UPV Examiner Training Uninspected Passenger Vessel

UPV Examiner Training Uninspected Passenger Vessel Module 3 You are about to be trained to become a small select group of Auxiliary Examiners that will become qualified to issue a USCG examination decal to vessels run by knowledgeable professional USCG licensed operators. Your knowledge and actions will reflect on the USCG as well as on the Auxiliary. When in doubt, contact your Program Manager for guidance. Remember this UPV Exam is as much a check of compliance to regulations as it is an educational opportunity for the Charter Boat Operator 1

UPV Examiner Training Module 1 ~ Review Structure of the program How to sell the program (Why should the CVO have a UPV Exam) FORMS ~ Summary Sheet / Checkoff sheets / 7038 Checkoff Sheet items: 1 through 10 1) Numbering 2) Registration vs Documentation & tonnage calculations 3) Licenses 4) HIN 8) Ring life buoy 5) Navigation lights 9) Bell 6) Anchor & anchor line 10) PFDs 7) Sound producing device 2

So Why Should I Get a UPV Decal? Economic benefit You can advertise & demonstrate to the world, that you are in compliance with all Federal Regulations for 6 Pack Charter Boats. Shows your professionalism. You significantly lower the probability of being stopped by the USCG for a boarding, which takes fishing time away from your customers. As long as nothing changes aboard you boat, you have protected yourself from fines orlawsuits for not being in compliance in the case of an SMI.

UPV Examiner Training Module 2 ~ Review Structure of the program How to sell the program (Why should the CVO have a UPV Exam) Checkoff Sheet items: 11 through 29 11) Fire Ext 12) VDS 13) CG Capacity ( <20 ft) 14) CG Certificate of Compliance ( <20 ft) 15) Ventilation 16) Backfire Flame Arrester 17) Fuel Systems 4

UPV Examiner Training Module 2 ~ Review Structure of the program Checkoff Sheet items: 11 through h 29 18) Alternate Propulsion 19) Electrical lsystems 20) Dewatering Device 21) Galley / Heating Systems 22) State Requirements 23) MSD 24) MARPOL 25) Oil Placard 26) COLREGS & Radio Ch 13 5

UPV Examiner Training Module 2 ~ Review Structure of the program Checkoff Sheet items: 11 through 29 27) Communications ~ Ch 22A 28) EPIRB 29) DRUG PROGRAM (DER/ MRO/Safety Sensitive Duties/ Records/ EAP/ Drug testing/ Alcohol testing/ Background checks/ Crew Ce Swapping Agreement/ gee e t/sample EAP & Co. Policy) ocy) 6

UPV Tng Continued Module 3 Review of Drug Program as necessary ITEMS 30 through 33 Oh Other items USCG Inspectors want us to check Discussion Points you can be the resource person for the CVO if they have an SMI Another reporting item svga Paperwork examples 7

UPV Examiner Training Additional UPV Requirements #30 Emergency Check-off Sheet must be posted or shown to passengers Add at the bottom location of EPIRB & Life raft if they have one 8

UPV Examiner Training Additional UPV Requirements Marine CasualtyReporting! USCG 2692 #30 1) Unintended grounding, or bridge allision; 2) Intended grounding, or bridge allision causing a hazard to navigation, the environment, safety of a vessel, or creates #3 through # 8 below; 3) Loss of main propulsion, primary steering, or any associated component or control system that reduces the maneuverability of the vessel; 4) An occurrence materially and adversely affecting the vessel s seaworthiness or fitness for service or route; 5) Loss of Life; 6) Injuries requiring professional medical treatment (treatment beyond first aid), and, for persons engaged or employed aboard, renders them unfit to perform routine duties; 7) Occurrence causing property damage in excess of $25,000 (ship,dock,bridge); 8) An occurrence involving significant harm to the environment as defined in 46 CFR 40365 4.03 65 (a report pursuant to 33 CFR 153.203, 40 CFR 117.21, or 40 CFR 302.6. $5,000 to $35,000 for failure to notify the CG #3 & #6 is 80% Allision is a violent striking (such as in a collision) with a fixed object. This is in contrast with vessel contact with a fixed object such 9as would be made with bridge fenders in the ordinary course of say a tug and barge passing under a bridge.

UPV Examiner Training Additional UPV Requirements Marine CasualtyReporting! USCG 2692 #30 For commercial ilvessels. They must report a marine casualty immediately to the USCG and follow up with a written report to the USCG Inspection Division within 5 days 46 CFR 4.03 65 (a report pursuant to 33 CFR 153.203, 40 CFR 117.21, or 40 CFR 302.6. $5,000 to $35,000 for failure to notify the CG #3 & #6 is 80% Allision is a violent striking (such as in a collision) with a fixed object. This is in contrast with vessel contact with a fixed object such as would be made with bridge fenders in the ordinary course of say a tug and barge passing under a bridge. 10

CG 2692 Form needed when you have a Marine Incident to report it to the USCG 11

CG 2692 Form needed when you have a Marine Incident to report it to the USCG 12

UPV Examiner Training Additional UPV Requirements #30 Serious Marine Incident includes the following events involving a UPV in commercial service: A marine casualty or accident required to be reported to the USCG using the USCG 2692B form that results in: one or more deaths, If there is a death aboard, make sure the employer calls and gets a determination from the SECTOR COMMAND (508) 457 4321 that the incident is not an SMI otherwise treat it as an SMI Contact #: SECTOR COMMAND - (508) 457-43214321 if in doubt injury requiring professional medical treatment and, for a crew member, that renders the person unfit to perform his or her routine duties, damage to property in excess of $100,000, (ship,dock,bridge); actual or constructive total loss of any vessel subject to inspection, or CONTINUED 13

UPV Examiner Training Additional UPV Requirements #30 Serious Marine Incident includes the following events involving a UPV in commercial service: continuation. actual of constructive total loss of any self propelled vessel, not subject to inspection, of 100 gross tons or more, a discharge of oil of 10,000 gallons or more into U.S. navigable waters; a discharge of a reportable quantity of a hazardous substance into US U.S. Navigable waters into the environment of the United States. OIL 46 CFR 4.03 2, 46 CFR 4.05 10 *Report it immediately to the USCG & CG 2692 form must also be submitted in writing with an original signature within 5 days. Employer must also fill out a USCG 2692B (04 06) form along with the USCG 2692 form used for a Marine Incident 14

UPV Examiner Training Drug test form CCF #30 This is a COC Federal DOT ChainOf CustodyForm Anyone who has tested positive for use of a dangerous drug must obtain a "drug free" letter from an MRO, as per 46 CFR 16.370, prior to being allowed to return to work in any safety related position. This includes the mariner who does not hold a license, MMD, or COR. 15

CG 2692 B Form needed for an SMI to report Drug & Alcohol Testing to the USCG Drug 32 hr Rule Drug Testing LAB Alcohol Testing lab or person (saliva) Alcohol 2 hr Rule 16

Someinstructions about thecg 2692B 6. Upon receipt of a report of chemical test results, the marine employer shall submit a copy of the test results for each person listed in block 15(a) of thisform to the Coast Guard Officer incharge, Marine Inspection where the CG 2692B was submitted. (Ref. 46 CFR 4.06 60(d)). 7. Amplifying i information for completing the form: A. Block 11 "TYPE OF SERIOUS MARINE INCIDENT" Check each appropriate box. If box a, b, c, d, or e is checked, or append this form to the required form CG 2692, "REPORT OF MARINE ACCIDENT, INJURY OR DEATH", and submit both forms as indicated in 5. above. B. Block 16c "ALCOHOL TEST BREATH SPECIMEN PROVIDED?" When breath test results are available alcohol concentration shall be expressed numerically inpercent by weight (i.e.,.04,.10 etc...). C. Block 22 "REMARKS" Describe the duties of each individual listed in 15a, at the time of incident (i.e., master, pilot, chief engineer...). If an individual refuses to provide the required specimens, if specimens are not timely obtained, or not obtained, describe the circumstances completely. 17

A way to meet the 2 hour alcohol rule for an SMI Photo of result and retain this pkg along with a witness s name & Address (should be a passenger) Lot # & Expiration date 18

UPV Examiner Training Ways to meet the 2 hr Alcohol Rule in a SMI 19

Alcohol l Testing DOT Alcohol testing report form Witness s information Form needed for an SMI to report Alcohol Testing to the USCG 2 hr Rule 20

Send Test result and the COC to the USCG Drug Test Result From Employer s MRO You will have to ask your consortium for a copy of the test result Send thisandthe the COC to the USCG with the 21 2692B form

UPV Examiner Training Additional UPV Requirements Use the Form on the Examination Folder to check for compliance with the Drug & Alcohol Program Can they produce any required records You do not need to see everything Employer must have a Company Policy that covers how they will comply with the drug program requirements. For every employee that performs safety sensitive duties, the employer must have either a Pre Employment test or letter Employers must have a employee who is a DER (Designated Employer l Representative) who oversees the drug program (could be the owner/operator), and An MRO (medical Review Officer) name & address (both the DER & the MRO s name/ addr/ phone # must be on Employer s CCF) Latest Annual MIS report to the USCG and Latest Annual MIS report to the USCG and Help Line Information for crew members and Documentation of attending an EAP & Background checks 22

DRUG & ALCOHOL PROGRAM CHECKLIST UPV Examiner Training Additional UPV Requirements #29 Items 1 thru 7 must be Yes to issue a Decal Examination Items Applicable Regs. Yes No 1). Do crew members know who the Designated 49 CFR 40.3 Employee Representative (DER) is? 2). Is there a company's policy? 46 CFR 16.401 3). Did crew members receive, or are they aware of, 46 CFR 16.401 the Employers Drug Policy (Company Policy)? (EAP Education Program) 4). Were Hotline Numbers given to employees, 46 CFR 16.401 or posted in a common space? (EAP Education Program) 5). Has supervisory and general crew members received 46 CFR 16.401 awareness training (EAP)? (EAP Training Program) 6). Were all crew members pre-employment tested 46 CFR 16.210 or transferred from another DOT Regulated employer? 7). Is there knowledge of where to go or how to get drug 46 CFR 4.06 and alcohol testing accomplished in the event of a Serious Marine Incident (SMI)? (2hr testing for alcohol : 32hr testing for drugs) 23

Review of Drug & Alcohol Regs Who can be the employer? Owner, managing operator, charterer, agent, Master. Responsible for compliance Who can be the DER? An employee of the company Responsible for compliance of all Drug & Alcohol regs. Consortiums are forbidden to be a DER by regs What is an MRO? Medical Review Officer ~ An MD certified by DOT who declares the Drug test to be POS or NEG. What is a CCF (COC)? Chain Of Custody A legal document that a certified collecter uses when doing a DOT drug test. It is for evidence in Drug testing 24

Review of Drug & Alcohol Regs Bottom of back side of envelope 8). Are Alcohol Testing Devices kept onboard? 46 CFR 16.240 (if no, how do they meet the 2 hr alcohol requirement?) 46 CFR 4.06 9). Have any crew members been randomly tested this year? 46 CFR 16.230 Name of Consortium/TPA: or "Self Run Program' Name of SMI Testing Facility *Must Test Drugs & Alcohol* PROGRAM INFORMATION You write the Consortium s name Location of where CVO & crew goes to have random the testing done 24hr SMI Testing Facility: or Where do they go at 3 AM for alcohol test "Self Run Program Alcohol Test Strips carried aboard & has DOT Chain of Custody Forms and is aware of Reporting Forms: CG2692, CG2692B, DOT Alcohol Testing Form Drug & Alcohol Program Compliant? Program Compliant Program Not Compliant items corrected on scene 25

Review of Drug & Alcohol Regs What items should you discuss with your Consortium? 1. Do they file Management Information System (MIS) report for you? 2. Do they have a hotline or information on 24h hour Serious Marine Incident (SMI) testing? 3. Does Consortium provide Employee Assistance Program (EAP) training and documentation? 4. Does Consortium select 25% of your company or 25% of all the crewmembers enrolled in the consortium? 5. Drug & Alcohol testing in an SMI? Drug & Alcohol test forms You must have a signed contract with the consortium! 26

Review of Drug & Alcohol Regs What records must your company be able to produce with ih48 hours? 1. Pre Employment Drug test or Waiver for all crew doing safety sensitive duties 2. Proof of attendance at an EAP 3. Drug & Alcohol Background checks for 3 years prior for new hires 4. Positive tests for 5 years 5. Negative and all other tests for 1 year 6. Annual MIS report 1 year 27

Review of Drug & Alcohol Regs Explain the Alcohol regs. relative to a Charter boat with iha SMI? Alcohol test done within 2 hours of an SMI 1) a BAT using an EBT 2) a saliva alcohol ltestt Explain the Drug test regs. relative to a charter boat that has an SMI? Drug (urine) test done within 32 hours of an SMI collected by a certified collector following the DOT regs of 49 CFR 40 28

Review of Drug & Alcohol Regs What is an EAP? (What does it consist of?) EAP must include education and training educational program must include display and distribution of: information on drug use/abuse; a community service help & substance abuse hot line telephone numbers for crewmember assistance; it the marine employers drug and alcohol lpolicy. (these items could be displayed at the company office if crew go there) training program must include: the effects of drug and alcohol use on personal health, safety, and the work environment; the behavioral lindications i of drug and alcohol l use/abuse; /b documentation of training completed by employees 29

Review of Drug & Alcohol Regs What should be in a company (Drug & Alcohol) policy? and why? h? Policy if there is a positive test: split specimen collection, negative dilute specimen, SAP, Return to duty testing Preemployment employment testing,background checks, EAP requirements Testing facilities for Drug & Alcohol testing ~ What to do, who to see. 30

Review of Drug & Alcohol Regs Explain what a Background check is? When an employer has a new hire, they MUST look back to the hew hires previous employers for DOT drug & alcohol testing results done during the previous 2 years. Anyone who has had a positive drug or alcohol test can only return to work if they provide a letter from a SAP & the MRO stating the frequency of testing required in the next year It if illegal for an employer to hire a person who has had a positive drug or alcohol test with the past 2 years without the required letters (Background checks protect the employer). 31

Review of Drug & Alcohol Regs How can crew members work on different vessels (different companies)? They must be in each employer s drug program (be in two programs) or Have a signed contract between the two companie s DER agreeing to exchange drug & alcohol testing information for a specific employee (contract must be renewed annually) HIPPA regulations prohibit the swapping of health information without the written consent of the individual involved 32

UPV Examiner Training Additional UPV Requirements Crew member fills this part out Sample to authorize release of information Crew Swapping Current DER fills this out Contract A copy is available at www.d1upv.org New employer s DER fills this out This is a contract between the two companies DER 33

UPV Examiner Training Use the back of the UPV exam Envelope for guidance DRUG & ALCOHOL PROGRAM CHECKLIST Items 1 thru 7 must be Yes to issue a Decal Examination Items Applicable Regs. Yes No 1). Do crew members know who the Designated 49 CFR 40.3 Employee Representative (DER) is? 2). Is there a company's policy? 46 CFR 16.401 3). Did crew members receive, or are they aware of, 46 CFR 16.401 the Employers Drug Policy (Company Policy)? (EAP Education Program) 4). Were Hotline Numbers given to employees, 46 CFR 16.401 or posted in a common space? (EAP Education Program) 5). Has supervisory and general crew members received 46 CFR 16.401 awareness training (EAP)? (EAP Training Program) 6). Were all crew members pre-employment tested 46 CFR 16.210 or transferred from another DOT Regulated employer? 7). Is there knowledge of where to go or how to get drug 46 CFR 4.06 and alcohol testing accomplished in the event of a Serious Marine Incident (SMI)? (2hr testing for alcohol : 32hr testing for drugs) 34

PROGRAM INFORMATION UPV Examiner Training Additional UPV Requirements #29 Name of Consortium/TPA: or "Self Run Program Name of their Consortium SMI Testing Facility *Must Test Drugs & Alcohol* Where they will go to have a Drug test & Alcohol test 24hr SMI Testing Facility: "Self Run Program Saliva test strips or a company ashore Drug & Alcohol Program Compliant? Program Compliant items corrected on-scene Program Not Compliant Full Audit Recommended 46CFR 16.401 Employee Assistance Program (EAP). The employer shall provide an Employee Assistance Program (EAP) for all crewmembers. The employer may establish the EAP as a part of its internal personnel services or the employer may contract with an entity that will provide EAP services to a crewmember. Each EAP must include education and training on drug use for crewmembers and the employer's supervisory personnel as provided below: (a) EAP education program: Each EAP education program must include at least the following elements: display and distribution of informational material; display and distribution of a community service hot-line telephone number for crewmember assistance, and display and distribution of the employer's policy regarding drug and alcohol use in the workplace. (b) EAP training program: An EAP training program must be conducted for the employer's crewmembers and supervisory personnel. The training program must include at least the following elements: the effects and consequences of drug and alcohol use on personal health, safety, and work environment; the manifestations and behavioral cues that may indicate drug and alcohol use and abuse; and documentation of training given to crewmembers and the employer's supervisory personnel. Supervisory personnel must 35 receive at least 60 minutes of training.

UPV Examiner Training Additional UPV Requirements #29 Exam checkoff sheet Record this information 29 DRUG TESTING PROGRAM Name of DER: Phone: Is vessel or Company enrolled in a Randon Drug Program & MIS Report 46CFR 16.230(b) &.5 Pre Employment Drug tests or waiver conducted on all crewmembers 46CFR 16.10 Background Check done for all crew hired after 8/1/01 49CFR 40.25 Drug test records kept on file for 1, 3 or 5 years of duration of crewmbr 46CFR 16.260 EAP Education & Training done for all crew & Company Policy in place 46CFR 16.401 Method to meet required 2 hr Alcohol testing from SMI (kits aboard) 46CFR 406 4.06 **Aware of regulations against operating a vessel while intoxicated 33CFR 95 Examination notes: Record the Name of MRO: & Phone; 36

UPV Examiner Training Additional UPV Requirements Safety Instructions & Orientation 46CFR26.03 2 2 EMERGENCY CHECKOFF LIST #30 ROUGH WEATHER AT SEA OR CROSSING HAZARDOUS BARS a. Keep all weather tight and watertight doors, hatches and airports closed to prevent taking water aboard. b. Keep bilges dry to prevent loss of stability. c. Keep passengers seated and evenly distributed. d. Ensure all passengers are wearing life preservers in conditions of very rough seas or if about to cross a bar under hazardous conditions. e. Initiate an International Distress call and a call to the Coast Guard if assistance is needed (if radiotelephone equipped). PERSON OVERBOARD a. Throw ring buoy overboard, as close to the victim as possible. b. Post lookout to keep the victim in sight. c. Have a crewmember, wearing a life preserver and lifeline, standing by ready to jump into the water to assist the victim back aboard. d. Initiate an International Distress call and a call to the Coast Guard if assistance is needed (if radiotelephone equipped). e. Continue the search until after radiotelephone consultation with the Coast Guard, if at all possible. FIRE AT SEA a. Cutoff air supply to the fire by closing hatches, ports, doors and ventilators, etc. b. Discharge portable extinguishers at the base of the flames or flammable liquid or grease fires or apply water to fires in combustible solids. c. If the fire is in machinery spaces, shut off the fuel supply and ventilation and discharge any installed fixed fire fighting systems. d. Maneuver the vessel to minimize the effect of wind on the fire. e. Initiate an International Distress call and a call to the Coast Guard if assistance is needed (if radiotelephone equipped). 37 f. Move passengers away from the fire and have them don life preservers.

UPV Examiner Training Additional UPV Requirements Safety Instructions & Orientation #30 Passenger Counts All UPVs shall keep a correct count of all passengers received and delivered from day to day. Specifically, the master, owner, charterer, managingoperator operator, or person in charge of the vessel is responsible for ensuring that this is done. 46 USC3502 3502. Try to get the information stored ashore Try to have a method so that in the case of an emergency, the USCG can obtain this data to help Search & Rescue operations. 38

Safety Orientation UPV Examiner Training Additional UPV Requirements Safety Instructions & Orientation #31 Applies to all UPVs. Prior to getting underway, operators of UPVs must ensure public announcements, placards, or both are provided to passengers that address the following topics: Stowage locations of life preservers; Proper method of donning and adjusting life preservers carried aboard the vessel; The type and location of all other lifesaving devices carried on the vessel; The location of the Emergency Check off List (described in the next slide). 46 CFR 26.03.1 39

UPV Examiner Training Additional UPV Requirements Charts and Nautical lpublications #32 As appropriate for the intended voyage, all vessels must carry adequate and up to date: * At least 1 paper Chart(s) of appropriate scale to make safe navigation possible; * U.S. Coast Pilot or similar publication; (could be electronic) http://www.nauticalcharts.noaa.gov/nsd/cpdownload.htm Current Coast Guard light list; (could be electronic) http://www.navcen.uscg.gov/pubs/lightlists/lightlists.htm Latest Local Notice to Mariners (could beelectronic) electronic) http://www.navcen.uscg.gov/?pagename=lnmmain * Tide tables;http://www.saltwatertides.com/pickpred.html(electronic) * Current tables, or a river current publication issued by the U.S. Army 40 Corps of Engineers, or a river authority (could be electronic)

General condition of the vessel UPV Examiner Training Additional UPV Requirements Overall llvessel lconditions #33 No obvious major items that can cause trips or falls or injury to passengers or crew No obvious major structural weakness Hand rails secure NO Oil or Debris in the bilge (Pollution or could clog limber holes) Not a requirement, (just a suggestion Discussion points) ask the operator when the last time he opened or closed his sea cocks? k? How would he slow water flow from a fracture (hole) near or below the waterline? DSC Is his radio connected to GPS (cheap mans EPIRB) 41

Items that Marine inspectors look at we should look at them also (generally high failure rates) Look at the steering Make sure bl bilge pumps are functional and they can shut off the automatic Engine mounts, are they broken or loose Leaking fuel lines Fuel shut offs, have owner close & open them If sail, look at standing rigging with the owner Parasail, look at cable with the owner Took at tabbing where bulkheads meet the hull 42

UPV Examiner Training Federal Law or Regulations do not require the following items. However, these items will contribute significantly to the safety of the passengers and crew of an Uninspected Passenger Vessel if these are followed. Sft Safety Training i Program A UPV should have a safety training program for all crew members on emergency procedures and safety equipment use. This program ought to include record keeping showing that drills and training are conducted regularly. The following emergency situations should be covered by the training and drills program; Fire Flooding Man overboard Abandon Ship Emergency /Distress Communications (MAYDAY) CPR and First Aid * * DCS Connect Radio to GPS & Get MMSI # Bilge Pump and Alarm A UPV should have a properly installed bilge pump and bilge alarm. Note: Some vessels are designed without a bilge, or have suitable reserve buoyancy to float the vessel in a totally swamped condition, and will not need the bilge pump and alarm. REMEMBER the UPV EXAM is an Educational Opportunity to make the UPV Operators aware of the current regulations and requirements for operating a UPV. You are their resource person. If in doubt, tell them you will get back to them with that piece of information. 43

Discussion points Drills MOB / Fire (inspected vessels every 3 months) Does crew know what htto do if the master can t operate the vessel? If a fixed CO2 System should have Hydrostatic testing done every 12 years. If EPIRB, should be checked it monthly, explain how to check them (if f you know) ) Spare running light bulbs Would the mate (passengers) know what to do if CVO were incapacitated? 44

New MARPOL info Can t tdump non plastic garbage bigger than 1 X 1 anymore Placards (33 CFR 151.59 / MARPOL Annex V (amended) Regulation 10): While the applicability has not changed, placards must be updated to reflect the new garbage discharge requirements. For this year (2013) Until U.S. regulations are updated to reflect the new garbage g discharge regime and placards are readily available, U.S. flagged ships operating exclusively on 45 domestic voyages may continue to use existing placards.

UPV Examiner Training Additional UPV Requirements If UPV has a Marine Casualty ~ USCG 2692 Uninspected Vessels data for: Report of Injury to OSHA Chao v. Mallard Bay Drilling, Inc., 534 U.S. 235, 2002 AMC 305 (2002), held that OSHA regulations apply to uninspected vessels operating in territorial waters. Herman v. TidewaterPacific Pacific, Inc., 160 F.3d 1239, 1999 AMC 236 (9th Cir. 1998), held that Coast Guard regulations relative to reporting injuries and death do not supersede OSHA regulations applicable to working conditions and to record keeping of illness and injury applicable to workers within a state apply to seamen on uninspected vessels. Thus, under 29 U.S.C. 657(c)(2), 673(a) and 1904.4, an employer must maintain a detailed log supplementary to any reports of injury required by the Coast Guard of any injuryor illness involving medical treatment, loss of consciousness, restriction of work or motion, or transfer to another job of any employee in state territorial waters. (ex: Log Book)

Other Reporting Reporting Incidents of Sexual Harassment 46 U.S.C. 10104 requires the master of any documented vessel to report any complaints of sexual offenses to the Coast Guard. Sexual offenses are defined dfi din 18 USC U.S.C. 2241. The penalty for knowingly failing to make a required report is a fine of not more than $5000.00. 47

New Regs might be Coming from EPA small Vessel General Permit (svgp) The svgp is for commercial vessels under 79 ft. (NPRM) It will go into effect December 2017 (assuming everything stays the same as it is now) It is applicable to all UPV vessels & therefore it will become a UVP requirements for issue ofthe UPV decal in 2015 The svgp (PARI) Form is filled out by the owner/operator and it requires quarterly inspections by the owner to be done The svgp (PARI) Form PERMIT is required to be aboard the vessel at all times and the quarterly inspections (done by the owner) must be up to date The svgp (PARI) form PERMIT does not need to be filed with anyone, just kept aboard the vessel. 48

small Vessel General Permit (svgp) 49

UPV Examiner Training PAPER WORK You as an examiner are out in the field doing the important tjob. But.. The person entering the information into MISLE was not there! They can t fill in the blanks or read bad handwriting. Why is this important? MISLE is a legal document, that protects the examiner, the USCG and the boat owner. If there is a mishap (SMI) the examination data that was entered into MISLE will be looked at by the USCG and possibly the courts. It is a record of the condition of the vessel at the time of the examination. 50

Envelope 51

Back of Envelope Where the collection site is, Not the Lab 52

Summary Sheet 53

Check off sheet Pg 1 54

Check off sheet Pg 2 55

Check off sheet Pg 3 56

Check off sheet Pg 4 57

UPV Examiner Training What should you do now? 1) Become familiar with looking up CFRs & USC 2) Review all this material a couple of times 3) Participate in at least three UPV Exams 4) Have an Oral Board ~ questioning by a panel of USCG and/or DSO/UPV, ADSO/UPV or a UPV Instructor 5) Be the Lead Examiner in at least one UPV Exam with a ADSO/UPV or UPV Instructor 6) When the DSO/UPV is satisfied with the candidate s competence You Made it! 58

UPV Examiner Training What should you do now? 1) Go find 2 or 3 charter vessels that want a UPV Exam. 2) Make arrangements with a UPV Examiner to go with you to do the Examinations. 3) Have a UPV Examiner mentor you during the hands on UPV Examinations. It is best to use 2 or 3 differentexaminers examiners so you develop BestPractices from the start. 4) Do an Oral Board (Questions with open books) 5) When you are ready have an ADSO/UPV, UPV Instructor or DSO/UPV observe you being a lead examiner 59

Policy & Procedures for all UPV Examiners January 2015 Procedures: 1) Try to work in pairs. It is more fun and better for the outreach portion of the exam. 2) On any one exam, one of the examiners is the lead examiner, and he/she is responsible for the paperwork. It is imperative that your writing on the forms and the envelope is complete and legible otherwise the data will not be able to be entered into MISLE. FORMS: The 4th copy goes to the charter boat operator, the 3rd copy is retained by the lead examiner and the other two copies are placed in the envelope. 3) After you have done an exam, the lead examiner will enter data into the UPV spreadsheet noting the date, vessel name, whether it Passed (P) or Failed (F) and the names of the examiners involved for each exam or follow up exam where you were the lead. 4) The lead examiner will also fill out the 7038 Reporting Form (Vessel Exam & UPV form). The lead examiner will list the assisting examiners on that form, and if there is a UPV trainee check the trainee box for that person. In the remarks area, list the names of the vessels that were examined. Forward the 7038 form to your FSO IS just like you do for a VSC. 5) On a weekly basis, or at least monthly, forward to the ADSO for your area, the envelope with the first and second copies of the exam forms for each exam that you passed, for entry into MISLE. It takes a lot of time to enter the data into MISLE, so please forward the completed envelopes weekly so the people entering the data into MISLE do not have a lot of entries all at once. 6) For vessels that fail an exam, reach out to them again & again and help them to come into compliance. Forward the envelopes of failed exams to your ADSO/UPV when you feel you have done all that you can and it is time for someone else to give that captain help with coming into compliance. 7) Make sure to attend the three 2 hour WebEx training & refreshers classes at least annually. It provides you an opportunity to discuss problems, concerns and successful techniques you have discovered in the UPV area. This way we can deliver consistent information and procedures through the district. The three classes are a learning forum with an exchange of ideas & information. They will be on every second & fourth Sunday evening of each month 8 pm to 10 pm. Sign in and add your two cents worth. UPV Examiner policy 60

Suggestions: 1) Work with other VEs in your area. They can assist you doing a UPV exam, just remember they will need specific guidance for each task they are doing. They can check PFD s, waterlight s and battery dates, running lights etc. It will make your job a little harder ensuring that he/she is properly checking what you asked them to check, but that VE will become an excellent outreach person when he is doing VSCs and maybe they will become a UPV Examiner. 2) Try to have VEs in your area seek out charter boats and have them give you the contact information for each one. 3) Try to set up two, three or more exams in an area, and if necessary engage other UPV examiners to go with you since an initial UPV exam takes about 2 hours. You can ask the help of your ADSO UPV to help pyou generate these groups. The good side, a re inspection can be done in as little as a 1/2 hour if the charter boat operator is on the ball with all the information. Remember the outreach education portion of the UPV exam is what the charter boat operator needs and wants. By taking extra time talking with the captain explaining the whys and wherefores, they appreciate the time you spend and they spread positive comments about the exam and they will encourage others to have a UPV exam. 4) Work with your ADSO UPV and exchange data and information. 5) Since you are holding the failed exam envelopes, make sure you inform the captains that the paper work will not be forwarded to the USCG for failed exams. 6) Always bring handouts with you to UPV exams to assist the captain in becoming compliant. Examples: Emergency Check off Sheet, donning instruction sheets, how to meet the 2 hr alcohol test rule, sample Company policy, sample EAP, sample Crew Swapping Contract etc. 7) Encourage CG station personal to go along with you on UPV exams UPV Examiner policy 61