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1. Requirements for Initial Licensing
2. Training Trips
3. Physical Examination and Eye Examination
4. Requirements for Maintaining a License and License
Renewals
5. Oath
6. Pilot Stations
7. No Pilot Boat Maintained on Station
8. Pilot Boat Signals
9. Pilot on Board
10. Navigational Aides
11. Boarding Safety
12. Reporting Requirements
13. Trip Log Slip
14. Development of Best Management Practices
15. Purpose
16. Grounds for Disciplinary Action
17. Complaints
18. Investigation
19. Hearing
20. Confidentiality Pending Investigation
21. Decision
22. Appeal
23. Access to Records
24. Requirements of Other Government Agencies
17 DEPARTMENT OF TRANSPORTATION
387 MAINE PILOTAGE COMMISSION
Chapter 1: RULES AND REGULATIONS
SUMMARY: These Rules outline requirements for licensing,
operations and safety, complaints, investigations, and discipline,
and other general provisions.
DEFINITIONS
The following terms when used in these regulations shall be deemed
to mean and include:
a. Administrator. The individual designated by the Commissioner
of Transportation to provide coordination of administrative support
for the Commission and/or the Complaint Officer.
b. Chair. The Chair of the Commission who shall be elected
by the members of the Commission at their first meeting of each
calendar year.
c. Commission. The Maine Pilotage Commission. In the case
of reports or notifications to the Commission it shall be interpreted
as having been delivered to the Commission if provided to the
Commission Administrator.
d. Complaint Officer. A member of the Commission designated
by the Commission to assist the Commission in carrying out the
investigative and disciplinary functions set forth in these regulations.
The Complaint Officer may use the Commission Administrator to
assist in discharging these duties.
e. Department. The State of Maine Department of Transportation.
f. Incompetence. Incompetence means the licensee has: (1)
engaged in conduct which evidences a lack of ability or fitness
to discharge the duty owed by the licensee to a client or the
general public; or (2) engaged in conduct which evidences a lack
of knowledge or inability to apply principles or skills to carry
out the practice for which licensed.
g. Initial License. The license or endorsement considered
to be the first for the geographic area under consideration to
be distinguished from the renewal of licenses.
h. Misconduct. Misconduct is human behavior which violates
some commonly accepted rule. Such rules are found in, among other
places, statutes, regulations, the common law, the general maritime
law, a ship's regulation or order, or shipping articles and similar
sources. It is an act which is forbidden or a failure to do that
which is required.
i. Negligence. Negligence is the commission of an act which
a reasonable and prudent person of the same station, under the
same circumstances, would not commit, or the failure to perform
an act which a reasonable and prudent person of the same station,
under the same circumstances, would not fail to perform.
j. Pilot Stations. The location(s) where a pilot makes
a rendezvous, for the purpose of boarding or leaving a vessel
that requires pilot services.
k. Pilotage Areas. Specific areas of the Maine coast where
the Commission has established licensing requirements.
l. Reduced Visibility. Conditions that substantially reduce
visibility during the majority of a transit including fog or storms.
m. Training Trips. Those trips made by an applicant acting
for the purposes of gaining local knowledge and experience in
ship handling within specific waters under the jurisdiction of
the Commission.
n. Recency. Training and/or trips required to be undertaken
by a licensed pilot in order to maintain a license.
o. Tug and Barge. A tug and barge is considered to be a single
vessel for purposes of determining tonnage and accounting for
training and recency trips.
p. Pilotage duties. When directing the movement of vessels entering or departing from any port or harbor pursuant to Title 38 M.R.S.A, Chapter 1, Subchapter II and thes Rules, the responsibilities of a pilot licensed by the Commission include the manuevering of such vessels during docking, undocking or changing berths, and while anchoring, mooring or unmooring at any offshore platform or buoy.
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PART A. LICENSING REQUIREMENTS
1. Requirements for Initial Licensing
To apply for a license an applicant, for any pilotage area:
a. Will appear before the Commission to make initial application
for a license. At this appearance the sponsoring pilot or pilot
organization will also appear and justify, to the satisfaction
of the Commission, the need for additional pilots for the specific
area. This appearance shall occur prior to initiating any training
trips for the State license. The Commission may, at its sole discretion,
accept trips previously made under the supervision of a pilot
licensed by this Commission for the specific area. These trips
must have been made within a five year period immediately previous
to the date of the appearance before the Commission and must be
sufficiently documented to show compliance with the requirements
outlined in Section 2.A. of these rules.
b. Submit a complete and accurate application form given under
oath.
Prior to the granting of a license the applicant must:
c. Submit proof of current federal license of at least a Master
of 1600 Gross Tons with a first class pilot endorsement for the
region for which application is being made. Such proof shall be
a copy of the license showing the license number, expiration date,
and all current endorsements. In those areas where no federal
endorsement is available, the Commission may set additional standards
for a State license.
d. Submit proof of training trips complying with Section 2.
e. Submit proof of physical examination and eye examination complying
with Section 3.
f. Submit proof of US Citizenship and State of Maine residency.
g. Pay all required fees as established by MRSA 38 § 93 et
seq.
h. Submit to a background investigation by the Maine State Police.
i. Submit two (2) letters of recommendation/character reference
from individuals familiar with the applicant but not employed
by the sponsoring pilot group.
j. Appear before the Commission to review their qualifications.
k. Achieve a score of 90% or better on a written examination on
the applicant's knowledge of the local area, which will be given
after all other requirements above have been met.
l. Pass a pre-application drug test and provide proof of enrollment
in a federally approved drug testing program.
m. Submit proof of current radar observer certification.
n. Submit proof of ARPA (Automatic Radar Plotting Aids) certification.
The Commission requires the sponsor to provide an update on each
applicant at least annually, with reports due to the Commission
by January 15th for the preceding calendar year. The Commission
may revoke an application if progress is not apparent, or justification
for continuing the application is not provided by the sponsor.
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2. Training Trips
Training must consist of round trips on vessels of tonnage, as
established by the Commission, by these regulations and should
include trips made in all weather and seasonal conditions anticipated
for the pilotage area. Additionally, twenty-five percent (25%)
of trips shall be made during the hours of darkness where practicable.
Such proof shall be a trip sheet showing for each round trip;
the date, geographic point of the beginning and ending of the
route, time at the beginning and end of the route, the name and
gross tonnage of the vessel, the name and signature of the pilot,
licensed by this Commission for that area, who was supervising
the trip, a brief description from the supervising pilot of the
activities of the applicant, and general weather conditions.
a. Kennebec River. 12 Round Trips on vessels of at least 1600
gross tons.
b. Sheepscot River. 12 Round Trips on vessels of at least 1600
gross tons and license certification by the Maine Pilotage Commission
in at least one other area. Pilotage in this area is restricted
to Daytime Only.
c. Boothbay Harbor. 12 Round Trips on vessels of at least 1600
gross tons and license certification by the Maine Pilotage Commission
in at least one other area.
d. Penobscot Bay. 30 Round Trips on vessels of at least 1600 gross
tons, except that at least fifty percent (50%) of the trips must
be on vessels of at least 5000 gross tons, with a minimum of 12
trips from each approach.
e. Penobscot River (Fort Point to Bucksport). 20 Round Trips on
vessels of at least 1600 gross tons, except that fifty percent
(50%) of the trips must be on vessels of at least 3000 gross tons.
f. Penobscot River (Bucksport to Bangor). 18 Round Trips on vessels
of at least 1600 gross tons.
g. Blue Hill Bay. 6 Round Trips on vessels of at least 1600 gross
tons, and the applicant must possess a current license for Frenchman
Bay. Pilotage in this area is restricted to Daytime Only.
h. Eastern Way/Sommes Sound. 6 Round Trips on vessels of at least
1600 gross tons, and the applicant must possess a current license
for Frenchman Bay. Pilotage in this area is restricted to Daytime
Only.
i. Frenchman Bay. 20 Round Trips on vessels of at least 1600 gross
tons, except that fifty percent (50%) of the trips must be on
vessels of at least 10,000 gross tons.
j. Eastport Area (Passamaquoddy Bay, Cobscook Bay, Friar Roads, Head Harbor Passage). 20 Round Trips on vessels of at least 1600
gross tons, except that that fifty percent (50%) of the trips
must be on vessels of at least 5000 gross tons.
k. Bar Harbor to Yarmouth Ferry. Any Master must be Type Rating
Certified in accordance with the International High Speed Craft
Code and the vessel must take on a pilot licensed by this commission
for Frenchman Bay, on the first round trip of the season and the
first round trip of each calendar month thereafter.
l. Other Areas. In areas not listed above, the Commission may
establish provisional licensing requirements for pilots currently
licensed for other areas within the specific coastal zone. Such
requirements must be in writing and may be different from the
initial requirements set forth above in this Section 2 in order
to protect the public by developing an adequate initial pool of
qualified professionals. These provisional requirements will remain
in place until the Commission promulgates rules.
m. Traffic Variations. The Commission reserves its right under
38 MRSA § 91 to vary the number of training trips required
for an initial license in any given area based on changes in traffic
levels within that area. Such action by the Commission must be
in consultation with those pilots licensed for the area and noticed
on at least two regular meeting agendas with opportunity for the
public to comment on the changes during each meeting. Changes
to training trip requirements in any area will not be made more
than once in any given five year period.
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3. Physical Examination and Eye Examination
Each applicant for a pilot license or renewal, issued by the
Commission shall undergo a physical examination and an eye examination
by a qualified physician taken within 30 days of filing their
application or within 90 days of filing their renewal. Currently
licensed pilots are also required to submit annual physical and
eye examinations to the Commission. The examination requirements
shall be the same as those prescribed by the U.S. Coast Guard.
The exam forms used for the federal license, or equivalent, shall
be submitted as proof of the exam.
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4. Requirements for Maintaining a License and
License Renewals
a. For maintaining a license, licensees are required to comply
with recency as defined below.
(1) Recency shall consist of round trips on vessels of tonnage,
as established by the Commission. Proof of such round trips
shall be, for each Pilotage area, a completed form approved
by the Commission showing, the name of the pilot licensed by
the Commission, vessel name, gross tonnage, official Number,
Inbound Date and Outbound date. The specified number of trips
to maintain recency shall annually be 10% of the number of trips,
respective of tonnage requirements, as established for licensing
in subsections 2a - 2k, rounded to the next highest full number,
and generally complying with the guidelines set forth in Section
2.
(2) Where not practicable, an individual license holder may
make application to the Commission for consideration of comparable
alternative criteria to meet recency standards as outlined above.
(3) All pilots will notify the Commission on the approved forms
of their recency status on an annual basis by submitting the
completed form to the Commission by January 15th for the preceding
calendar year. The first such report shall be due January 15,
2002.
b. To renew a license, licensees must submit:
(1) Proof of current federal license with a first class pilot
endorsement for the region for which application for re-licensing
is being made. Such proof shall be a copy of the current federal
license showing the license number, expiration date, and all
current endorsements.
(2) Proof of current physical and eye examination as stated
in Section 3.
(3) Proof of enrollment in a federally approved drug testing
program.
(4) Current radar observer recertification.
(5) ARPA (Automatic Radar Plotting Aids) recertification.
(6) Proof of recency as stated in this section.
(7) Pay all required fees as established by MRSA 38 § 93
et seq.
c. For all renewals requested after January 1, 2003, proof of
continuing education consisting of a minimum of 40 hours during
the previous five years. The Commission will develop a list of
acceptable courses and will review the listing on a biannual basis.
The first list will be developed and be available by July 1, 2001.
d. Grace Period. From the date of expiration of a Maine Pilotage
license there exists a ninety day grace period within which the
license may be renewed without re-examination, but all other requirements
will still apply. After the grace period any application for renewal
will be subject to the criteria established for an initial license
set forth in Sections 1 and 2. However, a pilot may begin the
application process up to one year in advance of the expiration
date of a State license.
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5. Oath
Before entering upon their duties as such, all pilots accepted
by the Commission and licensed shall subscribe to the following
oath before a Notary Public:
"I do solemnly swear [or affirm] that I will uphold the Constitution
of the United States and the Constitution of the State of Maine,
and that I will obey the laws of the United States and the State
of Maine and the lawful regulations of the Maine Pilotage Commission,
and that I will perform my duties as a licensed pilot to the best
of my ability and in the best interest of the State."
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PART B. OPERATIONAL & SAFETY REQUIREMENTS
6. Pilot Stations
The list below provides a number of locations which the Commission
considers appropriate to rendezvous for vessels and pilots. This
list is not comprehensive, but it provides examples of appropriate
rendezvous locations. Pilots choosing to board or leave a vessel
at other locations must only choose locations which will allow
the vessel to proceed at least as safely as if the pilot boarded
or left the vessel at the listed pilot stations considering all
the conditions then existing.
a. For Searsport, Bucksport and Penobscot River
(1) At Manana Whistle buoy "14 M" off Monhegan Island.
(2) One half (1/2) mile south of lighted whistle buoy "WP".
(3) Mosquito Island at the MP buoy.
b. For Kennebec River - White Ledge lighted bellbuoy.
c. For Bar Harbor
(1) One mile South or Southeast of the "FB" (Racon)
Buoy.
(2) At any point along the Frenchman Bay recommended route seaward
of the above listed location.
d. For Eastport - 1.5 Nautical miles east of East Quoddy Head
light.
Regardless of where a pilot boards a vessel, it is strongly recommended
that pilot be in direct contact with any vessel to which they
are providing piloting services prior to that vessel entering
waters under the jurisdiction of this Commission.
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7. No Pilot Boat Maintained on Station
In all cases, 24 and 12 hour Estimated Time of Arrival are to
be given, at which time the individual pilot or pilot association
will confirm through the vessel's agent, Captain, Mate, or dispatcher
at which station the pilot will board. Accurate ETA's are required
as no pilot boats are kept on station.
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8. Pilot Boat Signals
Any vessel transporting a pilot to/from a rendezvous with a vessel
requiring pilotage shall display the proper pilot boat signals
in accordance with international COLREGS.
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9. Pilot on Board
Whenever a pilot is aboard any vessel in a piloting capacity,
the pilot shall assure that the International code flag "Hotel"
is displayed from the vessel by day.
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10. Navigational Aides
Whenever pilots observe any navigational aid out of position
or operating improperly, it shall be their duty to report the
same to the U.S. or Canadian Coast Guard as soon as practical
to do so.
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11. Boarding Safety
A pilot shall have no duty to board or leave a vessel unless
the vessel maintains the speed required by the pilot boat operator
and there exists a suitable lee and ladder conforming to the current
International Maritime Organization (IMO) Standards for pilot
ladder safety. The ladder shall be in good condition, properly
placed, secured and illuminated to enable the pilot to board and
leave the vessel safely.
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12. Reporting Requirements
a. Illness or Injury to Pilot
Pilots who shall suffer illness or injury causing them to be unable
to perform their duty for a period of 30 days or more shall notify
the Commission to this effect. They shall further notify the Commission
as to the date when they expect to be able to resume duty. The
Commission may require a physical examination of the pilot before
their return to duty status.
b. Injury to Pilot Sustained in Boarding or Leaving a Ship or
while Aboard a Ship being Piloted. Any pilot who sustains injury
in the process of boarding or leaving a ship, falls overboard,
or is injured aboard a ship while performing their duty, shall
report to the Commission concerning all particulars of the accident
within 24 hours, and submit a written report within five calendar
days. A duplicate of this report shall also be submitted to the
Master or Agents of the ship involved.
c. Vessel Going Aground or Other Accident
In the event of a vessel going aground or meeting with any accident
while a pilot is in charge, the pilot shall report all circumstances
attending the grounding or other accident to the Commission immediately
after addressing resultant safety concerns, specifying the location
and exact time of such grounding or accident and the nature thereof,
and file a written report within five calendar days to the Commission.
d. Motor Vehicle License Suspension or Revocation
Any pilot licensed by this Commission must report, in writing
and within 5 days, to the Commission the details of any charges
filed against the pilot that may lead to suspension or revocation
of a motor vehicle license, including, but not limited to, operating
a motor vehicle under the influence of alcohol or narcotics.
e. Federal License Suspension or Revocation
Any pilot licensed by this Commission must report to the Commission
the details of any complaint filed against the pilot, in writing
and within 5 days of receipt of such complaint. Said pilot must
surrender the state license immediately upon notification of the
suspension or revocation of the federal license.
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13. Trip Log Slip
Each pilot shall keep and maintain a trip log slip for each transit
of a vessel piloted. This slip shall include the following information:
the date, general weather conditions, name of the vessel, name
of the pilot, time and point of boarding or departing the pilot
station, the vessel's dimensions and tonnages, draft of vessel
during transit, and the time when passing prominent aids to navigation
along the route. Each transit shall have its own log slip. The
Commission may call for these slips. Log sheets shall be maintained
and accessible for five (5) years.
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14. Development of Best Management Practices
The Commission may adopt Best Management Practices (BMP) for
each Pilotage Area. These BMP's will identify the key concerns
of pilotage within each area and provide a set of parameters under
which vessels can be safely brought into an area.
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PART C. COMPLAINTS, INVESTIGATIONS & DISCIPLINARY ACTION
15. Purpose
a. The provisions of this subsection are remedial in nature.
Said provisions are intended to assist in maintaining standards
for competence and conduct which are essential to provide maximum
safety from the dangers of navigation for vessels entering or
leaving the waters regulated by the Commission. Said provisions
are not penal in nature and are not intended to be used by pilots
in order to gain an unfair competitive advantage.
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16. Grounds for Disciplinary Action
The following shall constitute grounds for disciplinary action.
a. Any violation of the provisions of Title 38, Chapter 1, Operation
of Vessels, subchapter III, Pilots, (38 MRSA § 85, et seq.)
b. Any violation of these rules and regulations including all
laws, rules and regulations incorporated by reference herein.
c. Misconduct, incompetence or negligence in the performance of
their duties.
d. Habitual intemperance in the use of alcohol or use of narcotic
or hypnotic or other substances so as to be unfit to be entrusted
with the charge of a vessel;
e. Mental or physical incapacity so as to be unfit to carry on
the duties of a pilot.
f. Providing materially false or misleading statements or omissions
relating to any matter regulated by the Commission.
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17. Complaints
Complaints shall be submitted to the Commission in writing, dated
and signed. The Commission may also initiate investigations on
its own motion.
The complaint must include the following.
a. The specific grounds for the complaint as set forth in section
18 above.
b. The specific facts constituting the alleged act or offense.
c. The reason(s) for making the Complaint.
The Commission will forward a copy of the complaint to the pilot(s)
that are the subject of the complaint ("respondent(s)")
within 10 days of receipt.
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18. Investigation
a. Determination to Investigate. The Commission, through its
Complaint Officer, will determine whether the complaint, if accepted
as true, is a matter within its jurisdiction and warrants investigation.
If the Complaint Officer determines an investigation is not warranted,
the Complaint Officer will make a recommendation not to investigate
and to dismiss the complaint. Such recommendation must include
the reason(s) therefor. The Commission will consider such recommendation
and determine whether or not to investigate.
b. Initial Investigation. If the Complaint Officer or the Commission
determines that an investigation is warranted, the Complaint Officer
will conduct an initial investigation sufficient to determine
whether there exist reasonable grounds to support a formal hearing.
Such investigation shall include an opportunity of the subject
pilot(s) to respond to the complaint.
During such initial investigation, the Complaint Officer may negotiate,
but not execute, consent agreements that effectively address the
issues raised in the complaint through such measures as voluntary
surrender of a license or endorsements, operational changes, equipment
changes, and additional education and training.
c. Complaint Officer’s Recommendation. Upon conclusion of
the initial investigation, the Complaint Officer will recommend
to the full Commission that it (a) dismiss the complaint because
there are no reasonable grounds for the complaint, (b) execute
a consent agreement, (c) proceed on the complaint and to schedule
a hearing on the matter, or (d) take such other affirmative action
as will effectively address the issues raised in the complaint.
The Commission will consider such recommendation and determine
how to proceed. If the decision is to proceed to hearing, at this
time, and not before, a Complaint number will be assigned, a hearing
will be scheduled, and the matter will be placed on a Commission
agenda.
d. Continuing Investigation. At any time before any decision
is rendered by the Commission on the complaint, the Commission
may conduct such additional investigation as is necessary or convenient
to fully evaluate the matter.
e. Subpoenas. The Commission may issue subpoenas to compel the
attendance and testimony of witnesses and the production of evidence
relating to any material issue in accordance with Maine Administrative
Procedure Act, 5 M.R.S.A. Section 9060.
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19. Hearing
The respondent(s) shall be provided at least 30 days written
notice of the hearing as provided by Maine Administrative Procedure
Act, 5 M.R.S.A. Section 9051, et seq. The notice shall specify
the nature and substance of such complaint and shall be served
personally or by certified mail addressed to such pilot at his
last and usual place of abode.
All hearings shall be adjudicatory proceedings held in accordance
with the Maine Administrative Procedure Act, 5 M.R.S.A. Section
9051, et seq.
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20. Confidentiality Pending Investigation
a. During the pendency of an investigation, all complaints and
investigative records of the Commission shall be confidential.
The Commission and all pilot complainants shall not knowingly
disclose or cause to be disclosed any information contained in
or relating to the subject matter of the complaint to any person
except the members of the Commission or the Commission Administrator.
Those records shall become public records upon the conclusion
of the investigation unless confidentiality is required by some
other provision of law.
For purposes of this section, an investigation is concluded when:
(1) A notice of an adjudicatory hearing under Title 5, chapter
375, subchapter IV has been issued;
(2) The complaint has been listed on a meeting agenda of the
Commission;
(3) A consent agreement has been executed; or
(4) A letter of dismissal has been issued or the investigation
has otherwise been closed.
b. Exceptions. Notwithstanding subsection 22(a)above, during
the pendency of an investigation, a complaint or investigative
record may be disclosed for any of the reasons contained in Title
38 M.R.S.A. Section 100-A(2).
c. Violation. Any person who knowingly or intentionally makes
a disclosure in violation of this section commits a civil violation
for which a forfeiture not to exceed $1,000 may be adjudged.
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21. Decision
After hearing, the Commission may take any action allowed by
law that is necessary to address the issues raised in the complaint
including requiring additional education, training, experience,
and/or suspension or revocation of licenses. Such decision shall
be written and otherwise in compliance with Maine Administrative
Procedure Act, 5 M.R.S.A. Section 9051, et seq. The decision shall
be the final agency action of the Commission.
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22. Appeal
In order to appeal, any person aggrieved by a decision of the
Commission with respect to any disciplinary action or any application
for, or denial of, a pilot's license must appeal to the Superior
Court, Kennebec County, in accordance with the Maine Administrative
Procedure Act and Rule 80C of the Maine Rules of Civil Procedure.
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PART D. GENERAL PROVISIONS
23. Access to Records
All records of all pilotage associations as well as any individual
pilot shall be made available to the Commission upon written request.
Such requests shall indicate the reason(s) why the records are
sought. An individual pilot or pilot association shall comply
with this request within fourteen (14) days.
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24. Requirements of Other Government Agencies
All persons subject to these rules shall be responsible to the
Commission for complying with all applicable state and federal
laws, rules, and regulations.
STATUTORY AUTHORITY: 38 MRSA § 90
EFFECTIVE DATE:
February 11, 1986
MOVED TO THE JURISDICTION OF THE DEPARTMENT OF TRANSPORTATION:
May 28, 1999
NON-SUBSTANTIVE CORRECTIONS:
June 1, 2000 - Web and LAN versions corrected and moved.
AMENDED:
December 16, 2000
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