Contents

List of Tables and Figures v

Executive Summary S-1

1 Introduction 1

1.1 Background 1

1.2 Report Organization 2

2 Description of the Problem 3

2.1 Rationale for Regulation Selection 3

2.2 Problem Statement 4

2.3 Applicable Regulations 5

2.4 Safety Criteria 5

3 Methodology 6

3.1 Preliminary Hazards Assessment Methodology 6

3.2 Preliminary Safety Assessment 8

3.3 Official Log Analysis Methodology 10

3.3.1 46 CFR, Part 35.07 11

3.3.2 Questionnaire 11

3.3.3 Interviews 11

3.3.4 Hazards 12

3.3.5 Identify Scenarios 12

3.3.6 Consequences 12

3.3.7 Likelihood 12

3.3.8 Evaluate and Document the Results 13

3.3.9 Review Risk Ranking and Prepare Recommended Actions 13

3.4 Participants in the Study 13

4 Summary of Findings 14

4.1 Purpose of the Official Log 14

4.2 Findings 15

4.2.1 Importance of the Subparts 16

4.2.2 Safety Assessment 16

4.2.3 Analysis 19

5 Conclusions and Recommendations 21

5.1 Conclusions 21

5.1.1 Safety Aspects 21

5.1.2 Costs 22

Contents (continued)

5.2 Recommendations 23

5.2.1 Official Log 23

5.2.2 Conduct of the Mariner 23

5.3 Summary 24

Appendix A. List of Acronyms A-1

Appendix B. 46 CFR, Subpart 35.07 B-1

Appendix C. Questionnaire — Official Log C-1

Appendix D. Selected Pages from Official Log Books D-1

Appendix E. Representative Samples of Returned Questionnaires and
Interviews E-1

List of Tables

1 Importance of the Required Official Log Entries 17

List of Figures

1 Inputs and Outputs for a Successful PrHA 7

2 Inputs and Outputs Required for Completing a PrHA 8

3 Official Log Methodology 10

4 Process Flow Diagram for the Processing and Handling of the Official Log 11

5 Interrelationships of the Purposes for Recording Information or Data 15

6 Logic for Safety Evaluation 16

Executive Summary

Over the years, federal, state, and local governments have implemented an increasing number of marine safety and environmental regulations. These regulations have grown almost exponentially as government and industry alike have attempted to allay public concern as to safety and environmental impact of ship/vessel operations. These regulations take a significant financial toll on the marine industry, since, most of the time, they do little to reduce or mitigate the underlying risks.

What is needed is a structured approach that allows management to analyze systems or problems and develop solutions to complex problems. The use of risk-based- technology (RBT) is a potential solution to address this problem. RBT allows the analyst to define and prioritize the major risk contributors on a top-down basis,; provides a logical, risk-based perspective for streamlining the regulation process,; and provides a method by which ship/vessel owners, operators, and regulators can justify potential changes to regulations while not compromising safety or increasing risk.

The purpose of this study is demonstrate to the Ship Operations Cooperative Program (SOCP) members how RBT can be used to analyze regulations that add a high cost of compliance to the ship/vessel operator. The regulation selected to accomplish this is 46 CFR, Subpart 35.07, "Logbook Entries", with the specific problem being how the Official Log, impacts on the safe operation of the ship and protects the mariner.

In evaluating 46 CFR, Subpart 35.07, several underlying safety criteria were established:

· Qualification of the mariner, where the Official Log is used to record the mariner's performance.

· Sea worthiness, where the Official Log is used to record the draft, stability, security, etc., of the ship.

· Emergency systems, where the Official Log is used to record the required tests and inspections of the ship's safety systems.

The problem in performing this assessment on the shipping articles is that they do not directly involve the physical hazards normally encountered in a process or system. Rather, they involve the hazards related to what could occur if the Official Log was changed or no longer required. Therefore, it was decided to concentrate on the safety aspects of the regulation.

In completing the study, a questionnaire was developed and sent to several ship Masters and U.S. Coast Guard (USCG) employees. Additionally, interviews were conducted, both in person and by telephone. The results of the questionnaire and interviews were used to validate current practices and provide information on problems that could exist should the regulation be changed or eliminated.

The purpose of the Official Log is to record those actions required by laws and regulations. There are several reasons to record information. This includes legal requirements as stated in rules and regulations, commercial performance to evaluate the cost of operation, and safety. These three reasons are inter-related and many of the items that are required to be logged in the Official Log encompasses more than one safety requirement.

The findings of the study are as follows:

· Almost all of the required Official Log entries are either legal or safety related. The one exception is the requirement to log fuel oil data upon receipt onboard.

· There are many Official Log entries that have legal ramifications and the owners/ operators should be concerned about where and how these records are maintained. However, since this study is to evaluate the safety implications of the Official Log, the legal ramifications are not addressed.

· A major safety item, and the only place it is recorded and recognized by the courts, is the Master's report on the conduct of the mariner. In cases of poor performance, the Master's comments are noted and play an important part in litigation cases against the mariner.

· There is value added by having the Master validate that the required test, inspections, and drills have been completed. However, many of the entries required in the Official Log are duplicated in other logs, book, records, etc., that are maintained on the ship. Many of the entries are also made in the Deck Log.

· There is no apparent safety value in forwarding the completed Official Log to the USCG in which the entries are verified as complete and meet the requirements of existing laws and regulations.

· There appears to be no standardization between USCG offices as to the degree of review the Official Log is subjected to. What could be questioned by one office, would not be by another.

Certain aspects of the regulation were further evaluated for potential cost savings for the owners/ operators. Examples are presented that demonstrate how the cost saving can be figured for depending on whether the regulation is changed or eliminated. Detailed calculations were not made for the entire fleet since this level of information was beyond the scope of this study, and the cost savings will vary widely depending on the size of the SOCP member's fleet and the operations conducted.

Based on the results of the study, the following recommendations were presented:

· That the owners/operators approach the USCG and request that the Official Log no longer be forwarded to the USCG.

· That the regulation be changed to allow the Official Log be retained aboard ship, for a specified time, subject to review by the USCG during routine inspections.

· Recommend to the USCG that 46 CFR, Subpart 35.07, be changed to state what entries the owners/operators are required to maintain; however, the owners/operators can designate what ship's records they will be entered into. The subject logs and records would be available for USCG review during routine visits and inspections.

· A method must be maintained for the Master to record the poor performance of mariners. Litigation experts should be consulted as to the validity of written correspondence between the Master and the USCG in fulfilling this need.

In summary, the entries in the Official Log do have a definite safety value. However, implementing the recommendations will maintain the safety value of the entries while decreasing the costs to the owners/operators.

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