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OCR for page 397
APPENDIX
E
Central Features of a Complete
Pilotage System
The committee's examination of a wide range of pilotage systems in the
United States, Canada, and Europe disclosed a number of features that are com-
mon to most pilotage models, although their actual form varies significantly. The
composite model discussed in this appendix includes features that are essential
to building, maintaining, and administering a complete pilotage system. Although
these features would constitute a complete pilotage system, all components would
not necessarily have to be carried out by a single organization. Some compo-
nents may be most appropriately handled by a licensing authority, others by a
pilot association or a third party; for some components, joint administration may
be appropriate. Some components are interrelated, but all are discussed separate-
ly for purposes of clarity.
The central features provide a conceptual framework that can be used by
pilotage administrators and pilot associations as points for comparison in assess-
ing the completeness and, subjectively, the adequacy of their pilotage programs.
Although this discussion is directed toward pilot systems, the basic features
could also be used by shipping companies for the same purpose.
PROFESSIONAL DEVELOPMENT
The primary feature of pilotage is professional competence. All other fea-
tures provide support to ensure the efficacy of pilot services.
Recruitment
The objective of recruitment procedures is to provide the most suitable and,
397
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398
APPENDIX E
if prior maritime experience is required by pilotage authorities or associations,
the most qualified applicants for training. The goal is to ensure that the individu-
als selected can develop the professional competence essential to effective pilot-
ing and that they have personal and professional integrity to justify the high level
of trust and responsibility that others place on them. Considerable care is essen-
tial in choosing pilot applicants, because they will be expected to work indepen-
dently, that is, without assistance from their colleagues while piloting, and be-
cause of the considerable personal and organizational investment of time and
resources required for qualification in the profession.
An effective recruitment process needs to consider whether an individual
has the physical condition, demonstrated mental abilities, interpersonal capabili-
ties, visual-motor and practical skills (or potential), and maturity, as well as
whether the individual is professionally suitable. These factors need to be as-
sessed relative to the expertise that is or can be expected to be required. For
example, the rapid move toward computer-based systems (such as integrated
bridges with pilot expert systems) requires computer literacy with regard to the
use and application of these systems, whether or not the pilot actually operates
these systems or relies on the bridge team to operate them. Additionally, as more
and more mariners enter the profession from nonmaritime countries or nontradi-
tional sources, as vessel crew size is reduced, and as more-intense competition
for cargoes is generated among world shipowners, more responsibility may be
placed on marine pilots for the safety of vessel operation in port regions. Emerg-
ing electronic navigation systems for real-time determination of positions, tidal
stages, currents, wind velocity and direction, and visibility may only be available
on board some vessels. To provide this capability on all vessels, the pilot may
have to be equipped with and operate portable computer-based equipment. There-
fore, computer literacy or the potential to acquire computer literacy of the form
needed is a new, nontraditional job requirement, which needs to be balanced
with other screening factors.
Other factors in recruitment are the resources that will be committed to
professional development. Will pilot skills be built from a basis of little or no
maritime knowledge, or will development be subsidized by drawing on individu-
als with prior maritime experience and licenses? If extensive vessel maneuvering
is associated with a route, as opposed to long transits with few course changes,
individuals with extensive ship or boathandling skills might be desirable. Simi-
larly, if tugs with tows are the primary clients, individuals with towing industry
experience may be preferred. Thus, the tasks the pilot is expected to accomplish,
the relative importance assigned to each screening factor, and the resources avail-
able for training determine the most appropriate recruitment sources.
Experience
Experience to become a competent pilot consists primarily of two elements.
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CENTRAL FEATURES OFA COMPLETE PILOTAGE SYSTEM
399
The first is basic maritime knowledge. (Some of the components are discussed in
the next section under "knowledge.") The second element is practical experi
ence.
Basic maritime knowledge is gained either through:
· service aboard seagoing vessels or harbor craft such as tugboats or ser-
vice craft (such as pilot boats); or
· attendance at one of the state maritime colleges or the federal maritime
academy, followed by time at sea as a licensed deck officer, as an apprentice in a
rigorous marine pilot development program, or both.
Basic maritime knowledge can also be obtained at one of the sea service acade-
mies, followed by service aboard Navy or Coast Guard vessels. Navy and Coast
Guard sea service may provide, for some individuals, sufficient maritime knowl-
edge to support a transition to commercial pilot service.
Practical experience leading to development of professional competency is
usually gained during a pilot training program, as there is little opportunity for
seagoing officers to handle their own ships in a piloting situation. An exception
is experience as a tugboat master in the piloting waters that will be home grounds
for the pilot. Tugboat masters routinely maneuver barges, provide assistance to
ships in docking evolutions, or both. Another exception is Navy and Coast Guard
sea service. Piloting and shiphandling is usually performed by ship's officers,
even in those cases where a pilot is taken. Thus, there may be opportunities for
some individuals to acquire expert shiphandling skills that could be adapted to
commercial service through a pilot apprenticeship program.
In a complete pilot model, individuals selected for training as pilots would
have attained at least a master's license (ship or tug, depending on pilotage
needs), with several years experience as master. That experience could be aboard
either large vessels in domestic or foreign trade or aboard towing vessels either
engaged in harbor or offshore towing or in ship assist work. If an apprenticeship
program is utilized for producing pilots, then, ideally, the individual should have
at least some advanced nautical education, preferably at a maritime college or
academy.
Knowledge
The knowledge required to become a competent pilot consists of both the
basic maritime knowledge that an individual gains from seagoing or towboat
experience and the additional specific knowledge and experience required to
become a competent pilot. The latter includes local expert knowledge about the
pilot area and shiphandling theory.
If the individual selected to become a pilot does not have knowledge of ship
bridge organization and procedures, then that knowledge must be gained through
a training program that emphasizes that aspect. Individuals with experience on
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400
APPENDIX E
small vessels such as tugboats are usually somewhat deficient in this aspect of
pilot knowledge when they enter the profession. On the other hand, individuals
from the towing industry typically enter the pilot profession with greater-than-
average practical experience in handling vessels in harbors.
Expert local knowledge of the pilot routes served is fundamental (IMO,
1981~. Essential elements of information include:
.
· area geography;
· port and waterway configuration;
· hydrography (channel depths and widths, bottom configurations);
hydrology and hydraulics;
tides;
· currents;
· winds and weather;
aids to navigation (including not only the aids themselves but also how to
interact with them and the information they convey effectively);
· bottom composition (such as rock, mud, sand, or combination);
· marine facilities used by marine traffic;
· other traffic and operations (such as commercial fishing vessels, recre-
ational boating, dredging, marine regattas);
· air draft (for bridges and overhead wires);
· communications;
· marine traffic regulation (such as vessel traffic services);
· local and seasonal traffic patterns and densities;
· ship maneuvering behavior for all vessels to be piloted, including hydro-
dynamic interactions with respect to other vessels, facilities, and channel bathym-
etry;
· advantages and limitations of various types of main propulsion and auxil
ary maneuvering macnlnery;
· shiphandling (for piloting, anchoring, docking, and undocking, maneu-
vering with and without the aid of tugs, and emergency situations);
· tug control (for maneuvering assistance);
· use of ground tackle to aid maneuvering;
· navigation systems (traditional and electronic);
· radar systems (and where of utility, automatic radar plotting aids
WARPATH;
· marine and environmental-safety requirements; and
· other information of local significance.
Additionally, the pilot must have knowledge of both federal and state laws and
regulations pertaining to the profession. These consist not only of those directly
related to the profession but also those that can affect the pilot's actions, such as
water, air, and noise pollution laws; quarantine regulations; federal regulations
relating to vessels tests, manning, and outfitting; ship bridge visibility regula
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CENTRAL FEATURES OF A COMPLETE PILOTAGE SYSTEM
401
lions; and operational regulations or special orders (such as regulated navigation
areas, Coast Guard Captain of the Port Orders, and state-imposed tug escort
requirements for tankers).
Skills
The practical skills needed to become a competent pilot are those primarily
related to shiphandling in general, shiphandling in narrow channels and shallow
waters, and use of bridge resources (bridge team members J and navigation equip-
ment in support of piloting tasks. Such skills must be attained through a profes-
sional development program. Both theoretical knowledge and practical knowl-
edge must be acquired for a full range of ship types in order to apply practical
skills effectively. Thus, the development program or training curriculum must
integrate the two so that one reinforces the other.
Theoretical knowledge and practical knowledge about how to apply theory
can be developed in several ways. Virtually every marine pilot association de-
velops practical skills through a rigorous program of on-thejob training. Pilot
candidates accompany experienced pilots as they perform their duties to learn
the route, bridge procedures, vessel behavior, decision making under various
operating conditions, and other insights that are applied in developing and apply-
ing practical skills. When considered ready by senior pilots, the apprentice han-
dles vessels under the tutelage of suitable experienced pilots. Some time is re-
quired to develop the required skill level up to 3 to 4 years if the pilotage
grounds are lengthy and complex. The time required also depends to some de-
gree on the apprentice's prior maritime experience. Additionally, skills must be
developed in maneuvering and using ship-assist tugboats for docking and un-
docking evolutions, even if this is not a service normally provided by the pilot. A
pilot may be called upon to use tug assistance during an emergency and must be
prepared to do so.
Generally, ship masters and other senior licensed deck department officers
have limited opportunity to control ship-assist tugs or to develop, from a tug
operators perspective, insight on the dangers involved in working alongside
oceangoing ships. Therefore, an ideal pilot model would have apprentices spend
time aboard various tugboats while they are assisting ships, observe these ma-
neuvers from the ship, and become familiar with and practice tugboat control
under the tutelage of an experienced pilot. Similarly, tug operators have little to
no opportunity to develop insight on the bridge organization of an oceangoing
vessel and on how to interact with bridge team members and the functions they
perform. Thus, the pilot model needs to accommodate this gap in knowledge
when tug operators enter the marine pilot profession.
Practical skills also include the techniques required to board and disembark
from vessels using pilot ladders in various weather, sea, and visibility condi-
tions. While pilotage grounds or areas vary greatly, one common thread is that
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402
APPENDIX E
the pilot always must be able to skillfully board a vessel and to debark the vessel
on completion of piloting duties. This skill is attained by accompanying experi-
enced pilots on the job and then by maneuvering vessels under tutelage to create
a favorable lee for debarking. While this particular skill may seem minor, to the
pilot it is probably the most dangerous part of piloting, as it relates to individual
safety and health and to the safety of the pilot vessel that comes alongside.
Sometimes the environmental conditions are so bad that disembarking an out-
bound vessel would be life-threatening to the pilot and pilot-boat operators. In
these cases, pilots must stay aboard to the ship's next port of call.
Skill must also be developed in using various navigation equipment on the
bridge. These equipment includes radar, ARPA, automatic steering systems,
thruster controls, bridge-control devices for propulsion, radios, internal commu-
nications systems, depth-finding equipment, Doppler speed readouts, and emerg-
ing electronic equipment such as electronic charting systems. The pilot must also
be able to operate basic equipment such as radar. It is impractical for the pilot to
be familiar with all equipment configurations and features, however. For exam-
ple, there are just too many variations in ARPA systems for the pilot to become
proficient in the operation of each. Instead, the pilot must understand the capa-
bilities of the equipment and whether it is being correctly used by the bridge
team to support the pilot as he or she provides expert direction and control of the
ship's movements.
Another way to develop practical knowledge and skills is through use of
computer-based or manned-model marine simulations. Because these simulation
programs usually last only about a week, there is little time to develop practical
skills as might be acquired through more frequent use of this training medium, as
in aviation (see Guest, 1992a). Preliminary research literature that suggests but
does not fully prove the value of simulation for building skills that transfer
effectively to actual operations (Haapio, 1992; Hammell et al., 1985; Kayten et
al., 1982; Miller et al., 1985; Mutter et al., 1983; O'Hara and Saxe, 1985; Schill-
ing et al., 1985; Webster and Young, 1993~. That pilots can benefit from simula-
tion was demonstrated by Hammell et al. (19859.
There is a growing belief in the maritime community that simulations can at
least provide familiarity and basic and refresher training with the tools of the
trade that can then be turned into practical skills through on-thejob experience.
For the most part, simulation is not used as an entry-level training medium for
marine pilots, although several U.S. marine pilot groups have begun to use sim-
ulations as part of their apprentice programs. Such uses have included prepara-
tion of pilot apprentices for emergency shiphandling decision making. But, ma-
rine pilot associations using simulations have done so primarily for continuing
professional development. Ten possible pilot-training modules for computer-
based simulations were identified through research conducted by the U.S. Mari-
time Administration (Box E-13. While substantial progress has been made in
computer-based simulations, not all pilots are convinced of its value in develop
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CENTRAL FEATURES OF A COMPLETE PILOTAGE SYSTEM
403
ing practical skills for their work. They question the accuracy of its replication of
actual conditions, either representative vessel types, sizes, and maneuvering be-
havior or operating conditions in narrow channels, shallow water, and river envi
ronments.
Crisis management experiences have shown that learning how to respond to
a crisis during the crisis is not only less than ideal, it also greatly increases the
probability that decision making will be flawed. A licensed marine pilot is ex-
pected to have, for example, all the shiphandling skills needed to respond to a
breakdown by another vessel that blocks a channel. However, a pilot's normal
experience would not necessarily provide the mental preparation necessary for
time-critical decision making under stress (see Gates, 1989; Huffner, 1976;
NTSB, 1989a, 1991a; Plummer, 1966~. Similarly, taking a ship with uncertain
handling characteristics in shallow water into a confined channel, or meeting
another vessel there for the first time, would severely challenge even the most
seasoned mariner (Plummer, 1966~. Marine simulation is one means to practice
emergency procedures so that they become instinctive and to provide a sense of
the time frame in which decisions need to be made in order to be effective.
Marine simulation could also be used to determine whether certain interactions
should be attempted such as meeting another ship in a narrow channel (NRC,
1992a), and also to improve the skills necessary for successful maneuvering.
Each use could reduce the potential for marine casualties.
Continuing Professional Development
Although marine pilots in the United States generally form close-knit pro-
fessional associations (which are, in effect, state-regulated or locally regulated,
limited-access businesses), their profession is nevertheless characterized by in-
dependent service. Rotational assignments are used to ensure fairness in assign
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404
APPENDIX E
ing piloting jobs and to provide adequate periods of rest. Rotations generally
expose pilots to changes in marine transportation, including new propulsion and
steering systems, navigational aids, electronic navigation systems, and so forth.
However, rotational assignments and shipping trends in any particular pilot ser-
vice area do not by themselves provide complete certainty that pilots will keep
pace with all changes in operating practices, technology, rules, regulations, and
official policies. A complete pilot model would therefore include means to en-
sure that a marine pilot's knowledge and skills remain current with develop-
ments in the shipping and towing industries so that their service accommodates
marine transportation needs.
Options for continuing professional development include organized meet-
ings to provide updates on changes in transportation and marine safety regula-
tions and debriefings on lessons learned from marine casualties; other informa-
tion transfer opportunities; skills enhancement and development opportunities;
refresher training; and instruction in emergency procedures. Some options are
suited to the classroom; others may be better suited to field work or marine
simulation. No one approach provides the full range of professional develop-
ment. Simulation facilities provide some capability to refine or refresh some
shiphandling skills; when simulation is coupled with classroom training, theoret-
ical knowledge can be increased or refreshed as well.
Manned-model simulations can be used in real environmental conditions to
refresh shiphandling skills for particular types and loading of vessels in generic
situations. The knowledge and skills are transferable to practical situations by
interpolation. This form of simulation can also be used to introduce pilots to
types and sizes of vessels not normally piloted, again, under real environmental
conditions. Effects of scaling factors on transfer of training, and value added to
piloting skills, are not certain. However, many pilots who have participated in
manned-model simulations report that the experience provided insight or re-
freshed awareness of shiphandling theory and practice. It also introduced them
to techniques that were unfamiliar or with which they had limited experience.
Computer-based full-mission simulations can be used in continuing profes-
sional development programs for the training areas indicated in Box E-1. How-
ever, the limitations discussed earlier apply. There is also the question of the
relative value of manned-model simulations versus that of computer-based simu-
lations for development of shiphandling skills. Manned-model training is limited
to the physical hull forms that are available, the physical limitations of the lake
or basin used for the training, and the environmental conditions at the time (the
facilities are outside). Manned-models do, however, provide a reasonably realis-
tic anchoring capability and also allows the operator to sense and experience the
forces at work on the hull and how the vessel reacts to them. Computer-based
simulations are limited by such factors as the mathematical ship models and the
vessel hydrodynamic, port, and environmental data available to drive the simula-
tion. However, as these are software and data availability rather than hardware
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CENTRAL FEATURES OF A COMPLETE PILOTAGE SYSTEM
405
factors, there is somewhat more flexibility in developing port- and vessel-specif-
ic simulations when using computers. Additionally, it is possible to simulate tug-
assist operations at some simulator facilities. But, resources to develop new port-
specific simulations are a limiting factor. The cost of the training also can be a
limiting factor. Computer-based simulations are also limited in their capability
to provide realistic anchoring scenarios.
Development and refinement of shiphandling skills for licensed pilots is
already accomplished to some degree using manned-model simulations, and,
depending upon the fidelity required, computer-based simulations. Other poten-
tial uses for part- or full-mission computer-based simulations include route fa-
miliarization, development of pilot candidate and ship's officer shiphandling
skills, bridge team training, and advance preparation for handling vessels or
unfamiliar classes of vessels.
Personal computer (PC)-based simulations for marine training are an inno-
vation increasingly considered by the Coast Guard for possible use in marine
licensing (ECO, 1987; USCG, 1993f). However, the value of PC-based training
for selected piloting tasks, route familiarization, and for practice or mental re-
hearsal has not been established either through field applications or experimental
research. The state of practice of PC-based simulations is rapidly evolving as
manufacturers search for training and real-life applications. Simulations have
been incorporated into PC-based interactive multimedia instructional presenta-
tions under instructor guidance, principally by the U.S. Navy, and into rules-of-
the-road applied training (McCarthy, 1993; USN, 1992~. PC-based training sys-
tems for navigation, radar plotting, and communications tasks are available and
in use by some training facilities. PC-based maneuvering simulations have also
been developed and have been advertised as decision support aids for real-life
operations. Although the computational power of current generation microcom-
puters permits the use of sophisticated mathematical models for ship behavior
and high definition graphics, their ability to produce accurate vessel trajectories
and induce real-to-life human responses is constrained by the limitations that
also affect full-mission ship-bridge simulations. Additionally, PC-based simula-
tions lack bridge instrumentation and do not reproduce the bridge operating en-
vironment, including interactions among bridge personnel. PC-based training
systems potentially might be useful in continuing training and evaluation as the
application of this technology to marine training and licensing matures.
A complete pilot model would include pilot participation in a program of
continuing professional development combining the various needs and approach-
es just discussed. Such programs could either be required by licensing authori-
ties or implemented voluntarily by pilot organizations as a professional service
to their members (a formal requirement may be necessary in some cases to
motivate and ensure organizational, industry, and financial support). Regardless
of how it is implemented, the program should be routinely scheduled at a fre-
quency sufficient to ensure that all pilots are kept abreast of technical, operation
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406
APPENDIX E
al, procedural, and legal developments, and that practical piloting skills remain
at or above acceptable levels.
Proficiency Validation
Means are needed to determine or validate the professional competence or
proficiency of:
.
pilot apprentices seeking licensure;
· candidates for pilot route extensions;
.
pilot preparation for routes infrequently traveled;
· pilot upgrading to vessels of different types or sizes;
eels;
· pilot preparation for new categories of vessels or newly constructed chan
· pilot resumption of service after a an extended period out of service; and
· determination of pilot fitness to continue service.
This list demonstrates that the need for proficiency validation extends beyond
pilot apprentices or junior pilots moving up to senior pilot status (that is, full
branch pilot or equivalent). There is a need to ensure the skills of senior pilots as
well.
The methods available for proficiency validation include:
· subjective written examinations;
· tutelage (including observation and evaluation';
· check rides (under observation by a pilot assessor or examiner qualified
and approved or certified for this service);
· in-service evaluations (by a qualified pilot examiner); and
· marine simulation.
Not all individuals may be able to convey their practical skills well using written
responses. Some indication of proficiency is possible through "expert account-
ing," that is, oral responses to various scenarios by the individual being assessed.
The technique has limitations. Additionally, deficiencies in practical skills are
difficult to detect unless actually observed.
The scope of validation substantially exceeds common practice, except for
apprentice programs and those pilot systems that embrace the concept of pro-
gressive advancement. In the latter case, progression typically involves advance-
ment to ever-larger vessels (length and tonnage) after route experience and pilot-
ing and shiphandling skills are reinforced through experience on small vessels.
Few pilotage systems have check-ride programs, although this is common prac-
tice for Panama Canal pilots during their first two years of service. Verification
of proficiency in handling vessels of each size is not common practice. However,
proficiency can only be determined by evaluating the actual piloting and han-
dling of each size or category of vessel, or perhaps through observation of pilot
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CENTRAL FEATURES OF A COMPLETE PILOTAGE SYSTEM
407
performance during a marine simulation. Neither approach is common practice
in U.S. pilotage systems, although a few U.S. and foreign associations are ad-
vancing in this area. A complete pilotage model would provide means to ensure
the professional competence of pilots at the highest level served and to maintain
the level of competence that is necessary.
Recency
Recency of service on pilotage routes is imperative to ensure that
· the pilot keeps abreast of changes that have occurred along the route; and
· skills have not become rusty through either long periods between active
service or limited opportunity to practice skills on certain types, sizes of ships, or
routes.
How frequently a pilot should provide service to particular vessels and routes
varies according to a wide range of operating factors associated with each port
(see Chapter 4~. Pilots need to experience the full range of operating conditions,
including seasonal variations, for the vessels to be piloted, either as an observer
or as a pilot. In the committee's opinion, this experience is needed on an annual
basis. More frequent piloting experience may be necessary in some operating
environments, because changes may occur more frequently than annually. For
example, visual cues can change quickly in areas undergoing intense develop-
ment. In the absence of fundamental research to guide such determinations, local
expertise would be required to establish reasonable recency requirements.
ACCOUNTABILITY
Marine pilots have responsibilities to the piloting profession (to maintain its
integrity and credibility), the ship (including the master, crew, owners, and cargo
owners), colleagues (both as practitioners and as members of a pilot association),
port authorities (who depend on the efficacy of the pilot's service), governing
authorities, and the general public (for public and environmental safety). Given
the weight and importance of these responsibilities, pilots are held accountable
for the services they provide in order to maintain the credibility of the pilotage
system itself.
Certification/Recertification
Certification is a voluntary act by an individual and a certifying entity that,
in some organized fashion, measures an individual's qualifications to perform a
specialized function. No authority or privilege is conveyed, although custom or
market forces may require or necessitate that an individual obtain certification.
Accreditation is similar to certification, except the term is applied to institutions
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408
APPENDIX E
and programs and not individuals (Anderson, 19921. Certification could be ap-
plied within pilotage systems as a means to demonstrate continuing development
short of actual licensing requirements. For example, a pilot could seek certifica-
tion for different types of navigation equipment. Although certification programs
are traditionally voluntary, certification criteria that establish professional stan-
dards are sometimes institutionalized into regulations or licensing programs to
make the application of such standards universal (see Chapter 3~.
Certification requires individuals or organizations qualified to conduct the
certification. Many marine pilot associations certify their own pilot apprentices
using internal professional development programs. Some state pilot association
apprentice programs are officially sanctioned by their governing authorities, but
few are formally accredited. Ten pilot-apprentice development programs are,
however, approved by the Coast Guard as equivalent to actual sea service in
building the service and route experience required to obtain original Federal
First Class Pilot's Licenses or Endorsements. These approvals are subjective and
based on recommendations of the pilot associations. Because certification is not
widely used in developing professional competence for other aspects of naviga-
tion and piloting, implementing certification within pilotage systems would also
require the establishment of qualified certification authorities.
Licensing
Licensing is an authorization in the form of a license granted by a govern-
ment or an entity to perform or provide a function or service. Licensing is rooted
in a government's police powers and is traditionally applied for the purpose of
protecting public health, safety, and welfare. Licensing conveys a legal authority
to engage in a function or service (Anderson, 1992~. In pilotage, licensing is also
applied to protect property and the environment. Inherent in marine licensing is
the concept that an individual is professionally competent to perform under the
license granted and is accountable to the licensing (that is, governing) authority
for competent performance.
A complete licensing program would include prerequisites in terms of ser-
vice and training as well as theoretical and practical examinations and chart
sketches to demonstrate route knowledge. At present, only theoretical examina-
tions are conducted in the federal and some state pilotage systems. No formal
practical examinations are given to determine proficiency in piloting and ship-
handling. However, in many state pilotage systems, an individual may not sit for
a written examination until pilots within the association are satisfied that the
apprentice has the necessary practical skills. This approach is an alternative to a
formal test of proficiency to the degree that proficiency validation by pilot asso-
ciations (or third parties) is credible and acceptable to licensing authorities.
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CENTRAL FEATURES OF A COMPLETE PILOTAGE SYSTEM
Exemptions
409
Traditionally and in theory, masters are considered the most experienced
shiphandlers for their vessels because of extensive familiarity with them under a
wide variety of operating conditions. Assuming that the master (or senior mate)
could acquire sufficient expert knowledge of a pilotage route, the master or mate
could effectively pilot his or her vessel on it. Exemption programs such as those
found in the Netherlands and the United Kingdom recognize this, often as an
economic service to port-state shipping companies, by authorizing the master or
mate, after suitable local qualification, to serve as the vessel's pilot. In such
cases, a certificate, license, or license endorsement is issued to formalize this
permission. However, modern manning and operating practices and port-state
operating requirements may or may not result in the master (or a senior mate)
acquiring a high level of shiphandling skills or pilotage route knowledge.
In Europe, where exemptions are generally an option for masters and senior
mates of member states of the European Community, these exemptions are limit-
ed to a specific vessel (or sister vessel' and a specific route. Qualification re-
quirements usually include a minimum number of trips, very recent experience
on the route, a written examination, and a field test. Because port states or feder-
ations of mostly port states (such as the European Community) do not control the
qualification of masters and bridge teams of foreign-flag ships, they do not au-
thorize the masters or mates of such ships to pilot their vessels where pilotage is
required.
Professional Oversight
Because pilots provide their service independent of other pilots, their perfor-
mance is not observed except by personnel aboard the ship piloted, and, to a
substantially lesser degree, by other pilots aboard other vessels encountered dur-
ing pilotage jobs. To ensure that pilot performance meets at least minimum
standards and to provide a means to detect problems for which corrective action
can be taken, professional oversight is needed within the pilotage model. One
option is maintenance and analysis of complaint or accident records to identify
individuals whose names appear more frequently than is acceptable or who have
one or several reports that merit specific attention. Another option is field checks
by appropriately qualified pilot examiners. Because of the need to maintain in-
tegrity and credibility of oversight, and to preclude difficulties in professional
relationships between individual pilots, formal oversight may be best accom-
plished by governing authorities or suitable third parties. However, pilot associa-
tions and their members have a moral and perhaps a legal responsibility to
ensure that the safety performance of members meets acceptable standards. Pro-
fessional peer pressure to perform pilotage services at the optimum level of
safety is a traditional and integral part of established associations. Pilots also
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410
APPENDIX E
could provide, for example, some form of professional screening, perhaps as a
component of their continuing professional development program, to assist their
colleagues whose performance may have deteriorated (a condition that could go
undetected without occasional performance assessment) but could be restored to
acceptable levels.
Incident/Accident Investigation
Credibility of pilotage depends in part on investigating incidents and acci-
dents to determine their cause, so there is a factual basis for corrective action.
Such action may involve either pilot performance or other components of the
marine navigation and piloting system that may have been causal factors. A
complete pilotage model would, therefore, specify means for collection of inci-
dent and accident data, including testimony. It would also specify provisions for
analysis and corrective action based on the results.
There is a distinction between incidents and accidents, although both should
be reported and investigated to determine what corrective action might be appro-
priate. Incidents include numerous events, often minor in scope, that result in no
adverse consequences, either to the vessel or port infrastructure in terms of phys-
ical damage or to personnel in terms of injuries and non-life-threatening events.
Incidents, as used here, also include events with damage or which cause effects
that are below thresholds recorded as marine accidents (referred to as marine
casualties under Coast Guard reporting requirements). Incidents include a line
parting during docking or undocking without injury, loss of propulsion or steer-
ing without a grounding or collision, radical maneuvers to avoid recreational
craft, and wake damage. Some incidents are so minor as not to merit further
attention. Other events (such as loss of propulsion), individually or in the aggre-
gate, may provide valuable insight on the performance of pilots, vessels, and the
marine traffic safety system (Ives et al., 1992; Young, 19921. A complete model
would provide means for reporting and analyzing incidents, so that incident-
specific needs for improvements or corrective action can be identified.
Accidents are easier to define than incidents. They involve certain types of
events, such as collisions and groundings. Certain events such as groundings
may need to be reported regardless of whether damage occurs, because they can
provide strong indications of piloting or vessel system problems. Other types of
accidents may be governed by reporting thresholds, depending upon the safety
objectives being served. Effective investigation of marine accidents requires an
in-depth understanding of vessel systems, human systems, waterways manage-
ment, and marine pilotage, so that both proximate and underlying causal factors
can be determined. Proximate causes of accidents can generally be determined
through analysis of the facts by knowledgeable individuals, and through expert
forensic analysis (Gates, 19891. However, underlying causal factors are more
difficult to ascertain, because (1) accident data typically emphasize vessel rather
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CENTRAL FEATURES OF A COMPLETE PILOTAGE SYSTEM
411
than human systems, (2) the data are often incomplete or subjective, and (3)
investigators are typically not prepared to conduct expert in-depth analysis. A
complete pilotage model would provide for multidisciplinary assessment when
the nature of an accident indicates the need for in-depth analysis. Such an assess-
ment could be conducted by a specially constituted board of experts, a third
party such as a marine surveyor, appropriately trained investigators from pilot
associations or governing authorities, or some combination of these.
Safety Performance Monitoring
Related to professional oversight and incident/accident investigation is the
monitoring of safety performance of pilots, vessels, and the marine traffic safety
system in the pilotage area. Performance problems may be too subtle; intermit-
tent; or, in the case of individuals, masked, and thus not always detectable
through investigations of specific events or through periodic personal observa-
tion or evaluation, either in the field or through simulation. For such cases, a
dedicated program of long-term performance monitoring is necessary. Such pro-
grams could be accomplished through collection and analysis of performance
data, with incident and accident reports forming a principal resource. Compila-
tion of complaints received about individual or vessel performance can also
provide indicators of problems needing further assessment. To assist in this pro-
cess, key data fields could be entered into an automated data base, which could
then be consulted for frequencies and trends (see Young, 1992~.
Discipline
Discipline takes two basic forms professional discipline and official disci-
pline after an incident or accident. Professional discipline is developed through
the professioMal development features of the pilotage model, professional peer
pressure, and professional oversight. A complete pilotage model, by establishing
effective means to validate and oversee pilot performance as described earlier,
provides the means for early detection of many performance problems before
they become critical and contribute to a marine accident. Considering that pilot
expertise takes years to develop, the pilot model would, as an objective, seek to
correct deficiencies, rather than remove the individual, in order to preserve and
enhance the pilot as a valuable asset in the local marine traffic safety system. For
example, remedial or refresher training, or additional experience on smaller ves-
sels, could be used to correct weaknesses in professional skills. The pilot model
would establish a similar approach using similar techniques for rehabilitation of
pilots involved in marine accidents, insofar as this is appropriate to the circum-
stances. A pilot who has been involved in an accident (to the degree that lessons
are learned and performance deficiencies are constructively corrected) may be-
come more valuable as a special asset to the local system.
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APPENDIX E
A complete model would also provide for punitive action as a measure of
last resort if rehabilitation were not feasible or if incompetence, willful negli-
gence, or substance abuse were involved. In these cases and in addition to possi-
ble corrective actions, the pilotage model would provide options for fines, sus-
pensions, and license revocations. Given that discipline can be a career-ending
event, the pilotage model would also provide for hearings, review, and appeals
processes where disciplinary proceedings could result in corrective or punitive
action.
In conjunction with discipline, a complete pilotage model would address
liability. Because of the nature of their work, marine pilots are continuously
exposed to considerable operational and economic risk. Liability insurance for
most pilots is either not available or not affordable. To the extent that the integri-
ty of pilotage might be jeopardized by pilot liability for marine accidents, the
pilotage model would need to consider limits on liability at a level agreeable to
the marine pilots, shipping interests, and governing authorities in the public
interest.
Local Involvement
Pilotage is area-specific. As such, pilotage requires not only that the pilot be
an area expert but also that refinement of the pilotage model to accommodate
area-specific operational and environmental factors be developed and adminis-
tered by individuals knowledgeable of them. For practical purposes, this task
requires the participation of individuals from the area served. Local participation
is also desirable in order to build pilotage system credibility with the local public.
Audits
Pilotage is in most cases a government-sanctioned, limited-entry business
designed to maintain marine pilots in numbers that are in balance with time-
consuming professional-development requirements and at compensation levels
appropriate to the service provided. Because of its relatively closed nature, pilot-
age draws considerable controversy over the efficacy of pilot recruitment, per-
formance, administration, and rates. To establish the efficacy and credibility of
the pilotage system, a complete pilotage model would provide for independent
audits of system features to ensure that integrity, effectiveness, and efficiency
are maintained.
STANDARDS
Administrative Standards
The administrative support of pilotage systems needs to be as credible as
pilot services themselves to maintain the integrity and credibility of the entire
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CENTRAL FEATURES OF A COMPLETE PILOTAGE SYSTEM
413
system. To sustain its credibility, the pilotage model would include provisions
for standard procedures, administration, billing, logistic support, disciplinary pro-
ceedings, financial accountability, record keeping of safety data, and other infor-
mation.
Professional Standards
The true meaning of professional standards in piloting is difficult to quanti-
fy; most standards are very subjective and highly variable among pilot areas and
systems. Where standards involve numbers, they usually refer to round trips,
years of service, and so forth. Generic and port-specific standards that could be
used to gauge professional performance are not available. A complete pilotage
model would include standards to guide professional development and perfor-
mance. In the absence of fundamental research to guide development of stan-
dards, such standards would need to be developed by subject-matter experts.
However, to aid in the acceptance of standards by all interested parties, the
standards could be developed by a multidisciplinary team representing the view-
points and expertise of the interested and affected parties.
Physical Condition Standards
Piloting demands excellent physical conditioning, to assure that the pilot not
only is physically able to provide service but also can board and debark the
vessel to which assigned. Physical standards need to be established by pilotage
authorities. Each pilot should have a periodic physical examination to determine
suitability for continuing work. In determining physical standards, pilotage au-
thorities could consider the physical-examination guide developed in 1985 by
the Seafarers Health Improvement Program Committee for merchant seamen.
While there are no national physical standards for marine pilots, this program is
available for use by pilotage authorities. Physical suitability should be deter-
mined prior to granting an initial license, at the time of license renewal, or more
frequently if licenses are renewed at intervals of more than two years. Also
needed are provisions for physical examinations following a serious injury or
illness, along with provisions for examinations if evidence shows that the physi-
cal condition of a pilot has deteriorated.
ORGANIZATION
Organizational Structure
Pilotage associations and boards (or commissions) need to be organized for
sound decision making and administration. Various organizational structures
have been used for pilot organizations some are organized as professional as
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APPENDIX E
sociations for administration; some are corporations; some are companies with
pilots as stockholders or employees; and in a few cases, some are divisions of
government organizations. All forms are in existence and functioning, nationally
and internationally. Each form at one time or another has also experienced fail-
ure in maintaining the efficiency of pilotage services. No one form stands out as
a perfect model. Whatever form is chosen needs to be responsive to both safety
and economic need within the overall system.
Pilot boards generally consist of appointed or elected members who serve
for a set term. Membership composition varies greatly, from all pilots to no
pilots. Sometimes shipping interests and the public are represented and some-
times not. Because multiple interests need to be served, each viewpoint must be
represented in decision making and administration. This balance can be facilitat-
ed by including marine pilots and shipping, port authority, public safety, and
public interests in board membership. Whatever composition is chosen must be
responsive to the broad range of marine safety interests for the waters served,
including operational, economic, and environmental protection factors.
The economic factor of pilotage rates has indirect implications for safety.
How rates should be administered and by whom, and what rates are reasonable,
are very controversial issues to which the pilotage model needs to be sensitive.
Rates established by law are inflexible to changing conditions, require legisla-
tures to act, and immediately inject rate negotiations into the political process.
On the other hand, legislative oversight of rates and rate-setting procedures pro-
vides protection from various anti-trust laws that might otherwise be imposed for
closed-access businesses. Regulatory rate-setting provides somewhat more flex-
ibility in addressing changes in economic conditions, but it may require consid-
erable processing time if public hearings are involved. Hearing processes can
take on the aura of litigation, and hearings may or may not be heard by an officer
or judge competent in marine affairs.
Rates set by pilotage boards place these boards in the position of having to
make tradeoffs between economics and safety, and between the interests of ship-
ping companies and the pilots under their jurisdiction. Negotiated rates may or
may not provide for adequate pilot compensation, depending on the economic
power of the shipping companies relative to the ports to which they can call.
Whatever rate-setting structure is chosen needs to ensure adequate compensation
for the expert service that is provided sufficient resources to maintain an ade-
quate pilot pool, and infrastructure requirements for effective and efficient ser-
vice. Rate setting as a function separate from pilotage administration merits
consideration in pilotage systems.
Infrastructure
Pilotage services need to be available on a 24-hour basis in most pilot ser-
vice areas and under virtually all environmental conditions. To provide universal
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CENTRAL FEATURES OF A COMPLETE PILOTAGE SYSTEM
415
service, pilot vessels, dispatch services, administrative offices, and other support
are needed. Infrastructure needs vary greatly by operating environment. In some
cases such as open-sea approaches to pilot grounds subject to heavy weather, all-
weather station boats are essential. In other cases, where headlands or other
features may offer protection, pilot launches may suffice. In inner harbors, small-
er launches or transport via tugboat may be sufficient. Dispatch services may or
may not need to include a pilot tower at harbor entrances or in the harbor itself.
Tower equipment may range from radios and telephones to radar and vessel
traffic service equipment. One or more dispatch offices or stations may be need-
ed. All these elements need to be accommodated in the pilotage system.
Representative terms from entire chapter:
pilotage model
