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Appendix B Survey of Classification Societies and Foreign Governments From the outset, the committee acknowledged that the requests for reduced manning on U.S. merchant ships were not unique. Foreign-flag vessels operating worldwide and entering U.S. waters were operating with noticeably fewer crew members along the same trade routes as U.S.-flag ves- sels. Individual foreign governments and international organizations such as the International Labor Organization (ILO) and the International Mar- itime Organization (IMO) had been similarly obliged to address shipboard manning levels while considering the safety consequences of increasing shipboard automation capabilities, sustaining the international competitive- ness of the national flag fleet, preventing the "flagging out" of ships from high cost national fleets to lower cost "offshore registries," and searching for remedies to a shortage of labor in the national merchant marine. Occasionally, reports of smaller crew experiments reached the U.S. shipping industry audience via industry associations or other private orga- nizations overseas. Those reports were often abbreviated in such a way that the perspective of the official classification societies and the national maritime authorities were unavailable. Therefore, while the final results of the experiments may have been reported to a wide American audience, the process by which the decisions had been taken to bring the experiment to a successful conclusion were less well documented. The committee decided to initiate direct inquiries to a number of official organizations about how the requests for smaller crews coming from ship operators were being handled. The objective of the effort was to 94

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SURVEY OF CLASSIFICATION S=lETIES ED FO=IGN GOURMETS 95 determine what criteria had been developed to assess the safety aspects of reduced manning levels. In March 1989, a letter questionnaire was sent to 17 organizations in Britain, Western Europe, and Japan requesting comments on issues of crew requirements for smaller crew requests, vessel requirements for smaller crew requests, and the safety performance of vessels operating with smaller crews. The letter and accompanying questionnaire are attached. RESULTS OF SURVEY Thirteen replies were received. The IMO secretariat provided several documents, five classification societies sent informative replies, and seven foreign government maritime authorities sent copies of domestic regulations and policy documents on shipboard manning, including the issues of smaller crews. The bibliography of replies and documents provided is attached. The results showed that the classification societies generally deferred to official government authorities in determining manning levels. None of the classification societies surveyed has authority to determine the manning of a vessel. All five are active in establishing requirements for ship design and construction requirements the traditional purview of the classifica- tion societyand have extended their activities into developing specialized hardware and vessel layout requirements to enable the vessel to be classi- fied for unattended engine room operations or reduced manning of bridge watches. The maritime authorities' replies confirmed that the authorities reserve the setting of merchant ship crew numbers, qualifications, and training. Smaller crew ships and reduced manning requests are increasingly common. The maritime authority replies regarding specialized vessel requirements for smaller crew requests resect the close relationships between the official maritime authorities and the classification societies in the maritime industry. (This degree of symbiosis in a government organization delegating technical oversight to a private organization may be unique to the merchant marine.) All seven maritime authorities indicated that they had developed criteria for considering vessel manning, including reduced manning requests. These criteria include technical features of vessel design and construction typically overseen by classification societies. Maritime authorities use criteria for reduced manning levels from two sources, the International Maritime Organization conventions and their own domestic regulations. No IMO convention specifically establishes safe manning standards, but five of seven national authorities use the Principles of Safe Manning (resolution N481 [XII], adopted November 19, 1981), which are elaborated in the International Convention on Standards of Raining, Certification and Watchkeeping for Seafarers, 1978 (1978 STCW

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96 APPENDIX B Convention). These principles are not aimed at achieving any fixed crew size, but set out overall functional criteria that must be sustained on any vessel in service, regardless of the number of seafarers in the crew. The replies indicate a changing definition of the ship's officers and seamen's duties, away from the traditional division into deck and engi- neering departments still required by U.S. law. Leo national authorities provided copies of national merchant marine personnel laws and regula- tions, showing that they have been substantively amended or completely restructured within the past decade, specifically in response to pressure from Beet owners and favorable results of smaller crew ship experiments. Norway established new regulations in 1987, for example, and Sweden's new standards date from 1988. The Dutch authority's reply indicates a de- liberate four-stage transition from a traditional crew organization to what they consider a smaller basic crew, with restructured crew qualifications. The unanimous response to the questions on vessel casualties was that there had been none that could be related to the introduction of smaller crews on existing or new ships. Three national authorities even volunteered that the operation of smaller crew vessels improved safety, because crew members were more experienced, better trained, and individually more aware of the need to work safely than was the case in traditionally manned vessels.

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S~~F ~ Ha_ ~ S~ ~ ~ OO_ 97 NATIONAL RESEARCH COUNCIL CO~lS~ON ON ENCINEER1NG AND TECHNICAL SYSTEMS 2101 Constitution Avenue Washington, D.C. 20418 ~^R1NE BO^RD Dear SELLER CREWS SURVEY LETTER (Sent to Classification Societies/National Authorities) ark 6, 1989 ~-89-~7 In the United States, as in other maritime nations, ship owners are operating their vessels with fewer crew, relying more on automation technologies and planed ship maintenance programs than was the case ten years ago. Me kited States Coast Guard, Rich is responsible for all U.S. merchant vessel safety, must decide nether each vessel can operate safely with a given namer of people. At the Coast Guard's request, the Marine Board of the National Research Council is assessing the effect of smaller crews on maritime safety. Our aim is to anise the U.S. Coast Guard on how to weigh the requests made of them for reduced making, rather than to spell out Mat _er of crew meters makes a ship safe. Of FlCE L~^T1O~. Ceorgetown Facility Room H^ 250 2~1 Wisconsin Avenue, N.W. Telephone: (202) =-3119 I: I) ~ Me enclosed committee roster demonstrates that we have involved broad representation from Me American maritime community to stub Mat changes may be needed to ensure that ships and crews continue to sail safely. Our co_ittee's approach to examining these factors is presented in the enclosed Statement of Task. Our work should be finished by year's end with a public report to be released thereafter. We request your assistance in our task. We want to learn how similar organizations, such as yours, hue approached the introduction of smaller crews on new and existing merchant vessels. Our ok deliberations will be improved by Me opportunity to learn how you and your colleagues considered the s_e question and Mat factors you evaluated in making your decision on the matter. You can be most helpful by answering the enclosed list of questions. AM remarks you may offer on the safety of smaller crews, in addition to the questions, would also be helpful; so would references that may lead us to other efforts, such as our ok, Midway on behalf of ship operators, classification societies, or national authorities. e hobo=' R~- Ovary/ is fhe priced _1~ ~~ ~ fAe If 4~dr'~ ~ ~~ ond 'h' Id Amy ~ Z~'eri f@ ~~e &@~r~me'11 Q"d Beer @~'zs

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98 APPENDIX B 2 Thank you in advance for your assistance. Your response will be most helpful if received by April 21, 1989. I will be pleased to provide you with the final report of this project early next year. Please direct your responses to: Mr. Charles A. Bookman, Director Marine Board, HA 250 National Research Council 2101 Constitution Avenue Washington, DC 20418 Attn: Committee on the Effect of Smaller Crews on Maritime Safety Sincerely, W.M. Benkert Committee Chairman WMB/LAM:GG Enclosures (4) Survey Questions Statement of Task Committee Roster Marine Board Brochure

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SURVEY OF CLASSIFICATION SURETIES ED FO=IGN GOURMETS 99 SURVEY OF INTERNATIONAL CLASSIFICATION SOCIETIES QUESTIONS ON SAFETY OF SMALLER CREWS Prepared by Committee on the Effect of Smaller Crews on Maritime Safety Marine Board National Research Council March 3, 1989 for National Shipping Organizations and International Classification Societies Consideration of Reduced Manning Levels Has your organization considered approving, on a permanent or temporary basis, manning levels below a total complement of 16 for oceangoing merchant vessels? If so, please name the vessels and tell us the number of crew members you approved for each vessel. Please describe the crew license requirements, on a permanent or temporary basis, and crew skill qualifications you required when approving this smaller crew. B. Criteria for Reduced Manning Levels Does your organization have published criteria or guidelines regarding approval of reduced manning? Are criteria different for new and existing vessels? What vessel features, design requirements, or operational perfor- mance requirements did you consider important to your decision to approve reduced manning levels? Similarly, are there any fea- tures or requirements that would lead you to disapprove reduced manning for a specific vessel? What criteria have you devised to judge the overall safety of the vessel when operated at the reduced manning level?

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100 APPENDIX B Did your organization authorize a trial operational period for the vessel, to demonstrate safe performance with the smaller crew? If so, was it a prelude to permanent approval of the smaller crew? How did you evaluate the trial period? Please elaborate. C. Experience of Vessels with Smaller Crews Does your organization have quantitative data regarding the rela- tionship between crew complement and vessel safety or personnel safety? Has any vessel approved for operation with fewer than 16 crew members been involved in a major operating casualty; e.g., col- lision, grounding, sinking, or major machinery failure? Was the smaller number of crew on board a factor in either causing or re- sponding to the casualty emergency? Please provide supporting information. Has your organization developed a position regarding the rela- tionship between manning level and vessel safety or personnel safety? Please send your replies to: Thank you for your assistance. Mr. Charles ~ Bookman, Director Marine Board, HA 250 National Research Council 2101 Constitution Avenue Washington, DC 20418 Attn: Committee on the Effect of Smaller Crews on Maritime Safety

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SURVEY OF CLASSIFICATION SURETIES ED FO~IGN GO~=ME=S 101 Committee on the Effect of Smaller Crews on Maritime Safety 1989 Survey of Classification Societies and National Maritime Authorities On March 6, 1989, the committee sent a letter questionnaire to 17 classification societies and foreign national authorities. The Marine Board received these 13 replies. Reply Mom International Maritime Organization 1. International Maritime Organization, dated March 22, 1989, prepared by Y. Sasamura, Assistant Secretary General, Director, Maritime Safety Division, with enclosures: IMO Resolution ~ 481(XII), principles of safe manning B. STOW Regulation II/1, paragraph 9 lookout, C. COLREG Rule 5, lookout D. SOLAS Regulation 13, manning. Replies Mom Classification Societies 2. Det norske Veritas, dated April 26, 1989, prepared by Tor-Christian Mathiesen, Head of Division Ship and Offshore, with enclosures: Introduction to Det Norske Veritas, established 1864. Rules for Nautical Safety, Naut-A, Naut-B, Naut-C, July 1986 and Tentative Rules for One-Man Bridge Operation in Ocean Ar- eas and Coastal Waters (W1-OC): B.1. Philosophy on manning of ships; B.2. Methodology used in determining manning levels; B.3. DnV's approach for establishing technical standards in relation to manpower; B.4. Answers to questions on safety of smaller crews. Lloyd's Register, dated April 5, 1989, prepared by J. G. Beaumont, Chief Ship Surveyor, no enclosures. 4. Registro Italiano Navale, dated April 5, 1989, prepared by office of the Direzione Generate, no enclosures. Bureau Veritas, dated April 6, 1989, prepared by Managing Director Marine Branch, no enclosures. 6. Nippon Kaiji Kyokai, dated April 17, 1989, prepared by K. Shiraishi, General Manager, Machinery Department, with enclosures:

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102 1989. APPENDIX B Modernized ships (1 page), B. Modernized ships of type 2 (16 crew members) as of February 7. American Bureau of Shipping, dated November 30, 1989, prepared by Richard T. Soper, Chairman and President, no enclosures. Replies Tom National Azlthor'`ies 8. Netherlands Ministerie van Verkeer en Waterstaat, Directoraat-Gen- eraal Scheepvaart en Maritieme Zaken, dated April 17, 1989, prepared by Mr. R. van der Poet, the Head of the Ship's Safety Department, on behalf of the Head of Shipping Inspection, no enclosures. 9. Canadian Coast Guard, dated April 18, 1989, prepared by M. J. Hubbard, Director General Ship Safety Branch, with enclosures: ~ Canada Shipping Act, Chapter 1481, ship's deck watch reg- ulations. Regulations respecting the establishment of deck watches and the number and qualifications of navigational personnel on ships, with 6 amendments. B. Canada Shipping Act Chapter 1466, Safe manning regulations. Regulations respecting the manning of steamships, with two amendments. 10. Der Bundesminister fur Verkehr (in German), dated April 18, 1989 prepared by Herr Hapke (no first name given). Translated by NRC staff member Ms. Hanu, with enclosure: ~ Excerpt (1 page) of the Abweichungen van der Regelbesatzung (in German, not translated). 11. Sjofartsdirektoratet (Norwegian Maritime Directorate), dated April 13, 1989 prepared by Emil Jansen, Deputy Director General of Shipping and Navigation. Please direct inquiries however to Principal Surveyor A Bornes, with enclosures. ~ The regulations of March 17, 1987 concerning the manning of Norwegian ships. B. The regulations of July 1, 1987 concerning qualifications re- quired for personnel on Norwegian ships for whom a certificate of compe- tency is not required. C. The Act of June 5, 1981, No. 42, concerning certification of personnel on Norwegian ships, drilling units and other mobile offshore installations, with appurtenant regulations (47 pages) dated December 11, 1981 concerning: certificates of competency for masters and mates,

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SURVEY OF CLASSIFICATION S~lETIES ED FO=IGN GOURMETS 103 qualifications required for masters of passenger ships of less than 25 gross register tons, minimum age, etc. for masters of certain engine-propelled vessels of less than 25 gross register tons, certificates of competency for marine engineer officers, certificates of competency as marine electro-automation officer, certificates of competency for marine cooks (fishing), ma- rine chief cooks and marine catering officers, and certificates of competency for personnel on drilling units and other mobile offshore installations. D. Regulations of January 14, 1985 concerning special require- ments with regard to training and qualifications for personnel on tankers. 12. U.K Department of Transport Marine Directorate, dated April 13, 1989, prepared by Captain J. Groves, Nautical Surveyor, with enclo- sures: ~ Department of Transport application for safe manning certifi- cate (revised 1987), B. Safe manning certificate for United Kingdom registered sea- going ship (revised 1987), C. Merchant Shipping Notice No. M1178, manning of merchant ships registered in the United Kingdom. 13. Sjofartsverket Sjofartsinspektionen (Swedish authority), dated April 24, 1989, prepared by Kjell Eliasson, of the Fartygsoperativa sektionen, Bemanning, with enclosures: Ship Safety Act (1988:49) Chapter 5 Manning of Ships, B. Ship Safety Ordinance (1988:594) Sections 1 through 20. 14. Danish Maritime Authority, dated June 19, 1989, prepared by T. R. Funder, Director General, with enclosure: June 16, 1989, reply to questionnaire on safety of smaller crews.