One commenter suggested the Coast Guard incorporate the amendments that IMO adopted in 1996 concerning special training for personnel on passenger ships other than Ro-Ro passenger ships ( i.e. , new Regulation V/3 and Section A-V/3 of the STCW Code). We implemented these IMO amendments as regulations in the final rule, “Training and Qualifications for Personnel on Passenger Ships,” published on June 10, 2004 (69 FR 32465). 31. Publication of STCW Convention Requirements in the Code of Federal Regulations (CFR) Two commenters said the Coast Guard should publish all applicable sections of the STCW Convention requirements as part of the rules in the CFR to make the regulations more user-friendly. Although we will continue to incorporate by reference the STCW Convention and Code (rather than reproducing them wholesale in our regulations), see, 1 CFR part 51, we have included the pertinent requirements of the STCW Convention in regulations containing requirements to qualify for an officer's endorsement, a rating's endorsement, or other STCW qualification. This eliminates the layering of the STCW Convention requirements on top of the requirements for our domestic regulations. An applicant who meets the requirements of the domestic regulations would automatically meet the STCW Convention requirements. VI. Incorporation by Reference Material proposed for incorporation by reference appears in §§ 10.103, 11.102, 12.103, and 15.105. You may inspect this material at U.S. Coast Guard Headquarters where indicated under ADDRESSES. Copies of the material are available from the sources listed in §§ 10.103, 11.102, 12.103, and 15.105. Before publishing a binding rule, we will submit this material to the Director of the F [Text truncated at 120,000 characters. The full text is on the page linked above.] --- Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/fr%3AE9-26821. Public record. Not legal advice.