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Minding the Helm: Marine Navigation and Piloting (1994)

Chapter: PILOTING PRACTICES

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Suggested Citation:"PILOTING PRACTICES." National Research Council. 1994. Minding the Helm: Marine Navigation and Piloting. Washington, DC: The National Academies Press. doi: 10.17226/2055.
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Suggested Citation:"PILOTING PRACTICES." National Research Council. 1994. Minding the Helm: Marine Navigation and Piloting. Washington, DC: The National Academies Press. doi: 10.17226/2055.
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Suggested Citation:"PILOTING PRACTICES." National Research Council. 1994. Minding the Helm: Marine Navigation and Piloting. Washington, DC: The National Academies Press. doi: 10.17226/2055.
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Suggested Citation:"PILOTING PRACTICES." National Research Council. 1994. Minding the Helm: Marine Navigation and Piloting. Washington, DC: The National Academies Press. doi: 10.17226/2055.
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Suggested Citation:"PILOTING PRACTICES." National Research Council. 1994. Minding the Helm: Marine Navigation and Piloting. Washington, DC: The National Academies Press. doi: 10.17226/2055.
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Suggested Citation:"PILOTING PRACTICES." National Research Council. 1994. Minding the Helm: Marine Navigation and Piloting. Washington, DC: The National Academies Press. doi: 10.17226/2055.
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Suggested Citation:"PILOTING PRACTICES." National Research Council. 1994. Minding the Helm: Marine Navigation and Piloting. Washington, DC: The National Academies Press. doi: 10.17226/2055.
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Suggested Citation:"PILOTING PRACTICES." National Research Council. 1994. Minding the Helm: Marine Navigation and Piloting. Washington, DC: The National Academies Press. doi: 10.17226/2055.
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Suggested Citation:"PILOTING PRACTICES." National Research Council. 1994. Minding the Helm: Marine Navigation and Piloting. Washington, DC: The National Academies Press. doi: 10.17226/2055.
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Suggested Citation:"PILOTING PRACTICES." National Research Council. 1994. Minding the Helm: Marine Navigation and Piloting. Washington, DC: The National Academies Press. doi: 10.17226/2055.
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Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

Piloting Practices SUMMARY Piloting, as commonly understood, is a straightforward matter; a qualified local expert boards a ship at sea and brings it safely into its anchorage or berth. Actual piloting practices are far more complicated than this, and are poorly un- derstood, even within the marine community. By international tradition, a ma- rine pilot is a master mariner who, not being a member of a vessel's crew, provides expert local knowledge required to bring the vessel safely into port. The term "pilot" sometimes is used to refer to a vessel's officer who is control- ling its maneuvers. Pilots and piloting in the United States vary according to areas served, the functions performed, and differing requirements for local Icnowledge and specific shiphandling skills. Pilots may or may not be members of a vessel's crew depending on governance and, in the case of domestic shipping and the towing industry, depending on company operating policies as well. The term marine pilot is used in this report to mean a locally based master mariner who is independent of the vessel (that is, not a ship's officer or other member of the crew). Virtually all marine pilots in the United States hold a license issued by a recognized federal or state-level pilotage authority. Individuals that specialize in docking and mooring may or may not be marine pilots in the strictest sense, depending on their professional affiliation and the range of services provided. Professional development and licensing requirements vary by governing authority, but individual preparations to meet these requirements remain a per- sonal responsibility regardless of licensure. Some shipping and towing companies encourage or assist their masters and mates in obtaining federal pilotage creden- tials, primarily to improve operational safety aboard their vessels and to reduce 67

68 MINDING THE HELM risl<. Organized federal and state marine pilot associations and some docking master associations have organized professional development programs, or they otherwise assist their pilot candidates in obtaining service or other prerequisites for pilot's licenses or endorsements from federal or state-level governing au- thorities, or in some cases, both. Although qualifications for pilots still emphasize the use of expert local Icnowledge and visual cues, pilots make extensive use of navigation technology. Gyrocompasses, voice radio, rudder angle indicators, and basic radar have become standard equipment that is integral to piloting. Elec- tronic charts with a highly accurate real-time positioning capability, once proven reliable, likely will become assimilated into standard operating practice as well. Most pilotage systems have common elements that are universally con- sidered essential for developing and maintaining pilot expertise and system per- formance. Principal features include measures for professional development, ac- countability, standards, and organization. Three basic pilotage models public, corporate, and independent are in use. None stands out as most effective or efficient; highly professional pilot services are being provided in each form. Changes from one form to another usually are related to economic factors rath- er than to actual piloting practices and safety performance. Pilot response to the expectations of their profession seems to be the dominant factor in the effective- ness of pilotage, regardless of the pilotage model used. INTRODUCTION This chapter describes piloting practices in the United States, the context for the analysis in the chapters that follow. The controversial issue of professional regulation of pilots is introduced; a detailed examination is presented in Chapter 3. Beginning in this chapter and continuing in the next, comparisons are made and lessons drawn from pilotage systems on the Great Lakes, in British Colum- bia, in European countries, and for the Panama Canal. Finally, the central fea- tures of a complete system of pilotage, as envisioned by the committee, are presented. These elements are drawn from discussions and correspondence with pilots in the United States, Europe, Canada, and the Panama Canal, and from published accounts, and they provide a baseline to which existing pilotage systems can be compared. Several foreign pilot systems are described in Chapter 3 and Appendix F. The piloting operating environment, still another complicat- ing factor in pilotage and the use of navigation technology, is developed in Chapter 4. PILOTAGE OVERVIEW The common perception of a pilot is of an individual who boards a ship from a pilot boat at sea to bring it safely into port. While there are many pilots

BE pilot stepping Tom a pilot boat to a pilot ladder labile bonding a ship on San Francisco in good Scathe (Joscpb A. Zygote, 3~ F~~cf~o B~r FJo~) that At this image, pHotage is far more complicated. Even In Me msMne community, To levels of ~Dchona1 and adminis~bvo complexity are not Dog understood. This section introduces and describes typos and 1ocadons of pilots, govomanco, masto~pilot relationships, pilot rosponsibiLtios, compensation, pro- ~ssiona1 dovolopmont, and rolabonships to modern tecbDology.

thority; 70 MINDING THE HELM Pilots A pilot is traditionally a mariner with expert knowledge of local waters and special shiphandling skills. The pilot directs and controls the movement of a vessel through near-shore and inshore waters (referred to as pilotage waters or pilot grounds) unfamiliar to the master or provides navigation advice to or through the master for this purpose. The pilot is expected to integrate local knowledge with operational information to effect a safe passage. However, by tradition, admiralty law, and legal precedent, the master always remains in com- mand and is ultimately responsible for the safe navigation of the vessel, includ- ing the actions of the pilot (except that in the Panama Canal, the Panama Canal Company accepts a higher degree of responsibility and liability in exchange for a higher level of control over each vessel EMacElrevey, 1988; Parks, 19821~. Thus, in pilotage waters, the responsibility for piloting typically is shared (Crenshaw, 1975; MacElrevey, 1988; Meurn, 1990; see Parks, 1982, 1988, for legal defini- tions and case law). The pilot may be an independent professional expert whose services are hired by a vessel. Or, a pilot may be a member of a vessel's crew with expert local knowledge of the pilotage route. While describing a crewmember as a pilot is not common practice internationally, this attribution is well established in the U.S. coastwise trade and the inland towing industry. This report distinguishes "marine pilots" as locally based master mariners who provide pilotage service. Marine pilots are characterized as · holding a pilot's license issued by a recognized pilotage governance au · members of a pilots' association (or a company or governmental entity that solely provides pilotage services); · independent contractors (except in three cases where they are company or municipal employees); · not members of a vessel's crew (and thus independent of the crew and the vessel); and · not otherwise affiliated with or employed by a shipping or towing com pany. Thus, where a master or mate is qualified and serving as a vessel's pilot, the individual would not be considered a marine pilot as the term is used in this report. Types of Pilots Five trade designations are used in this report for types of pilots according to areas served, functions performed, and requirements for local knowledge and specific shiphandling skills.

PILOTING PRACTICES 71 1. A coastwise pilot guides domestic vessels into and out of domestic ports, and between ports when transits are made through inland waters, such as Boston to New York. A coastwise pilot typically stays aboard for the duration of the voyage whether the vessel is operating along inland passages or coastwise, al- though in some cases port-specific pilotage services are provided. 2. A bar pilot (sometimes referred to as a "sea pilot") directs the movement of the vessel across the "bar," to and from the pilot boarding area (the pilot grounds) and the inner harbor or river. 3. A river pilot directs the movement of vessels in river systems. 4. A harbor pilot directs the movements of (transports) a vessel in harbors, including shifts to and from anchorages and berths. The term "Navy pilot" refers to an individual employed by or a member of the U.S. Navy who provides harbor pilot services for Navy ships. 5. A docking master (sometimes referred to as a docking pilot) docks/un- docks vessels at a berth or moonng, usually with the assistance of tugboats (mooring masters perform similar duties for offshore mooring buoys, usually without assist tugs).) The term "branch pilot" is also a common piloting term. It is derived from a certificate of competency formerly issued to a pilot by the Trinity House in England. The certificate authorized the individual to pilot ships on certain speci 1There is considerable debate as to whether a docking master is a pilot in the strictest sense. Technical aspects of the debate are based on the functions performed. However, the principal issue is that official acknowledgement of docking masters as "pilots" would strengthen the case for issuance of state or federal licenses specific to the services they provide (see Chapter 3). Traditionally, a "dockmaster" was an assistant to a harbormaster, who supervised passage of a vessel through a locking system or into a berthing, either from a position ashore or from the vessel. "Dockmaster" also was used to refer to the individual responsible for dry-docking a vessel (Geen and Douglas, 1983; McEwen and Lewis, 1953). Today, docking and undocking services, usually with tugboat assistance, are typically provided by pilots except in most East Coast ports. In these and some foreign ports, docking masters who specialize in docking and undocking vessels are available. These individuals are not necessarily marine pilots unless affiliated only with an independent pilot association. Some docking masters, notably in the Port of New York and New Jersey, conduct the majority of intraport ship movements (vessel transport) as well (see Chapter 3). When transporting a vessel (up to 19 miles on one route), a docking master is, in effect, performing harbor pilot duties. When providing service to a U.S.-flag ship in domestic trade, docking masters do so under licens- ing requirements for federal pilotage. When providing service to a vessel in foreign trade, docking masters are not at present covered by state-level licensing requirements. The Coast Guard proposed rules in July 1993 that would require federal pilotage for foreign trade vessels making intraport transits in certain designated waters in New York and New Jersey, transiting designated waters in Massachusetts, and navigating at certain offshore marine oil terminals in California and Hawaii (FR 58[130]:36914-36918). The principal issues are whether an individual is qualified to direct and control the movement of a vessel and whether pilotage requirements adequately ensure the quality of professional service that is provided. These issues are central to pilotage performance and adminis- tration throughout the marine navigation and piloting system.

72 . ~ ~ ~ ~ . . hi. ~ ~ ~ MINDING THE HELM .. . ~.,. .,, , ,.~ ~. ~, .~.~ ~. ~ ~.~ ~ . ~. ~ i. ~ i. ~ ~ ~ ~.~.~ . .: ~ ~ . ~- . .~ ~ ~ ~ ~.~ ~ ~ ~ ~ ~ ~ .~ Ail. If. ~ ~ ~ ~ ~ .. ~ ~ ~ . ~ ,~".'~ 'I.'. ' ''':''.'.'"'"""''"''''''"" "'.'. ''.'""":T' ' ' '.' .' '.' '.' ' ' '. ."V.'' ':'.' .. '.' ''' ' '' '.''''.''~''' .':'.'..'','.'. ~.~.~. ~ i i . ~ . ... i, .. ~. ~ .~ .... . ~ . ~ fled waters. A full branch pilot is an individual without limiting restrictions on the certificate of competency (Mchwen and Lewis, 1953~. This traditional termi- nology frequently is incorporated into the titles and licenses of marine pilots issued under the authority of coastal states. As used in this report, the terms "federal pilot" or "federally-licensed pilot" refer to mariners, including masters and mates, holding either a Federal First Class Pilot's License or Federal First Class Pilot's endorsement on their Coast Guard-issued marine license. The phrase "independent federal pilot," as used in this report, refers to independent marine pilots holding only a Federal First Class Pilot's License or endorsement and who routinely serve under the terms of that license. Although virtually all marine pilots in the United States (including state- licensed pilots) hold a Federal First Class Pilot's License (or Federal First Class Pilot's endorsement permitting them to serve as pilot), some do not provide service under the authority of these licenses and are thus not officially account- able, as described in this chapter. Numbers of Pilots About 4,500 individuals hold Federal First Class Pilot's Licenses or en- dorsements. Of these, about 1,000 are independent marine pilots who hold pilot licenses issued by coastal states or local boards or commissions under enabling

PILOTING PRACTICES state authorities. Of the total number, about 100 are marine pilots holding only a federal pilot's license or pilot's endorsement on their deck officer's license as master or mate, fewer than 100 are docking masters or mooring masters, and about 40 are registered (Great Lakes) pilots. The remainder are individuals hold- ing federal pilot endorsements on their U.S. Coast Guard-issued licenses as mas- ters or mates. Ninety-three active pilot and docking master organizations were identified in the United States, as follows: · 62 state pilot organizations, the operations are regulated by board or commissions (includes 1 group of state-licensed pilots who are port authority employees iMobile, Alabama], 1 pilot association with a commission to provide pilot services but whose members only hold federal licenses tSan Diego]~; · 11 organizations consisting solely of marine pilots holding only a federal pilot's license or endorsement (including 3 federal pilot associations in the Mid- Atlantic states and Louisiana; 3 registered pilot pools on the Great Lakes; 1 independent pilot group in Alaska (Kuskokwim Bay and River); and in Califor- nia, 1 employee-owned pilot corporation under contract to a harbor commission (Long Beach), 1 group consisting of port-district civil-service employees (Los

~lINDING THE HELM Angeles), and 2 self-governing pilot associations (Port Hueneme-Oxnard and Humboldt Bay-Eureka)~; · 1 pilot corporation, consisting of pilots holding state and federal licenses, that provides service to Navy ships (in New York Harbor); and · 19 docking master associations (on the East Coast). An undetermined number of individuals "act as pilots" on towing industry ves- sels under 10,000 gross tons as provided for by federal law. The distribution of pilot organizations providing services to commercial shipping is shown in Fig- ures 2-1 through 2-4.

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PILOTING PRACTICES Columbia River Bar h:.~.~---''------'-'-'- -I---'----- :-2-:":-:2:2:~:2:~:---.2.m2 A. LPuget Sound . ~I. hi.: Ways Harbor \ . ~ l ~ Humboldt Bay/Eureka _ ~ Pilotage Service Organizations State Pilot Association O Pilot Corporation Independent Pilot Group O Harbor Commission Municipal Pilots Company Mooring Masters ...... San Francisco Bay Area / . ~...................... Sacramento / Stockton ~ 2- / _~.- f,------------------------------------------------------------------d . ~. ~ ... ... . ..... Port Hueneme / Oxnard : ..... I , ,, ~ 1~ - Los Anoeles ~ a I. ~ ................................. _~ ~ ~ I . . . . ........ .......... ~ ~ Lone Beach ............................................. If. a i;,~ a,< _ .................................... V_: ~ ~ ~ ~ \~ ~ nor ~ t ~.2.~ FIGURE 2-3 Location of West Coast associations and mooring masters. _ I , , .,,,,,,,,, , , , i, ............................. ........ . ...... :,~ . 2 2 .. 2 2 ... .. - i2.'..'''...~..'.'.'...'.. ha, - ,,, ;~............................. ~ v Cur ~. Or Western Alaska / Dutch Harbor / Aleutians Alto D lo; ,. $:d' O ~ a,; ~ ~ ~> Honolulu - ::::: :.:.:...{ a,....,,,, .,,,,,,,,,,,,, .,, ,~,; ,,k,, , 1 ,::::::::::::::::::::~:: :::::: :::::::::::::::::::::::::::::::: :::1:::::;.::::::.... 2::~:::::::: 1 <:: ::::::::::::::::::::::::::::::::::: ::: :~:.::::,~.:::: 1 \:,: ::,:,::,:,:,:::,:.:,::.::::.::::.,.:,: ~:, 1 few 2.'...'....2..''.,2~2.2. ,4.,:,, ,,.~.:.,,,,::.,:.,,,, ,,,,,.,,.., :.,.,..:,l.:,.,, :< ,. 1 Et ~ Kuskokwim Bay & River . ~-:.::::::::::::::::::::::: I::$:::::::~::~. :::: :::: ::: :::: ~.~ ~ ~ \ ~- -.-.~ ~ ~, . ~ I ~Southwest Juneau / Glacier Bay ~ Alaska/ I- H ,' :~ ~omer Down Southeast Alaska / Ketchikan Pilotage Service Organizations O State Pilot Associations 0 Independent Pilot Group Company Mooring Masters 77 FIGURE 2-4 Location of pilot associations and mooring masters in Alaska and Hawaii.

78 MINDING THE HELM Pilot Services Pilotage on the East Coast generally evolved from the U.K. Trinity House guild-system tradition (which was only recently restructured) (Herberger et al., 1991; Appendix F). Pilotage in other U.S. ports evolved as a response to market needs, but it generally follows the association concept in organization. Regard- less of the organizational structure used, safe navigation in pilotage waters de- pends upon the skill and judgment of the pilot. The pilot works under varying traffic and environmental conditions. Unless a ship's officer, the pilot works on many different types of vessels with varying equipment, maneuvering behaviors, and levels of crew performance. The pilot also must be able to work with the expanding range of navigation technologies and configurations. Pilots perform navigation and piloting functions, and for the vessels served by pilots, may coor- dinate vessel movements to some extent. The pilot determines when and where

PILOTING PRACTICES 79 to maneuver the vessel and coordinates queuing and horizontal separation with other traffic. During a vessel's transit of pilotage waters, a single pilot may provide all services, from crossing the bar through anchoring or docking evolutions, or up to several marine pilots and a docking master may be used. For example, pilotage in most East Coast ports usually is handled first by a bar pilot and then a docking master. On the West Coast, in all Gulf Coast ports (except Mobile, Alabama, where some intraport moves and docking evolutions are conducted by state- licensed pilots who are port authority employees), and in several East Coast ports, a single pilot handles all piloting and docking tasks. For long routes, such as an uninterrupted ship transit up the lower Mississippi River from Southwest Pass to Baton Rouge, up to three marine pilots (one bar and two river pilots, more in unusual circumstances) may be used, depending on vessel destination, transit speed, and river conditions. Pilot Grounds The location of the pilot boarding area for port entry is based on operational needs. In some localities there is more than one boarding area. This results when the nature or length of the pilot route necessitates the use of more than one pilot because there is an operational need for pilots to specialize on certain route segments or because of the duration of a normal transit. The offshore boarding area is located seaward of the bar or entrance channel at a sufficient distance to provide an adequate margin of navigation safety for inbound and outbound ves- sels. The pilot boarding area may be inside or outside of the United States' three nautical mile territorial sea, which is the limit of coastal state and federal juris- diction for pilotage. The extension of the nation's international boundary to 12 nautical miles was not applied to all federal or state marine statutes, including pilotage (USCG, 1989~. Pilot services are voluntary outside of three nautical miles, but the pilot normally provides all normal pilotage services during the full passage even if a vessel was boarded farther offshore. In some cases, pilot ser- vices are not provided to the seaward extension of the three nautical mile territo- rial sea because of the absence of operational needs for the pilot to board that far offshore. Governance Both state and federal governments have important roles in pilotage juris- diction and administration. Although the Constitution grants to the Congress authority to pass laws regulating virtually all pilotage, the Congress has exer- cised this power only to a limited extent, leaving the states free to act in matters not covered by federal law. Thus, for more than a century, the Congress has

80 [..~........ MINDING THE HELM Pilot boarding area just seaward of Los Angeles Harbor. The pilot boat is shifting the marine pilot from the outbound U.S.-flag container ship to an inbound foreign-flag con- tainer ship. The assist tugs are shifting from the outbound to the inbound ship to await the pilot's instructions once the pilot has boarded from the pilot boat. (William A. Creelman) assigned to federal agencies (now the Coast Guard) exclusive authority to regu- late pilotage of seagoing coastwise vessels in domestic trade, and since 1960 vessels navigating on the Great Lakes, leaving to the seaboard states the regula- tion of pilotage of vessels in foreign trade. A vessel in coastwise trade therefore must employ a pilot holding a Coast Guard-issued federal pilot's license of endorsement. A vessel in foreign trade, navigating the same waters, must engage a pilot licensed under the laws of the state with jurisdiction over those waters. Because a U.S.-flag vessel may engage in both foreign and coastwise trade, the same vessel with the same crew carrying identical cargoes may be subject to state pilotage on one voyage and federal pilotage on the next one. The two sets of pilotage laws and regulations are significantly different in many respects, as discussed in Chapter 3. A consequence is that the formal requirements governing qualifications to pilot certain U.S.-flag vessels can vary substantially without regard to whether task performance has changed. Detailed assessments of Great Lakes pilotage are available elsewhere (DOT, 1988, 1990~; examination beyond developing points of comparison is outside the scope of this report.

PILOTING PRACTICES 81 Master-Pilot Relationships The U.S. Supreme Court has described a pilot as the "temporary master" (master pro hoc) (Cooley v. Board of Wardens for the Port of Philadelphia, 23 How. /U.S.1 2890) in regard to navigation, in charge of "the whole conduct of the navigation of the ship" (Ralli v. Troop, 157 U.S. 386; Parks, 19823. Federal law requires that a coastwise vessel in pilotage waters be under the "direction and control" of a federally-licensed pilot at all times when it is underway in U.S. navigable waters (a vessel is "underway" all times except when it is anchored, moored to the dock, or aground t46 U.S.C. 85021~. Under the federal system, a coastwise vessel may be piloted by its master or mate if the officer has a pilotage endorsement on the individual's officer's license. The federal system is thus very different from pilotage in its more traditional sense as used internationally, in that it primarily sanctions pilotage by a ship's officer rather than by an inde- pendent local pilot. Pilotage under state systems is performed by independent professional pi- lots, the more common international approach to pilotage. The extent of the pilot's responsibility for navigation of vessels in foreign trade and the pilot's relationship to the master are not always defined by state law, but the pilot generally has primary responsibility for navigating the ship to its destination. Unlike federal pilotage statutes, state pilot laws (except in some West Coast jurisdictions) do not make compulsory pilotage for docking, undocking, moor- ing, or anchoring maneuvers, although a state pilot might be required to be aboard and available on the vessel's bridge during these maneuvers. Traditional- ly, the master has been considered most qualified to perform docking evolutions because of familiarity with the ship, although modern operational practices have reduced such familiarity (see Chapters 1, 3, and 7~. State-licensed pilots contend that establishing compulsory pilotage for docking would interfere with the mas- ter's legal right to conduct docking maneuvers or to designate whomever the master considers most qualified under prevailing conditions (usually the pilot). In both state and federal systems, whenever the pilot is required to be in charge of a vessel's navigation, the pilot's direction and control is subject only to the preemptive command responsibility of the vessel's captain (MacElrevey, 1988; Parks, 19821. Under the laws of some states, the pilot is said to be the "servant" of the shipowner. Although these laws appear to be intended to relate primarily to the owner's liability to third parties for acts of the pilot, they also may affect the relationships among the pilot, master, and owner. Other commentators (some- times pilots themselves) describe the pilot as an adviser to the master, although in control of navigation, legal precedents notwithstanding (Ramaswamy and Grabowski, 19921. When the federal pilot of a coastwise vessel is also its master, the question of pilot-master relationship of course does not arise. Whatever their legal relationship, close cooperation between the master and

82 MINDING THE HELM pilot and a proper information exchange when the pilot boards are critical to safe navigation (Barr, 1990; Crenshaw, 1975; MacElrevey, 1988; Meurn, 1990~. The master briefs the pilot on the vessel's equipment status, trim,2 and maneuvering characteristics. The pilot informs the master of plans for the transit. In the case of foreign-flag ships, language barriers may limit this exchange. The pilot also consults the "pilot card" for vessel draft,3 maneuvering characteristics, and air draft,4 if available (Barr, 1990; Hederstrom, 1984, 1989; IMO, 1987~. Some vessel operators have established procedures and checklists to enhance this pro- cess (Ramaswamy and Grabowski, 1992~. Lapses in effective information ex- change and passage planning between the master and pilot have contributed to 2 Trim" is the difference in forward and after drafts. 3"Draft" is the underwater vertical dimension of a vessel measured from the waterline to the lowest immersed part of the hull, usually the keel. 4Air draft is the vertical dimension of the vessel measured from the waterline to the highest point of the vessel, usually a mast, derrick, or antenna.

PILOTING PRACTICES 83 major marine accidents, for example, the 1992 grounding of the Queen Elizabeth 2 on uncharted rocks near a charted shoal area in Vineyard Sound and the pene- tration of her hull (NTSB, 1993; USCG, 1993b). Once direction and control is turned over to the pilot, particularly where direction and control is required by pilotage authorities, the master often feels considerable pressure for operational reasons and legal considerations not to countermand the pilot's maneuvering orders. They rarely relieve the pilot. But, many masters do question the pilot about the transit. Exercising command prerogatives is even less frequent aboard many foreign-flag than U.S.-flag ships for reasons including language difficul- ties, unfamiliarity with local conditions, or limited shiphandling abilities (Ra- maswamy and Grabowski, 1992~. There is growing interest in bridge team training (particularly with respect to using computer-based ship bridge simulation) and in bridge resources man- agement training to improve working relationships. Effective bridge team train- ing identifies the appropriate levels of passage planning and interaction between the pilot and the bridge team. Such training, as does passage planning, also can be used to better prepare the master to exercise command responsibility during operations in pilotage waters, including oversight of the pilot. Bridge resources management training, recently endorsed by the American Pilot's Association (APA), focuses on improving interactive skills; this can be done in conjunction with ship bridge simulation training or separately in a classroom setting aug- mented by interactive, computer-based training devices (APA, 1993; Koning, 1993; Wahren, 19933. Pilot Responsibilities Assuming the sufficiency and condition of a ship, its officers, and its crew is a complex issue, but in a broad sense it is the responsibility of the shipowner, the company operating the vessel, and the master. However, the pilot is responsible for safe navigation when exercising direction and control. Therefore, the pilot must be satisfied that the ship can be navigated safely to its destination. The pilot may observe or suspect substandard equipment, maintenance, manning, or ma- neuvering behavior (such as unexplained sluggish response to maneuvering com- mands), or the master may wish to conduct a maneuver that the pilot considers unwise. Federal rules require that the person in charge of a vessel notify the Coast Guard of any condition on the vessel that could adversely affect safety or the environment (33 CFR 160~; pilot organizations reject the interpretation that pilots are "in charge of a vessel" for purposes of this requirement. There are no state or federal requirements for a pilot to notify safety authorities if there is disagreement between the master and pilot about either maneuvers or the pilot's evaluation of the vessel's ability to safely transit the pilotage route. Because of increased public concern for public safety and the environment, a few state-level pilotage authorities are beginning to require marine pilots to

84 MINDING THE HELM in. . ~ ~ . B_ ~ The long climb up the side of a ship in ballast that has not rigged an accommodation ladder. After boarding, the pilot must then proceed to the superstructure containing the navigation bridge, climb to the bridge, meet with the master, and immediately begin piloting. (William F. X. Band, Association of Maryland Pilots) report substandard or unsafe operating conditions or noncompliance with appli- cable regulations. For example, state regulations in South Carolina require that state-licensed pilots immediately report hazardous conditions defined in 33 CFR 160 to the Coast Guard (Whitemarsh S. Smith, III, personal communication, July 9, 19911. The Delaware Board of Pilot Commissioners has developed but not implemented a program to report unsafe operating conditions. Some pilots indi- cated concern that if there were a formal requirement for marine pilots rather than the master to report unsafe conditions, then the marine pilots could be caught between maintaining a working relationship on the vessel and satisfying real-time information needs of marine safety and state-level authorities.

PILOTING PRACTICES 85 In practice, marine pilots take action when deficiencies directly affect the safety of the vessel or could place their license in jeopardy if a pilot were to provide service while having knowledge of that deficiency. Most often, pilots informally suggest corrective action or alternative maneuvers to the master or recommend that the master report the problem. Some pilots informally or through their association may alert the Coast Guard to potential problems (generally after disembarking). If a serious problem requires action by safety authorities, the pilot could report it immediately, but pilots contacted during the study indicated that this is seldom necessary. Additionally, pilotage administrators contacted by the committee report that most state pilotage systems have stringent reporting requirements for pilots under their licensure should a marine accident or incident of lesser severity occur. Experienced marine pilots usually have a backup or bail out plan for diffi- cult maneuvering situations that may occur during a transit. These plans are usually informal or intuitive and based on each pilot's accumulated experience. Should an actual emergency occur during transit, marine pilots would possess the shiphandling skills that are necessary for emergency maneuvering, for exam- ple, as might be necessitated by loss of propulsion or steering systems, or to react to extreme maneuvering scenarios. Individual capabilities for decision making under stress have usually been developed through actual service rather than through specialized advance preparation, such as marine simulation training. Difficulties can be encountered when emergencies occur where circumstances provide no bail out options, for example, as might be the case during the transit of a narrow waterway with no anchorage areas or no docks that might support temporary mooring. Difficulties might also be encountered for transits of rela- tively unchallenging routes if the pilot has not been sufficiently prepared to react effectively to emergencies. Pilot Compensation A member of a vessel's crew serving as pilot may receive additional com- pensation, depending on company policy. Marine pilots, on the other hand, are independent contractors. Billing generally is handled through a pilot association, which serves as an administrative umbrella organization for its members. This approach generally is followed by docking masters as well. Pilotage fees gener- ally are pooled and jointly shared, less expenses, although fees are distributed on a pro rata basis in some associations. Institutionally, pilotage rates are an element of pilotage administration that can affect, at least indirectly, the availability of pilots as well as safety perfor- mance. The financial accountability of pilot organizations that are granted a public franchise to conduct a "limited entry" business is within the scope of this study, insofar as it relates to effectiveness and adequacy of pilotage services and systems. The financial and associated ethical responsibility of marine pilots and

86 MINDING THE HELM docking masters is also within the scope of study insofar as this pertains to the effectiveness and adequacy of pilotage performance (see Appendix D for a re- lated discussion of the Great Lakes Pilot Program). Detailed examination of pilot compensation, however, is outside the scope of this report. Professional Development Professional development requirements are found in varying degree and ad- equacy in legislation or regulations for the federal pilotage system, in the pilot

PILOTING PRACTICES 87 age statutes of some coastal states, in the regulations of some local and regional pilotage boards or commissions, or in the policies (formal or informal) of most pilot associations (see Chapter 3~. Preparation for obtaining a pilot's license is a personal responsibility. Unless pilot professional development is underwritten or supported by a pilot association or an operating company, an individual must bear the full costs of obtaining the necessary prerequisites for licensing. A sub- stantial personal commitment of time and resources normally is required. Cost to a pilot candidate is a substantial issue when considering any measure that might be imposed above existing licensing requirements, such as validation of profi- ciency through actual or simulated marine conditions, to improve or validate the professional qualifications of pilots. Many individuals are assisted in developing the knowledge and skills need- ed to become a pilot. In practice, pilot development responsibilities or support variously falls to the person seeking a pilot's license, operating companies, cog- nizant pilot associations, or governing authorities. Generally, development pro- grams for marine pilots are left to the discretion of individual marine pilot orga- nizations, including associations of independent federal, state-licensed, and registered (Great Lakes) pilots. This is also the general case for docking master associations and for some operating companies that invest in developing the federal pilotage credentials of vessel officers and mooring masters in their em- ployment (MacElrevey, 1988; Ramaswamy and Grabowski, 19921. Marine pi- lots and docking masters function as independent contractors, and this status is intended to protect the organizations with which they are affiliated from liability for any deficiency in professional competence (see Parks, 1982~. Development of Federal Pilots Support for development of federal pilots varies considerably but generally comes from one of three sources, or a combination: · the individual; · an operating company; or · a marine pilot association. The individual is responsible for obtaining a Coast Guard-issued marine license and for acquiring all basic maritime knowledge and skills that may be required. The federal government and several states operate undergraduate programs to prepare individuals to take the Coast Guard examination for a third mate's li- cense. Several labor unions and at least one private organization also operate maritime training facilities that are used for continuing professional develop- ment in the shipping and towing industries. However, there are no programs specifically designed to develop federal pilots except those operated by a small number of marine pilot associations and the Great Lakes Maritime Academy. Knowledge or experience is developed during professional service. Sometimes,

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PILOTING PRACTICES 89 in order to acquire local knowledge of a pilotage route (gauged in terms of "round trips" over that route as an observer under conditions specified by the Coast Guard), an individual seeking a federal pilot endorsement for that route will "observe" the route aboard a vessel of which the individual is not a member of the crew. The provision of such opportunities is not required by federal regu- lations, and when they occur, they are generally a professional courtesy extended by an operating company. Some shipping and towing industry companies maintain pilot development programs or policies; These may assist regularly assigned employees in develop- ing the knowledge, service prerequisites, or skills that may be required to: · obtain a Federal First Class Pilot's License; · upgrade pilotage endorsements on other Coast Guard-issued marine li censes; or · serve as a pilot or mooring master aboard company vessels or vessels mooring at a company's offshore facility (in the case of mooring masters) where there are no government-imposed pilotage requirements. Some shipping companies invest in computer-based ship bridge or manned mod- el shiphandling simulations. A small but growing number of towing industry companies are investing in computer-based simulations. Such programs are in- tended to support directly a company's operating, safety, and economic interests. For example, some shipping and coastwise towing companies advised the com- mittee that they encourage masters and mates to obtain a federal pilot's endorse- ment on their merchant marine licenses for certain routes to permit own-vessel pilotage where federal pilotage is required. In such cases, the services of an independent, federally-licensed marine pilot would not be to satisfy federal regu- lations. However, some companies advised that their policies authorize masters to take marine pilots in the interests of safety, even if not required to do so by pilotage authorities. The services of marine pilots are routinely being used by some companies to reduce risk even though a master or mate has a federal pilotage endorsement and could legally pilot the vessel. In this regard an increas- ingly important reason for obtaining a federal pilotage endorsement is to better prepare the master to effectively exercise command responsibility in overseeing the performance of marine pilots, docking masters, and mooring masters (Ra- maswamy and Grabowski, 19921. Development of Marine Pilots and Docking Masters Development of marine pilots (regardless of licensure) and docking masters, whether in the United States or elsewhere, occurs in three stages: . acquisition of basic maritime knowledge and skills; · pilot training (normally an apprenticeship); and

9o MINDING THE HELM · progressive advancement, once licensed, in the size of vessels to which . . . . . assigned to provide piloting services. Many pilot candidates have prior maritime service, including in some cases ex- perience as a federal pilot; other candidates are recruited from maritime acade- mies. In the absence of such background, the marine pilot's skills are built from the ground up by a marine pilot association (Ramaswamy and Grabowski, 1992~. This traditional approach is less popular today than it was in the past. Some station boats, on which pilot candidates developed basic maritime expertise as deckhands, mates, and masters, have been replaced by shore stations and all- weather pilot launches. Also, judicious recruitment of individuals with prior ex- perience provides the same basic maritime knowledge and skills. A few associa- tions that do not maintain station boats nevertheless follow the traditional method; they build on the candidate's experience gained in operating pilot launches or while aboard ship during pilot apprenticeships. Most, if not all, marine pilot associations (including most docking master associations) require an apprenticeship (or indoctrination period). Apprentice- ships generally take between a year or less and three years or more. Pilot candi- dates observe and receive practical instruction on the nature of local routes, ship behavior, and shiphandling skills for a wide variety of vessel types and sizes under widely varying operating conditions. Formal training programs with cur- ricula accredited by the Coast Guard (under 46 CFR 10, Subpart C) have been established by some state pilot associations. One state pilot association main- tains a full-time licensed master as a pilot instructor and has a well-developed training curriculum and professional development program (Vincent Black, Unit- ed Sandy Hook Pilots, personal communication, May 29, 1991~. Four other state pilot associations have training programs based on a comprehensive curriculum (Bennett, 1989~. However, the majority of associations take a less formal ap- proach, albeit with the same general contents. The emphasis varies considerably by association and operating environment (Ramaswamy and Grabowski, 1992~. Theoretical knowledge of 'strip behavior and shiphandling is taught formally by only a few pilot associations. An increasing number of marine pilots in recent years have taken refresher courses or been exposed to nautical theory through computer-based ship bridge or manned-model shiphandling simulation training. Docking masters report that they learn their trade on the job; some have partici- pated in shiphandling simulations supporting waterway design (see NRC, 1992a), . . . . . . . . . but parhc~pat~on In training s~mulahons Is rare. Virtually every development program for marine pilots and docking masters relies extensively on route repetition (the so-called "round trips") to ensure that apprentice pilots acquire essential local knowledge and are exposed to a wide range of operating conditions and ship behaviors. The more trips, the more op- portunities to observe and experience the broad range of situations in which the marine pilot is expected to perform perfectly and without hesitation. No one is

PILOTING PRACTICES t .................... (.............................................................................. ......................................................................... ~ .......... . ..................... ?, .'.'.'.'.'.2.'.2.'.'.'.'.'.'.. ........................................ t:.'""2 ' ' "' ' ' "' ',.', '., ' ' ' 91 ............... ............................................................. . md." ~. ~...... a ~ ................ ~ ~ . ~. ....................................... ...................................................................................................................................................... A . ~'." ~'r ' ~''"' I' ' ~ I' ' ' ' I' I' ' id' ' ' 101 .................................................... ........................................... . "2"""22"""" ~] ~ Kim 80~5 =: ~0 ~[0 Kit ~ K ~= ~5~= t{~g .. 2'' ' ' ' : :' '': '' '' ': ' ''' ' ''''' ''' ' ' ' ' :'''' '' ' ~ ""'""' ~ ~0 : : : : ::: ........................... ''' ~ ' ''' a''' K '"''a'' '' .'.'~'' ~ ' ' .'.' ' . it' .'.'.'.'.'' .'.'.l'. ' ' ' '.'.' ' . a . ~ .. """"""."' "" ' - ~ """',, ,,'~''"~ X "'in ~: Ace, 'aid""! A, ,:~ ""', ' X""'" ,": "I'll """,,,.' ~''r! "" . , ~.,.,., - .,., , ~. ~,.,.~.,.,.,. .., ,~. .,.,., ....... ........ . . ~ ............................................................................................ ... ....... . ~. ~., ~,.,~, ~. . ,.,., a ,. , ,.,., I ~ . ,, . ~ ~. I ................................................ ........... . . . . .. .... '..' '.' ' ', ' '.' ' '' ' '.'.'' ' '.'.' ' '.'.'' Ad' '.'.'' '' ~.' ~''.'.' ~.'.~ , . . ....... """""""""".""2~.:''2 ~ ~ - ~5 3 ~.. Keg 3 0 , ,:,: :....2..2.2. 2.2 . .. . ' ' '.,',,~,, ,~,.'.~ '.'.m'.'.~' ......................................................................... . . . . ~,.,.,~.,., , - . B,. ,., ~, ., W t ~. ~ .,.,., '.,, ' ' ' ' ' 2.2.'.' ', ,2," ...... '.' ' 2 '.'.'.' '.'.' ' .'.'' '.'': ''' - At"' - '"'' t: ~ '"'I'' ''I: "': ""' I' """'""" .............................................................................................. . ~.'.'.,X0,~"""~""''s,~h X"'li"'0~"'~8'"'~"'t~"''~"""~""7'"""""""' .............................................................. ... .. .... ...... ...... . "' 22 ' ' ' '"""'I' i""" ~ "" ""me 2~ ~ ~ .' '~'YX''''''''''~'.''l''''''''~''~'' "' '' I'' I" "'em ,. .. .. .. .. ......... ................. ........... . ~.. ~ ~( me . t . ~ ........... .... . ............................................ . ~ . ~ ~. ~^ ~ :.''"~:.:'.'"o222'"2"::'q' '':':' ":'"'' :' ' 'I-:' ': ' ":'0::' :':':: , ................. ....... ~ ~ ~ ~ ~ ~ . ~. ~., ....... I . ~,. ~^ , ~,~ . . ..................... ........................... ............. ..... ..................... ,.. ...,... .. I... .. I.. a.. ...~.. I.. ~..s sure how many trips are needed to ensure such performance, but virtually all marine pilots and docking masters agree that it is a large number and that it should include exposure to the range of operating variables. Trip requirements need to be flexible to accommodate differences in candidates' learning abilities and past experience in the marine environment. State-licensed marine pilots and some federally-licensed marine pilots believe that the number of trips required for a Federal First Class Pilot's License or endorsement 12 to 20 is at best a minimum requirement. One pilot association, by agreement with the Coast Guard as an element of their Coast Guard-approved pilot development program, does not permit a pilot candidate to take an examination for an initial Federal First Class Pilot's License until 360 round trips are accumulated (120 for a third mate oceans license) (Bennett, 1989; Basil R. Watts, Wilmington-Cape Fear Pilots Association, personal communication, December 18, l991J. The Coast Guard accepts the service during the trips as satisfying sea service requirements for an initial license. These trip requirements do not apply to other individuals that might seek an initial federal pilot's license or endorsement for the route. Ulti- mately, the issue becomes one of the quality of the trips, including training of

92 MINDING THE HELM sufficient duration aboard vessels for which pilotage is sought, not just the quan- tity (Richard P. Wieners, McCormick Pilot Association, personal communica- tion, July 29, 1991~. Pilots and Modern Technology Piloting by local experts is heavily dependent on visual cues, particularly for docking and undocking evolutions. However, gyro compasses, rudder angle in- dicators, radios, radars, and depth sounders are standard equipment, without which few marine pilots will sail. Electronic charts, integrated electronic naviga- tion systems, and automated piloting expert systems (that is, computer-based decision aids) are available but in very limited use. These advances should pro- vide real-time precision navigation and collision-avoidance capabilities. System developers state that the objective is to supplement but not supplant human

PILOTING PRACTICES 93 operators (Grabowski, 1989, 1990). Once the value of specific technology is established, marine pilots frequently become the most ardent supporters and users. If tradition holds, real-time positions derived from electronic charting systems, once the technology is proven, will become as indispensable as radar to the marine pilot. Over the past decade, technology has been applied effectively by some ship- ping companies as a means of reducing crew size, so far without apparent reduc

94 MINDING THE HELM lion in safety (NRC, 1990a). The committee heard anecdotal indications that some shipping companies and operators of foreign-flag passengers vessels would prefer expanded opportunities for own-ship pilotage; such a development could potentially reduce operating expenses. Some believe that modern navigation sys- tems and vessel traffic services that permit precision navigation by ships' offic- ers under all conditions could be the means to achieve these ends (see Intertanko, 1990~. Shipowners with high-technology ships are interested in obtaining agree

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96 MINDING THE HELM PILOTAGE SYSTEMS AND MODELS The committee's examination of pilotage systems and programs in the Unit- ed States and overseas uncovered remarkable consistency in key system features. These features seem to the committee to be essential to effective pilotage sys- tems. Comparisons also disclosed several significant areas in which important features vary among systems. The following section summarizes the central fea- tures of complete pilotage systems. Each feature is described in Appendix E. Assessment of how existing pilotage systems (regardless of governing authority) reflect these central features is a useful way to pinpoint where improvements could be made to improve individual and system performance. Of particular interest are opportunities for effective introduction and use of new navigation technologies. The Role of Pilotage Models Navigation safety depends on effective performance by whoever is piloting each vessel. The professional discipline needed to achieve elective performance is rooted in the preparations for becoming a pilot, the ability to apply practical skills, the ability to engage in interdependent decision making on the vessel and in the waterway, and professional integrity. A pilot must be prepared to work effectively with the expanding range of navigation technologies, amid variability in maintenance conditions, crew performance, and vessel behavior. Various or- ganizational models are used to prepare and motivate pilots to handle these challenges. An effective pilotage model thus becomes an important contributing factor in the effectiveness of piloting. Whether these models (and the associa- tions and governing authorities that employ them) are organized and capable of meeting the challenges of rapidly changing operating trends and technologies are important issues. Three generic pilotage systems are in use. Pilotage in maritime countries is generally organized around the concept of marine pilots as independent contrac- tors, although there are a few pilot companies and civil service pilotage opera- tions. Administration and governance varies widely within these paradigms. The independent-contractor pilotage model is a convenient way to limit liability to the pilot that provided the service in question, thereby shielding the pilot organi- zation with which the pilot is affiliated. But no model or variation thereof stands out as the most effective or efficient. Indeed, effective pilotage service is provid- ed nationally and internationally in all three basic forms. Even where pilotage models are flawed or have deteriorated in their application, actual piloting ser- vices seem in most cases to have remained within expectations of the profession, shipowners or operators, and the public. How well pilots respond to these expec- tations appears to be the dominant factor in the effectiveness of pilotage, regard- less of the pilotage model used.

PILOTING PRACTICES 97 Central Features of a Complete Pilotage System Despite the variability among pilotage systems, most have common ele- ments that are universally considered essential for developing and maintaining pilot expertise and system performance (Box 2-12~. Central features found in these models in varying degrees are shown. Some of the features are common, some are less common, and others are uncommon. Safety performance monitor- ing, periodic evaluation of senior or full branch pilots (or their equivalent), and continuing professional development are rare features in both state and federal pilotage systems. It is primarily these gaps that seem to make pilotage most vulnerable for near-term problems in effectiveness and efficiency. In particular, there appears to be significant potential for problems with human performance,

98 MINDING THE HELM such as development of bad habits or deterioration of skills, which either go undetected or are masked by familiarity with local conditions. Existing pilotage models have not been designed for responsiveness to rapid change in shipping trends and navigation technologies. Consequently, these changes could surpass the capabilities of pilot models. The pilot model features in Box 2-12 could be used by any pilotage author- ity, pilot association, or operating company as a functional guide to assess and improve their pilotage programs and practices. The generic model is not meant to suggest that all functions need to be consolidated in a single organization. Some model components might be best accomplished by a pilot association or operating company. Other components may be better suited to administration by a governing authority. Shared responsibility might be best for other components. The model also is not intended to suggest that radical restructuring is necessary or desirable. Dramatic change, in fact, could be counterproductive considering the inherent stability of pilotage services as now structured. This stability is particularly notable amid the dynamic changes that are occurring within marine transportation at large. Changing Pilotage Systems Somewhat surprisingly, past changes in the form of pilotage systems (such as from independent contractors to civil service employees), have been motivat- ed by administrative and economic reasons rather than safety performance. For example, in the United Kingdom and the Netherlands, pilotage services were perceived as less than fully responsive to shipping needs, and in the former case, to public expectations as well. Both pilotage systems were modified to improve efficiency, but the countries took opposite approaches. Civil service pilots were reorganized as independent pilots in the Netherlands, while in the United King- dom, independent marine pilots were reorganized as civil servants (Herberger et al., 1991~. In the United States, the Great Lakes pilotage system was reorganized ad- ministratively to improve official oversight and to ensure an effective organiza- tional structure for pilot groups serving the region. Safety performance was not an issue. Responsibility for official oversight was centralized at Coast Guard Headquarters, in Washington, D.C. This action was taken to correct a less-than- independent relationship that had developed between regional administrators and one of the pilot organizations providing service under the system. One pilot organization was dissolved because of financial accountability problems; anoth- er was formed in its place to ensure that pilot service would be available (Boyd, 1992a,b,c,d; DOT, 1988, 1990).

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Large ships transporting hazardous cargoes, notorious marine accidents, and damage to marine ecosystems from tanker spills have heightened public concern for the safe navigation of ships.

This new volume offers a complete, highly readable assessment of marine navigation and piloting. It addresses the application of new technology to reduce the probability of accidents, controversies over the effectiveness of waterways management and marine pilotage, and navigational decisionmaking. The book also explores the way pilots of ships and tugs are trained, licensed, and held accountable.

Minding the Helm approaches navigational safety from the perspectives of risk assessment and the integration of human, technological, and organizational systems. Air and marine traffic regulation methods are compared, including the use of vessel traffic services.

With a store of current information and examples, this document will be indispensable to federal and state pilotage and licensing authorities and marine traffic regulators, the Coast Guard, pilot associations, and the shipping and towing industries. It will also interest individuals involved in waterway design, marine education, and the marine environment.

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