Pilots' Medical Certificate Validity Period, 66575-66591 [2022-23339]
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Federal Register / Vol. 87, No. 213 / Friday, November 4, 2022 / Rules and Regulations
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TABLE V.-ACCOUNTING STATEMENT: CLASSIFICATION OF
ESTIMATED EXPENDITURES UNDER THE IPPS FROM FY 2022 TO FY 2023
BILLING CODE 4120–01–C
List of Subjects in 42 CFR Part 482
Grant programs—health, Hospitals,
Medicaid, Medicare, Reporting and
recordkeeping requirements.
Accordingly, 42 CFR chapter IV is
corrected by making the following
correcting amendments to part 482:
PART 482—CONDITIONS OF
PARTICIPATION FOR HOSPITALS
1. The authority citation for part 482
continues to reads as follows:
■
Authority: 42 U.S.C. 1302, 1395hh, and
1395rr, unless otherwise noted.
§ 482.42
[Amended]
2. In § 482.42, redesignate the second
paragraph (f)(2)(ii) as paragraph
(f)(2)(iii).
■
Elizabeth J. Gramling,
Executive Secretary to the Department,
Department of Health and Human Services.
[FR Doc. 2022–24077 Filed 11–3–22; 8:45 am]
BILLING CODE 4120–01–P
DEPARTMENT OF HOMELAND
SECURITY
Coast Guard
46 CFR Parts 10, 11, and 15
[Docket No. USCG–2020–0069]
RIN 1625–AC63
Pilots’ Medical Certificate Validity
Period
Coast Guard, DHS.
Final rule.
AGENCY:
ACTION:
The Coast Guard is issuing
this final rule to extend the maximum
validity period of merchant mariner
medical certificates issued to first-class
pilots, and masters or mates serving as
pilot, from 2 years to 5 years. We are
issuing this rule in response to federal
advisory committee recommendations
and a petition for rulemaking. This rule
will reduce the frequency of medical
certificate application submissions to
the Coast Guard. The rule maintains the
requirement for pilots to complete
annual physicals and provides the Coast
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SUMMARY:
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Transfers
$1.5 billion
Federal Government to IPPS Medicare Providers
Guard opportunity to review the
medical examinations of pilots who may
become medically unqualified between
medical certificate applications;
therefore, the rule does not compromise
safety.
DATES: This final rule is effective
February 1, 2023.
ADDRESSES: To view documents
mentioned in this preamble as being
available in the docket, go to https://
www.regulations.gov, type USCG–2020–
0069 in the search box and click
‘‘Search.’’ Next, in the Document Type
column, select ‘‘Supporting & Related
Material.’’
FOR FURTHER INFORMATION CONTACT: For
information about this document call or
email Eric Malzkuhn, U.S. Coast Guard
Office of Merchant Mariner
Credentialing; telephone 202–372–1425,
email eric.f.malzkuhn@uscg.mil.
SUPPLEMENTARY INFORMATION:
Table of Contents for Preamble
I. Abbreviations
II. Purpose, Basis, and Regulatory History
III. Background
IV. Discussion of Comments and Changes
From Proposed Rule
V. Discussion of the Rule
A. 46 CFR 10.301: Pilot Medical Certificate
Period of Validity
B. 46 CFR 11.709: Annual Physical
Examination Requirements for Pilots of
Vessels of 1,600 GRT or More
C. 46 CFR 15.401: Employment and Service
Restrictions Within the Pilot Credential
D. 46 CFR 15.812, Table 1 to § 15.812(e)(1):
Masters or Mates Serving as Pilot on
Vessels of 1,600 GRT or More
VI. Regulatory Analyses
A. Regulatory Planning and Review
B. Small Entities
C. Assistance for Small Entities
D. Collection of Information
E. Federalism
F. Unfunded Mandates
G. Taking of Private Property
H. Civil Justice Reform
I. Protection of Children
J. Indian Tribal Governments
K. Energy Effects
L. Technical Standards
M. Environment
I. Abbreviations
BLS Bureau of Labor Statistics
CFR Code of Federal Regulations
DHS Department of Homeland Security
FCP First-class pilot
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FR Federal Register
GRT Gross registered tons
GS General service
GSA General Services Administration
MMC Merchant Mariner Credential
MMLD Merchant Mariner Licensing and
Documentation database
MMD Merchant Mariner’s Document
MPH Miles per hour
NMC National Maritime Center
NPRM Notice of proposed rulemaking
OMB Office of Management and Budget
REC Regional Examination Center
§ Section
STCW Code Standards of Training,
Certification, and Watchkeeping for
Seafarers, 1978, as amended
STCW Convention International
Convention on Standards of Training,
Certification and Watchkeeping for
Seafarers
STCW final rule ‘‘Implementation of the
Amendments to the International
Convention on Standards of Training,
Certification and Watchkeeping for
Seafarers, 1978, and Changes to National
Endorsements’’ final rule
U.S.C. United States Code
USPS U.S. Postal Service
II. Purpose, Basis, and Regulatory
History
The purpose of this rule is to extend
the maximum validity period of
merchant mariner medical certificates
issued to first-class pilots (FCPs), and
masters or mates serving as pilot, from
2 years to 5 years, which will reduce the
frequency that they must submit a
medical certificate application to the
Coast Guard. Reducing the frequency of
medical certificate applications will
reduce the administrative burden on the
mariner submitting the application and
on the Coast Guard when processing the
application and issuing the medical
certificate. First-class pilots, and
masters and mates serving as pilot on
vessels of 1,600 gross registered tons or
more, will be required to submit the
results of their annual physical
examinations to the Coast Guard
between medical certificate applications
if the mariner (1) does not meet the
physical ability requirements; (2) has a
condition that does not meet the
medical, vision, or hearing
requirements; (3) is deemed ‘‘not
recommended’’ by a medical
practitioner for a medical certificate; or
(4) if the results are requested by the
Coast Guard. We are delaying the
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effective date of this final rule several
months after publication in the Federal
Register because the Coast Guard needs
additional time to fully implement the
necessary changes to the Merchant
Mariner Licensing and Documentation
database used by the National Maritime
Center to issue Merchant Mariner
Credentials and maintain records of U.S.
merchant mariners.
The legal basis of this rule is Title 46
of the United States Code (U.S.C.),
Section 7101(c), which authorizes the
Coast Guard to issue licenses to pilots
who are found qualified as to physical
fitness and other qualifications in
Section 7101(c). Title 46 U.S.C. Section
7101(e)(2) further specifies that an
individual may only be issued a license
as pilot if they are found to be of sound
health and have no physical limitations
that would hinder or prevent them in
the performance of a pilot’s duties.
Section 7101(e)(3) also requires each
pilot serving on vessels 1,600 gross
registered tons (GRT) or greater to have
a thorough physical examination each
year while holding the license. The
Secretary of the Department of
Homeland Security (DHS) has delegated
these statutory authorities to the Coast
Guard through DHS Delegation No.
00170.1(92)(e), Revision No. 01.2, which
generally authorizes the Coast Guard to
determine and establish the experience
and professional qualifications required
for the issuance of credentials.
Additionally, 14 U.S.C. 102(3) grants the
Coast Guard broad authority to issue
and enforce regulations for the
promotion of safety of life and property
on waters subject to the jurisdiction of
the United States.
On August 27, 2021, the Coast Guard
published a notice of proposed
rulemaking (NPRM) titled ‘‘Pilots’
Medical Certificate Validity Period’’
(volume 86 of the Federal Register (FR)
at page 48090), requesting comments on
extending the pilot medical certificate
validity period to 5 years and adding
specific reporting requirements for the
interim years. The Coast Guard received
six comment submissions to the docket.
A detailed description of the
background and discussion of the
proposed changes can be found in that
NPRM.
III. Background
The Coast Guard issues Merchant
Mariner Credentials (MMCs) and
medical certificates to qualified
mariners who meet the requirements in
Title 46 of the Code of Federal
Regulations (CFR), subchapter B, parts
10 through 13. The requirements for
medical certification are described in 46
CFR part 10, subpart C. According to
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§ 10.301, a medical certificate will be
issued for various periods of time based
upon the endorsements the mariner
holds. Under this final rule, the
maximum validity period of the medical
certificate for mariners serving as an
FCP, or masters or mates serving as pilot
under 46 CFR 15.812, for which the
maximum validity period of the medical
certificate had been 2 years, will now
have a maximum validity period of 5
years. The validity period of the medical
certificate will remain 5 years for
mariners serving on national MMC
endorsements, and will remain 2 years
for mariners engaged on vessels to
which the International Convention on
Standards of Training, Certification and
Watchkeeping for Seafarers (STCW
Convention) applies. Mariners may not
be employed in a position requiring an
MMC unless they hold a valid medical
certificate, as described in § 15.401(c).
In accordance with § 11.709, FCPs,
and masters or mates serving as pilot on
vessels of 1,600 GRT or more, are
required to have an annual physical
examination that meets the medical and
physical requirements described in part
10 subpart C. This annual physical
examination requirement for pilots
serving on vessels of 1,600 GRT or more
has been in place since the enactment
of the Port and Tanker Safety Act of
1978 (Pub. L. 95–474) and is codified in
46 U.S.C. 7101(e)(3). This annual
physical examination is a statutory
requirement and will still be required
after this rulemaking.
In July 2017, the Coast Guard tasked
the Merchant Marine Personnel
Advisory Committee, the Merchant
Mariner Medical Advisory Committee,
and the Great Lakes Pilotage Advisory
Committee with identifying regulations,
guidance, or information collections
that that were outdated, ineffective, or
exceeded benefits and imposed
administrative burdens or costs on the
maritime industry (see 82 FR 32511, 82
FR 32513, and 82 FR 34909).
The advisory committees concluded
that the 2-year maximum validity period
of the medical certificate for FCPs poses
a burden on mariners and suggested the
Coast Guard extend the period of
validity to 5 years. Additionally, in July
2018, the Coast Guard received a
petition for rulemaking from the
American Pilots Association requesting
that we change the maximum period of
validity of the medical certificate from
2 years to 5 years for FCPs and masters
or mates serving as pilot. You can view
the American Pilots’ Association’s
petition for rulemaking and our
response by searching the docket
number ‘‘USCG–2018–0709’’ on https://
www.regulations.gov.
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IV. Discussion of Comments and
Changes From Proposed Rule
In response to the August 27, 2021
NPRM (86 FR 48090), the Coast Guard
received six comment submissions to
the docket. Three comments expressed
support for the proposed rule, two
comments disagreed with the proposed
rule, and the final comment neither
expressed support nor disagreement
with the proposed rule. We summarize
the comments below. In situations
where multiple commenters raised
similar issues, we attempt to provide
one response.
At the end of this section, we also
discuss three clarifying changes to the
regulatory text from what was proposed
in the NPRM.
A comment from a towing company
supported the Coast Guard’s proposed
rule, stating that it would consolidate all
phases of the process to renew an MMC
and make the process, as a whole, less
burdensome. The commenter also
expressed belief that the overall risk of
a marine incident occurring on
navigable waters due to a pilot’s or
master’s medical condition to be
relatively low.
A comment from the American Pilots
Association supported the changes in
the proposed rule, including the
reporting requirements. The American
Pilots Association concurred with our
statement in the NPRM that this change
would not compromise or decrease
navigational safety. The American Pilots
Association asserted that these changes
would actually increase safety because
of the new requirement that pilots must
submit the results of their annual
physical examination to the Coast Guard
for review if the medical practitioner
determines that they no longer meet the
medical and physical standards of 46
CFR, part 10, subpart C.
Another comment simply stated that
they agreed with the NPRM.
Two comments from mariners
disagreed with the proposed rule. Both
raised concerns that the proposed rule
would decrease safety because pilots
would receive less medical scrutiny at
a time when aging pilots are more likely
to develop physical ailments and
limitations. One of these comments
suggested that the proposed rule would
mean that the Coast Guard would have
less opportunity to remove an
endorsement or review further medical
proof of ability to act in the capacity of
shipboard pilot. This same comment
also pointed out that the actual physical
examination is only a few hours long
and should be considered part of the
requirements of the job. The other
comment disagreeing with the NPRM
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suggested that it would be better to
require a stress test from a boardcertified cardiologist for those mariners
seeking to hold a first class pilot
endorsement.
The Coast Guard disagrees that the
rule would decrease safety and that we
should add a stress test for FCPs. We
expect the final rule will not decrease
safety because it maintains the current
medical and physical requirements for
FCPs and for masters and mates serving
as pilot. Specifically, the final rule
maintains the provisions of 46 CFR
11.709 requiring an annual physical
examination for FCPs and those serving
as pilot. Each annual physical
examination must meet the
requirements of 46 CFR part 10 subpart
C by ensuring that the mariner has no
conditions that pose a significant risk of
sudden incapacitation or debilitating
complication, and by documenting any
condition requiring medication that
impairs cognitive ability, judgment, or
reaction time. The examination must
also document the individual’s ability to
meet the physical ability requirements
of 46 CFR 10.304(c), the vision
requirements of 46 CFR 10.305, and the
hearing requirements of 46 CFR 10.306.
Therefore, this final rule will continue
to provide an opportunity to identify
individuals who no longer meet the
medical standards of 46 CFR part 10
subpart C.
The Coast Guard also expects the final
rule to maintain the same level of safety
on navigable waters because the rule
will require FCPs and those serving as
pilot to submit the results of their
annual physical examinations to the
Coast Guard no later than 30 calendar
days after completion of the physical
examination if the mariner does not
meet the physical ability requirements
or the medical, vision, or hearing
requirements; if the mariner is deemed
‘‘not recommended’’ by a medical
practitioner for a medical certificate; or
within 30 days upon request by the
Coast Guard. If the results of an
examination are requested by the Coast
Guard, the mariner must submit the
results no later than 30 days after the
date of the request. This will allow the
Coast Guard the opportunity to review
the examination to determine whether
the individual is physically and
medically fit to pilot a vessel.
Furthermore, the Coast Guard expects
the final rule to maintain the same level
of safety on navigable waters because it
retains the provisions of revised 46 CFR
11.709(c), which declares, in part, that
an individual’s FCP endorsement
becomes invalid if the person does not
meet the physical examination and
reporting requirements in this section.
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Individuals may not operate under the
authority of an invalid endorsement,
and those who do may be subject to
enforcement action, up to and including
suspension and revocation under
§ 10.235. Additionally, the revised
provision in § 11.709(d) states that
masters and mates may not serve as
pilot on vessels 1600 GRT or more if
they do not comply with the physical
examination and reporting
requirements.
Lastly, Coast Guard expects that the
final rule will maintain the same level
of safety on navigable waters because it
does not extend the medical certificate
validity period for individuals who have
medical conditions that warrant timelimited medical certificates; nor does it
remove reporting requirements for
individuals with medical waivers.
With regard to the comment that all
FCPs should be required to undergo
stress testing by a cardiologist, changing
the components of the physical
examination requirements for FCPs and
masters and mates is outside the scope
of this rulemaking. It is important to
note that the Coast Guard did not
propose any changes to the components
of the physical examination
requirements for FCPs and masters and
mates. The Coast Guard believes that the
current physical examination
requirements are sufficient for pilots at
this time and would not propose
changes to the physical examination
requirements without information to
support such a proposal. No changes to
the physical examination requirements
would be made without first issuing a
proposed rulemaking and following
notice-and-comment procedures.
The sixth comment submission we
received was from an instructor who
stated that their students reviewed the
NPRM while studying regulatory policy
and took a vote, with the majority
supporting the proposed changes.
There are three clarifying changes to
the regulatory text of this final rule from
the NPRM.
The first change is separating the two
general physical examination reporting
requirements that, in the NPRM, were
combined in § 11.709(b). In the final
rule, we are placing the 5-year physical
exam submission requirement into new
paragraph (b)(1), and the four
supplemental reporting requirements
into paragraph (b)(2). The four reporting
requirements, for when the mariner
does not meet the medical requirements
or when requested by the Coast Guard,
will be in (b)(2)(i) through (b)(2)(iv).
Separating the reporting requirements
into subparagraphs will make it clearer
to the reader that there are multiple
reporting requirements.
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The second clarifying edit is in
§ 11.709(b)(2)(iii), regarding when the
examining medical practitioner
documents that the individual is not
recommended for a medical certificate
or needs further review by the Coast
Guard. This edit clarifies that the
recommendation should be recorded on
form CG–719K, the ‘‘Application for
Medical Certificate.’’
The third clarifying change is in
§ 11.709(b)(2)(iv). This edit clarifies that
the physical examination results must
be submitted to the Coast Guard no later
than 30 days from the date of the
request, and not within 30 days of
completion of the physical examination,
as stated in the proposed rule. Because
submission within 30 days of
completion of the physical examination
would not have been applicable in all
cases where the Coast Guard requests
the results, we clarified that the mariner
must submit the results of an
examination no later than 30 days after
the request.
A detailed description of the
regulatory changes implemented by this
final rule follows.
V. Discussion of the Rule
This rule increases the 2-year
maximum period of validity of the
medical certificate for FCPs and masters
or mates serving as pilot to a 5-year
maximum period of validity. FCPs and
masters or mates serving as pilot will be
required to submit the results of a
physical examination, recorded on form
CG–719K, the ‘‘Application for Medical
Certificate,’’ every 5 years to the Coast
Guard. The following provides a
section-by-section discussion of the
changes.
A. 46 CFR 10.301: Pilot Medical
Certificate Period of Validity
The Coast Guard is amending 46 CFR
10.301, which contains the general
requirements for meeting the medical
and physical standards for the issuance
of medical certificates to mariners. We
are extending the 2-year maximum
period of validity of the medical
certificate for FCPs, and those serving as
pilot, by deleting § 10.301(b)(2), which
contains the 2-year maximum provision.
This section will state that pilots will be
issued a medical certificate with a
maximum validity period of 5 years.
The standard maximum periods of
validity for medical certificates in
§ 10.301(b)(1) for all persons employed
or engaged onboard vessels to which the
STCW Convention applies remains 2
years. With this final rule, the standard
maximum period of validity for medical
certificates in § 10.301(b) for national
endorsements (including FCPs and
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mariners serving as pilot) will be 5
years. FCPs and masters or mates
serving as pilot will generally only have
to submit a medical certificate
application to the Coast Guard every 5
years. Pilots holding a medical
certificate with a 2-year validity period
will be issued a medical certificate with
5-year maximum period of validity at
their next medical certificate issuance,
unless the certificate is time-limited due
to a medical condition. This change
reduces the administrative burden on
FCPs, masters and mates serving as
pilot, and the Coast Guard.
This rule does not change the
regulations in § 10.303 regarding
medical waivers, limitations, and
restrictions for not meeting the medical
and physical requirements of § 10.302. If
the medical or physical standards are
not met, the Coast Guard may grant
waivers with conditions, such as
operational limitations or restrictions on
the medical certificate. Certain
conditions, such as a need for more
frequent monitoring of the mariner’s
medical condition, may result in the
issuance of a time-limited medical
certificate that would be valid for a
shorter period than the maximum
period of 5 years.
The medical certificate maximum
validity period of 5 years will apply to
all pilots (excluding pilots with time
limited medical certificates due to
medical condition), regardless of the
tonnage of the vessel they are serving
on. The Coast Guard believes that this
increase in the validity period will not
compromise maritime safety, as the rule
does not relax the annual physical
examination requirement for FCPs or
masters and mates serving as pilot.
Instead, we expect that the rule will
support greater transparency regarding a
pilot’s medical fitness because it
includes a new requirement that pilots
must submit the results of their annual
examination to the Coast Guard for
review if the medical practitioner
determines that they no longer meet the
medical and physical standards of 46
CFR, part 10, subpart C.
Prior to this final rule taking effect,
FCPs and masters or mates serving as
pilot exclusively on vessels of less than
1,600 GRT were issued medical
certificates with a maximum validity
period of 2 years, and were required to
submit the physical examination results
with their application for a new medical
certificate every 2 years. These mariners
are not subject to the annual physical
examination requirement in § 11.709
and are not subject to the new
submission requirements in § 11.709 of
this rule. Pilots, masters, and mates who
serve as pilot only on vessels less than
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1,600 GRT will be issued medical
certificates with a maximum validity
period of 5 years and will submit the
results of a physical examination to the
Coast Guard every 5 years when
applying for a new medical certificate.
In the rule titled ‘‘Implementation of
the Amendments to the International
Convention on Standards of Training,
Certification and Watchkeeping for
Seafarers, 1978, and Changes to
National Endorsements,’’ (78 FR 77796,
Dec. 24, 2013)(STCW final rule), which
took effect on March 24, 2014, an error
was made in Table 15.812(e)(1)
indicating that mariners serving as pilot
on vessels less than 1,600 GRT were
required to complete an annual physical
examination. The supporting text in
§ 15.812 remained accurate and did not
require these mariners to complete the
annual physical examination. This rule
corrects the table by removing the
requirement for an annual physical
examination. Masters and mates serving
as pilots on vessels less than 1,600 GRT
were not required to take an annual
physical examination either before or
after the STCW final rule.
Lastly, paragraph § 10.301(b) is
dedicated to establishing periods of
validity, and § 10.301(b)(4) is not related
to periods of validity. Therefore, in this
rule, § 10.301(b)(4) is redesignated into
its own paragraph in § 10.301(c). As a
result, current § 10.301(c) is
redesignated as § 10.301(d).
B. 46 CFR 11.709: Annual Physical
Examination Requirements for Pilots of
Vessels of 1,600 GRT or More
Section 11.709 contains the
requirement for pilots of vessels 1,600
GRT or more to undergo an annual
physical examination. This section
specifies when the annual physical
examinations must be conducted, how
the examination results are recorded,
and how often the examination results
are reported to the Coast Guard.
To ensure consistency with 46 U.S.C.
7101(e)(3), we clarify the applicability
of this section by including masters or
mates serving as pilot on vessels of
1,600 GRT or more, under § 15.812, in
the introductory text of § 11.709(b).
Adding these mariners to § 11.709(b)
clarifies the applicability of the annual
physical examination requirements.
Paragraph (b) of this section currently
states that the examination results are to
be reported to the Coast Guard every
other year to coincide with the current
2-year maximum period of validity of
medical certificates. Because this rule
extends the pilot’s medical certificate to
a 5-year maximum period of validity,
we are also removing the every-otheryear submission requirement of form
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CG–719K for pilots. This rule revises the
section to state that the physical
examination results must be submitted
on form CG–719K to the Coast Guard
every 5 years, in accordance with the
medical certificate application
requirements in §§ 10.301 and 10.304.
In practice, pilots who meet the medical
and physical standards in 46 CFR part
10 will generally be required to report
the results of the annual examination to
the Coast Guard only when applying for
a medical certificate, every 5 years.
The Coast Guard recognizes that when
medical certificates remain valid for 5
years, as opposed to 2 years, there is a
higher risk that someone could have a
valid medical certificate for a significant
period after developing a disqualifying
medical condition. In order to reduce
the risk created by extending the
validity period of the medical
certificate, this rule requires FCPs and
masters or mates who serve as pilot on
vessels of 1,600 GRT or more to submit
their annual physical examination
results to the Coast Guard no later than
30 days after completion of the physical
examination if any of the following
circumstances occur: (1) the examining
medical practitioner documents that the
individual does not meet the physical
ability requirements described in
§ 10.304(c); (2) the examining medical
practitioner documents that the
individual has a condition that does not
meet the general medical examination
requirements described in § 10.304(a),
the vision requirements described in
§ 10.305, or the hearing requirements
described in § 10.306; (3) the examining
medical practitioner documents that the
individual is not recommended for a
medical certificate or needs further
review by the Coast Guard; or (4) if the
Coast Guard requests the results. If the
Coast Guard requests the results, they
should be submitted no later than 30
calendar days after the request.
We are requiring self-submission of
medical examinations to the Coast
Guard when the examined pilot does
not meet the requirements for physical
abilities, general medical examination,
vision, or hearing, or is not
recommended for a medical certificate,
so that the Coast Guard can further
review the results of the medical
examination. As part of the review, the
Coast Guard may request additional
information in the interest of mariner
safety and full performance of the pilot’s
duties.
Service on vessels may be arduous,
and imposes unique physical and
medical demands on pilots. The
submission requirements support our
statutory responsibility under 46 U.S.C.
7101 to ensure that pilots are physically
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and medically fit to pilot a vessel. The
public safety risks associated with the
medical and physical condition of pilots
on vessels are important considerations
for the safe operation of vessels and the
safety and well-being of the crew. As
stated in § 11.709(b), the pilot’s annual
physical examination will continue to
be recorded on form CG–719K, which
documents physical ability, medical
conditions, and hearing and vision
requirements. Form CG–719K also
documents whether a mariner is ‘‘not
recommended,’’ which could prompt a
submission under the requirements in
§ 11.709(b)(2)(i)–(iii). If a pilot or a
master or mate serving as pilot on a
vessel 1,600 GRT or more is ‘‘not
recommended’’ on their Form CG–719K
and fails to report their physical
examination results as required under
§ 11.709(b), they may not serve as pilot
on a vessel 1,600 GRT or more until
they come into compliance and the
Coast Guard makes a determination on
whether they are fit to serve under the
provisions in 46 CFR subchapter B. The
annual physical examination
documentation and scope are
unchanged and remain the same under
this rule.
Moreover, the Coast Guard can
request the results of the physical
examination as part of marine casualty
investigations, where more frequent
monitoring of a medical condition is
specified in a waiver, and in other cases
that prompt further review.
As stated in § 11.701(d), the Coast
Guard only issues FCP endorsements for
tonnages of 1,600 GRT or more.
Therefore, all FCPs serving under the
authority of their FCP endorsement will
continue to be required to undergo the
statutorily required annual physical
examinations and will be subject to the
submission requirements in § 11.709.
In § 11.709, we also move the text
specifying that each annual physical
examination must meet the
requirements in 46 CFR, part 10, subpart
C, and be recorded on form CG–719K,
from existing paragraph (c) into
paragraph (b). We move this
requirement into paragraph (b) so that
all information regarding annual
physical examination requirements is in
the same paragraph.
In conjunction with moving
paragraph (c) into paragraph (b), this
rule redesignates current § 11.709(d) as
§ 11.709(c), without change.
Finally, this rule adds a new
paragraph 11.709(d) to clarify that
masters or mates serving as pilot on
vessels of 1,600 GRT or more under
§ 15.812 may not serve on these vessels
if they do not meet the annual physical
examination and submission
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requirements specified in § 11.709(b).
New paragraph (d) does not change any
of the current requirements or
consequences for masters or mates
serving as pilot on vessels of 1,600 GRT
or more, but reiterates the annual
physical examination requirements for
masters or mates serving as pilot already
required in § 15.812. Masters or mates
serving as pilot on vessels of 1,600 GRT
or more who do not comply with the
physical examination or reporting
requirements in § 11.709(b) may still
operate under the authority of their
master or mate endorsement, but cannot
pilot a vessel of 1,600 GRT or more until
they come into compliance and the
Coast Guard makes a determination on
whether they are fit to serve under the
provisions of 46 CFR 15.812 and 46 CFR
subchapter B.
C. 46 CFR 15.401: Employment and
Service Restrictions Within the
Credential
This rule also aligns the employment
requirements in § 15.401 with the 5-year
maximum period of validity of medical
certificates for FCPs or masters or mates
serving as pilot so that it reflects the
change made in § 10.301(b). Section
15.401(c) states that a person may not
employ or engage an individual in a
position required to hold an MMC
unless that individual maintains a
current medical certificate. This section
currently lists the maximum validity
period of the medical certificate as 2
years for FCPs and masters or mates
serving as a pilot. This rule amends this
section to say that the maximum
validity period of the medical certificate
for FCPs and masters or mates serving
as pilot is 5 years.
Additionally, throughout § 15.401,
this rule removes obsolete terminology
referring to licenses, certificates of
registry, and Merchant Mariner’s
Documents (MMDs). The Coast Guard
ceased issuing licenses, certificates of
registry, and MMDs in 2009 when we
transitioned to the streamlined MMC
with the ‘‘Consolidation of Merchant
Mariner Qualification Credentials’’ final
rule (see 74 FR 11195, March 16, 2009).
All credentialed mariners now hold an
MMC.
We also revise § 15.401(c)(1) by
removing the outdated grandfathering
clause, ‘‘[a]fter January 1, 2017,’’
because the referenced date has passed
and the section is now applicable to all
medical certificates issued to
individuals serving on vessels where the
STCW Convention applies.
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66579
D. 46 CFR 15.812, Table 1 to
§ 15.812(e)(1): Masters or Mates Serving
as Pilot on Vessels of 1,600 GRT or More
This rule includes a correction to
Table 1 to § 15.812(e)(1). Section
15.812(b)(2) contains the requirements
for masters or mates to serve as pilot on
vessels of not more than 1,600 GRT.
There is no requirement in paragraph
(b)(2) of this section for these masters
and mates serving on vessels less than
1,600 GRT to undergo an annual
physical examination. This is consistent
with § 11.709(a), which stipulates that
the annual physical examination
requirement only applies to individuals
who pilot a vessel of 1,600 GRT or more.
However, in Table 1 to § 15.812(e)(1),
‘‘Quick Reference Table for Federal
Pilotage Requirements for U.S.Inspected, Self-Propelled Vessels, Not
Sailing on Register,’’ the requirement for
a master or mate serving as pilot on
vessels not more than 1,600 GRT to have
an annual physical examination was
added in error. This error was
incorporated into the table with the
implementation of the STCW final rule,
which took effect on March 24, 2014.
We are removing the erroneous annual
physical examination requirement in
Table 1, under the third column, ‘‘Nondesignated areas of pilotage waters
(between the 3-mile limit and start of
traditional pilotage routes).’’ This
correction aligns the table with the
corresponding regulatory text in section
§ 15.812(b)(2), as well as the
applicability of the annual physical
examination requirements in
§ 11.709(a). This correction does not
change the requirements for these
mariners, because the Coast Guard has
not required masters or mates serving as
a pilot on vessels of less than 1,600 GRT
to complete an annual physical
examination.
VI. Regulatory Analyses
The Coast Guard received six
comment submissions during the 60-day
comment period that ended on October
26, 2021. We received no public
comments on the estimated benefits and
costs; therefore, the methodology
employed in the regulatory analyses in
the NPRM remains unchanged.
We developed this rule after
considering numerous statutes and
Executive orders related to rulemaking.
Below we summarize our analyses
based on these statutes or Executive
orders.
A. Regulatory Planning and Review
Executive Orders 12866 (Regulatory
Planning and Review) and 13563
(Improving Regulation and Regulatory
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Review) direct agencies to assess the
costs and benefits of available regulatory
alternatives and, if regulation is
necessary, to select regulatory
approaches that maximize net benefits
(including potential economic,
environmental, public health and safety
effects, distributive impacts, and
equity). Executive Order 13563
emphasizes the importance of
quantifying both costs and benefits, of
reducing costs, of harmonizing rules,
and of promoting flexibility.
The Office of Management and Budget
(OMB) has not designated this rule a
significant regulatory action under
section 3(f) of Executive Order 12866. A
regulatory analysis follows.
Summary of Affected Population, Costs
Savings, and Benefits
This rule extends the maximum
validity period of merchant mariner
medical certificates issued to FCPs and
masters or mates serving as pilot from
2 years to 5 years. This rule reduces the
frequency of medical certification
application submissions to the Coast
Guard. FCPs and masters and mates
who serve as pilot on vessels of 1,600
GRT or more will be required to submit
the results of their annual physical
examinations to the Coast Guard
between medical certificate applications
if the mariner: (1) does not meet the
physical ability requirements; (2) has a
condition that does not meet the
medical, vision, or hearing
requirements; (3) is deemed ‘‘not
recommended’’ by a medical
practitioner for a medical certificate; or
(4) is so requested by the Coast Guard.
TABLE 1—SUMMARY OF THE AFFECTED POPULATION, COST SAVINGS, AND BENEFITS FOR THIS RULE
Category
Summary
Applicability ...............................................................................................
Amend 46 CFR 10.301 and 15.401 to extend the maximum period of
validity of merchant mariner medical certificates issued to FCPs, and
masters or mates serving as pilot, from 2 years to 5 years.
Amend 46 CFR 11.709 by modifying the medical certificate application
submission requirement for FCPs, as well as masters and mates
who serve as pilot on vessels of 1,600 GRT or more, from 2 years to
5 years.
There are currently 3,897 mariners who hold MMC endorsements as
FCPs, as of June 1, 2020. This number does not include masters or
mates who could serve as pilot.
The affected population for this rule is 95 percent of that population, or
3,702 mariners (net affected population).
Fewer medical certificate applications will reduce the National Maritime
Center’s (NMC’s) workload and generate cost savings to the government and to mariners.
There could be unquantified benefits for some pilots due to a decrease
in the likelihood of a lapse in medical certification from less frequent
medical certificate application submissions. A lapse in medical certification can have significant costs for individual pilots and for employers, because pilots may not work under the authority of their credential without a valid medical certificate.
Industry cost savings: $20,908 annualized and $146,847 over a 10year period of analysis.
Government cost savings: $15,756 annualized and $110,664 over a
10-year period of analysis.
Total cost savings to industry and government: $36,664 annualized
and $257,511 over a 10-year period of analysis.
Affected Population ..................................................................................
Benefits .....................................................................................................
Cost savings (in $2020, 7% discount rate) * ............................................
* Totals may not sum due to rounding.
khammond on DSKJM1Z7X2PROD with RULES
Affected Population
The Merchant Mariner Licensing and
Documentation database (MMLD) is
used by the NMC to issue MMCs and
maintain records of U.S. merchant
mariners. Based on data obtained from
the MMLD, we determined that a total
of 3,897 mariners hold MMC
endorsements as FCPs. This rule will
not impact FCPs holding medical
certificates issued with waivers
requiring more frequent reporting of
medical examination results to the Coast
Guard. Based on data from the MMLD,
this group currently consists of 195
mariners, which is 5 percent of the total
affected population of 3,897 mariners.
We reduced the total population (3,897
mariners) by this number (195) to obtain
a net affected population of 3,702
mariners who will be impacted by this
rule.
Additionally, we determined that
there are 89,713 mariners who hold an
MMC endorsement as master or mate,
without holding an FCP endorsement,
who could serve as pilot. Because there
is no requirement to report when a
master or mate serves as pilot, we are
unable to determine how many masters
or mates are serving as pilot; therefore,
we limited the affected population in
this analysis to mariners holding FCP
endorsements and medical certificates
without time-limited medical waivers.
Table 2 presents this population.
TABLE 2—SUMMARY OF POPULATION BY ENDORSEMENT
Number of
mariners
Population
Total number of mariners holding an MMC endorsement as FCP and holding a medical certificate with or without time-limited
medical waivers (total potentially affected FCP population) ............................................................................................................
Those mariners holding an MMC endorsement as FCP and holding a medical certificate with time-limited medical waivers (unaffected FCP population due to waiver status resulting in no change in the period of validity of the medical certificate) ...............
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195
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66581
TABLE 2—SUMMARY OF POPULATION BY ENDORSEMENT—Continued
Number of
mariners
Population
Those mariners holding an MMC endorsement as FCP and holding a medical certificate without time-limited medical waivers
(affected FCP population due to change in the period of validity of the medical certificate) .........................................................
Costs and Cost Savings
This final rule reduces the frequency
of mariner medical certificate
applications to the Coast Guard,
resulting in a cost savings to both
mariners and the government. Industry
cost savings are the costs avoided by
reducing the frequency with which
FCPs and masters or mates serving as
pilot apply for a medical certificate.
Consequently, fewer applications will
reduce the NMC’s workload, generating
cost savings for the government. The
total 10-year discounted cost savings of
this rule will be $257,511, and the
annualized total cost savings will be
approximately $36,664, both discounted
at 7 percent. This includes the 10-year
industry and government savings of
$146,847 and $110,664 respectively,
discounted at 7 percent.
khammond on DSKJM1Z7X2PROD with RULES
Turnover Rate
We did not factor mariner turnover
into this analysis. ‘‘Mariner turnover’’
means the number or percentage of
mariners leaving employment within a
certain period of time, combined with
the number or percentage of mariners
obtaining employment within the same
period of time. There are two reasons for
not factoring in mariner turnover. First,
the MMC serves as a certificate of
mariner identity, service, and
qualification. In order to serve under the
authority of an endorsement on an
MMC, a mariner must be physically and
medically qualified for that
endorsement, as evidenced by holding a
valid medical certificate. Medical
certification is not an endorsement of
qualification on an MMC, but, instead,
is a separate document certifying
medical and physical fitness to serve in
the capacity of an endorsement listed on
the MMC.
The second reason mariner turnover
is not factored into this analysis is
because the FCP endorsement
represents a maritime qualification that
can lead to permanent employment with
a pilot association. This career path is
highly competitive, due to the rigorous,
time-consuming, and highly specialized
training required. As presented in table
3, data from the MMLD indicates that
the number of mariners holding an FCP
endorsement has declined at an annual
average rate of 0.48 percent in the last
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11 years. We did not include mariner
turnover because the Coast Guard
believes it will have a negligible effect
in assessing the costs or cost savings for
this regulatory analysis. We did not
receive any comments related to the
impact of mariner turnover in response
to the NPRM.
Industry Cost Savings
This final rule amends requirements
so that the results of the annual physical
examinations for pilots, and masters or
mates serving as pilot, on vessels of
1,600 GRT or more will be submitted to
the Coast Guard on form CG–719K every
5 years instead of every 2 years, unless
one of the four conditions noted
previously, and listed in § 11.709(b), is
applicable.1 Although mariners will still
be required to complete an annual
physical examination, the cost savings
to industry will include the time savings
of the affected population not having to
submit an application for a merchant
mariner medical certificate every 2
years, after the second year of the
implementation of this rule.
Mariners may submit medical
certificate applications either directly to
the NMC via email or to a Regional
Examination Center (REC) via email,
fax, or mail. Additionally, applications
may be submitted at a REC in person.
Cost savings to industry will include the
time saved by mariners by faxing,
emailing, mailing, or delivering inperson the form CG–719K to the Coast
Guard on a less frequent basis.
According to data obtained from the
MMLD, 95 percent of medical
certificates issued to FCPs, or 3,702
(0.95 × 3,897), are renewed every 2
years. The remaining 5 percent are
renewed annually, for those pilots with
time-limited certificates due to medical
waivers. Since the merchant mariner
medical certificate for FCPs and masters
or mates serving as pilot is only valid
for 2 years under current regulations,
half the total number of FCPs and
masters or mates serving as pilot are
currently applying for a new medical
certificate each year.
1 Pilots must still undergo annual physical
examinations. However, those pilots who are not
required to submit the results to the Coast Guard
during the 5 years will simply maintain personal
copies.
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3,702
Current data from the MMLD
indicates that 195 mariners from the
affected population will not benefit
directly under this rule. This is the
number of FCPs and masters or mates
serving as pilot who have been issued
medical certificates with a waiver,
which require more frequent reporting
of the results of their annual physical
examinations to the Coast Guard. These
mariners will still be required to submit
the form CG–719K to the Coast Guard
on an annual basis.
Growth Rate of Affected Population
We analyzed the number of endorsed
FCPs who will experience a reduction
in burden from only needing to submit
their medical certificate applications
once every 5 years, after the second year
of the implementation of this rule, as
opposed to once every 2 years under the
regulations that existed prior to this
final rule. We then analyzed the number
of endorsed FCPs to estimate a
population growth rate for mariners
with MMCs who will become newly
endorsed as FCPs. Using 11 years of
data from the MMLD, from 2010 to
2020,2 which is presented in table 3, we
found that the number of endorsed FCPs
is declining at an average rate of 0.48
percent per year. The highest number of
endorsed FCPs was observed in 2017,
while the lowest number of endorsed
FCPs was observed in 2020.
We used this estimated annual
average decline of 0.48 percent as a
constant when forecasting the endorsed
FCP population for the next 10 years.
This constant rate represents the average
decline experienced by FCPs throughout
a 10-year period of analysis. We applied
this 0.48 percent rate of decline to both
the affected population in former
regulations (the baseline) and the
affected population in this final rule to
determine the number of medical
certificate application submissions in a
given year. Table 3 presents the data
from the MMLD used to determine the
estimated annual rate of decline for the
endorsed FCP population where t
2 Data for each year are complete because the data
are captured and recorded each July.
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denotes the period of time, and t is
discrete and positive.
TABLE 3—SUMMARY OF ENDORSED FCPS
Endorsed
FCPs
(a)
Year
2010
2011
2012
2013
2014
2015
2016
2017
2018
2019
2020
Growth rate
(%)
(b)t = [(at—at-1) ÷ at-1] × 100
...............................................................................................................................................
...............................................................................................................................................
...............................................................................................................................................
...............................................................................................................................................
...............................................................................................................................................
...............................................................................................................................................
...............................................................................................................................................
...............................................................................................................................................
...............................................................................................................................................
...............................................................................................................................................
...............................................................................................................................................
4,259
4,292
4,262
4,237
4,200
4,171
4,219
4,297
4,263
4,217
4,055
..................................................
0.77
¥0.70
¥0.59
¥0.87
¥0.69
1.15
1.85
¥0.79
¥1.08
¥3.84
Avg. ................................................................................................................................................
Max. ...............................................................................................................................................
Min. ................................................................................................................................................
4,225
4,297
4,055
¥0.48
..................................................
..................................................
Baseline
Table 4 illustrates the following
discussion of our baseline analysis. In
order to calculate the cost savings of this
rule, and to determine our baseline
industry costs, we first estimated the
number of endorsed FCPs who will be
applying for a merchant mariner
medical certificate in any given year for
the next 10 years, excluding those with
medical waivers. To obtain this number,
we took the total number of endorsed
FCPs holding a medical certificate with
or without time-limited medical
waivers, 3,897, as shown in table 2. We
then subtracted the number of endorsed
FCPs who submit medical certificate
applications on an annual basis due to
time-limited restrictions, 195. We
obtained a population of 3,702 endorsed
FCPs who will submit their medical
certificate applications every 5 years
under the rule. We then divided this
number (3,702) by 2, which is the
application rate of FCPs who are
currently issued medical certificates (1
application every 2 years) to obtain an
annual estimate of 1,851 medical
certificates issued (3,702 ÷ 2). However,
the number of endorsed FCPs has
decreased over time, at an average
annual rate of 0.48 percent from 2011–
2020. We incorporated this average
annual rate of decline in order to obtain
the expected number of endorsed FCPs
in a 10-year period of analysis. Column
(d) in table 4, ‘‘Pre-NPRM Regulation
Medical Certificate Applications With
Decline,’’ captures the affected
population after applying the annual
average rate of decline in column (b)
and the application rate in column (c).
The equation for column (d) is
represented as (d) t = (c) t + ([1 + (b)]
t ) for all t. Table 4 presents the number
of medical certificate applications under
the baseline analysis.
TABLE 4—BASELINE ANALYSIS OF FCPS MARINER MEDICAL CERTIFICATE APPLICATIONS
Population
Growth
(%)
Pre NPRM regulation medical certificate applications
not incorporating growth
Pre-NPRM regulation medical certificate
applications with decline
(a)
(b)
(c) t = (a) ÷ 2
(d) t = (c) t × ( [1 + (b)] t )
for all t
1 ........................
2 ........................
3 ........................
4 ........................
5 ........................
6 ........................
7 ........................
8 ........................
9 ........................
10 ......................
3,702
...................................
...................................
...................................
...................................
...................................
...................................
...................................
...................................
...................................
¥0.48
...................................
...................................
...................................
...................................
...................................
...................................
...................................
...................................
...................................
1,851
1,851
1,851
1,851
1,851
1,851
1,851
1,851
1,851
1,851
1,842
1,833
1,825
1,816
1,807
1,799
1,790
1,781
1,773
1,764
Total ..........
...................................
...................................
18,511
18,030
Average .....
...................................
...................................
1,851
1,803
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Year
Revised Regulation
Table 5 illustrates the following
discussion of our methodology for
estimating the number of medical
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certificate applications for the affected
population under this rule. This is
similar to the previously discussed
‘‘Baseline’’ section. The population and
the estimated rate of decline are
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assumed to be identical under both the
baseline scenario and the final rule. The
difference in the methodology for the
final rule is reflected in the application
frequency for FCPs. We calculated this
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by taking the number of FCPs expected
to submit a medical certificate
application in a given year,
incorporating the rate of decline, and
assuming that each eligible remaining
FCP will only submit a medical
certificate application at intervals of 5
years, starting in year 1. Column (e)
reflects this periodicity; FCPs who
submit a medical certificate application
in year 1 will not have to submit a new
medical certificate application until
year 6. FCPs who submit their medical
certificate application in year 2 will not
have to submit their medical certificate
application until year 7. After
accounting for the yearly attrition
projected for this analysis, values for
column (e) will be equivalent to values
of column (d) t for t = 1,2,6,7, and 0 for
any other period. This periodicity holds
true for any given 10-year interval into
the future.
In contrast, column (f) reflects the
reduction in medical certificate
applications under this rule. For any
given period t, the reduction in medical
certificate applications is calculated as
the difference between FCPs who
otherwise submit a medical certificate
application every other year under the
regulations that existed prior to this
final rule, column (d), and the number
of FCPs who no longer have to submit
a medical certificate application during
years 3,4,5,8,9,10. Hence, column (f) t =
0 for t = 1,2,6,7, and column (f) t = (d)
66583
¥ (e) t for any other year. Finally,
column (g) reflects the number of FCPs
lost to the industry on a given year due
to the projected attrition.
t
Reduction in Merchant Mariner Medical
Certificate Applications From Baseline
to Final Rule
As reflected in sum of column (f) of
table 5, we project an aggregate
reduction in medical certificate
applications of 10,766 over a 10-year
period following the implementation of
this rule. Under this final rule, on
average, FCPs will not have to submit
1,794 medical certificate applications in
3 years out of a given 5-year period
horizon.
TABLE 5—RULE ANALYSIS OF FCPS MEDICAL CERTIFICATE APPLICATIONS
Year
1 .........................
2 .........................
3 .........................
4 .........................
5 .........................
6 .........................
7 .........................
8 .........................
9 .........................
10 .......................
Total ............
Average .......
Population
Growth
(%)
Prior regulation
medical certificate
applications
without growth
Prior rule medical
certificate
applications with
growth
Final rule regulation medical
certificate
applications with
growth
Difference in
medical certificate
applications
(a)
(b)
(c) t = (a) ÷ 2
(d) t = (c) t × ([1 +
(b)] t ) for all t
(e) t = (d) t for t =
1,2,6,7, and (e) t =
0 otherwise
(f) t = 0 for t =
1,2,6,7, otherwise
(f) t = (d) t ¥ (e) t
3,702
................
................
................
................
................
................
................
................
................
................
................
¥0.48
............
............
............
............
............
............
............
............
............
............
............
1,842
1,833
1,825
1,816
1,807
1,799
1,790
1,781
1,773
1,764
18,030
1,803
1,842
1,833
..............................
..............................
..............................
1,799
1,790
..............................
..............................
..............................
7,264
1,816
..............................
..............................
1,825
1,816
1,807
..............................
..............................
1,781
1,773
1,764
10,766
1,794
1,851
1,851
1,851
1,851
1,851
1,851
1,851
1,851
1,851
1,851
18,511
1,851
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Medical Certificate Applications
Submitted by Mail—Opportunity Cost
of Time
Table 6 illustrates the analysis of cost
savings to industry as discussed in the
following paragraphs. We first
determine the number of FCPs who will
submit a medical certificate application
via mail, previously estimated by the
NMC at 15 percent of the affected
population. The number of FCPs who
no longer have to submit a medical
application on a given year is reflected
on column (f) of table 5. Therefore,
column (a) of table 6 is the product of
reduced FCPs × 15%. We then estimate
the reduction in hours under the final
rule.
We calculate the reduction in time
burden in a given year from FCPs who
no longer have to submit a medical
certificate application. The reduction in
time burden is calculated as the product
of the average time per medical
certificate application submitted by mail
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for evaluation, and the number of FCPs
who no longer have to submit a medical
certificate application in a given year.
The current collection of information
approval for MMC application forms
estimates the total time required to fill
out and submit the medical certificate
application by mail to be 18 minutes.
Subject matter experts holding MMCs,
with experience submitting a medical
certificate application, estimate that, on
average, 13 minutes are required to fill
out the application and the remaining 5
minutes, or 0.083 hours (5 ÷ 60), are
required to mail the application.
Column (f) in table 6 is the product of
(a) and (b). In order to calculate the
government cost savings from time
saved by NMC employees having fewer
medical certificate applications to
evaluate, we use an estimated loaded
hourly wage rate of $94.03.3 We derive
3 A loaded hourly wage rate is what a company
pays per hour to employ a person, not the hourly
wage an employee receives. The loaded hourly
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Population change
on a given year
(g) t = d t ¥ d
t-1
..............................
¥9
¥9
¥9
¥9
¥9
¥9
¥9
¥9
¥8
¥78
¥9
the estimated wage by using the Office
of Personnel Management’s 2020 Salary
Table for the locality adjusted general
service (GS) pay scale for the
Washington, DC metropolitan area.
We estimate that the average hourly
wage rate for a GS–13 medical evaluator
at the NMC is $56.57.4 To account for
employee benefits, we use a load factor
of 1.66, which we calculate from the
Congressional Budget Office report,
‘‘Comparing the Compensation of
Federal and Private-Sector Employees,
2011 to 2015.’’ 5 We obtain this figure
(the loaded factor) by dividing the total
hourly compensation of a typical GS–13
wage rate includes the cost of non-wage benefits
(health insurance, vacation, etc.).
4 https://www.opm.gov/policy-data-oversight/payleave/salaries-wages/salary-tables/pdf/2020/DCB_
h.pdf.
5 https://www.cbo.gov/system/files/115thcongress-2017-2018/reports/52637-federal
privatepay.pdf.
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employee, $74.80,6 by the hourly wage
of a typical GS–13 employee, $45.00; 7
hence, $74.80 ÷ $45.00 = 1.66.8
Therefore, we estimate the loaded wage
rate of a typical GS–13 employee as the
product of the wage rate and the load
factor, or $56.57 × 1.66 = $94.03.
We recognize that many mariners
holding FCP endorsements are
compensated at higher wage rates than
what is published by the Bureau of
Labor Statistics (BLS); however, we
used the BLS Occupational Series due
to the lack of official records for FCP
wages and salaries.
In order to calculate the cost of time
saved by FCPs submitting fewer
applications under this rule, we use the
loaded hourly wage rate per FCP,
estimated at $64.90. We obtain an
estimated hourly wage rate for a mariner
of $43.14, using BLS’ Occupational
Series 53–5021, Captains, Mates, and
Pilots of Water Vessels (May 2020).9 To
determine the load factor per FCP, we
divide the BLS total compensation for
the transportation and material moving
series,10 $32.27, by the wages and
salaries for the same series, which is
$21.45. We estimate the load factor as
1.50, as $32.27 ÷ $21.45 = 1.50.
Therefore, we calculate the loaded
hourly wage rate by multiplying the
hourly wage rate by the loaded factor, or
$43.14 × 1.50 = $64.90.11
After determining the total reduction
in time for FCPs not submitting medical
certificates in a given year, we estimate
the aggregate cost of the time for all
FCPs to submit their medical certificates
applications to the Coast Guard by
multiplying the loaded hourly wage-rate
per each endorsed FCP, $64.90, by the
total annual reduction in time burden.
Therefore, the cost-time burden, column
(g) of table 6, is the product of column
(d) and column (f).
Submission Costs
Mariners may submit medical
certificate applications either directly to
the NMC or to a REC. Whether
submitting to the NMC or a REC,
applications can be submitted by email,
fax, or mail. An application may also be
submitted to a REC in person.
Using data from the NMC on the
submission of medical certificate
applications, we estimate that
approximately 39 percent of medical
certificate applications are submitted
directly to the NMC. Of these
applications, 89 percent are submitted
by email, 6 percent are submitted by fax,
and 5 percent are submitted by mail.
The remaining 61 percent of medical
certificate applications are submitted to
RECs, where 52 percent of the
applications are submitted by email, 1
percent are submitted by fax, 22 percent
are submitted by mail, and 25 percent
are submitted in person.12 Therefore, of
the total medical certificate applications
submitted to the Coast Guard (to both
the NMC and RECs), approximately 66
percent are submitted via email, 3
percent are submitted via fax, 15
percent are submitted via mail, and 15
percent are submitted in person.13
We estimate the expected cost of
mailing applications through the U.S.
Postal Service (USPS) in any given year
as the product of the total number of
medical certificate applications that will
be submitted under this rule, the 55cent cost of mailing an application to
the Coast Guard through the USPS using
a first-class letter postage stamp, and the
percentage of endorsed FCPs expected
to submit their medical certificate
applications through the mail,
approximately 15.4 percent. Thus,
column (h) of table 6 = (a) × (c). Finally,
the undiscounted industry cost savings,
column (i), is the sum of the cost-time
burden, column (g), and the USPS cost,
column (h).
TABLE 6—MEDICAL APPLICATIONS MAILING COSTS ESTIMATES OVER A 10-YEAR PERIOD OF ANALYSIS IN $2020 DOLLARS
USING 7- AND 3-PERCENT DISCOUNT RATES
Year
Mailed
submission
(a) t = reduced FCPs
× 15%
1
2
3
4
5
6
7
8
9
10
Avg. time
per form
submission
(hrs.)
(b)
0.083
Total
Average
Annualization
Cost per
letter
mailed
(1 oz.)
(c)
$0.55
FCP hourly
wage
(d)
Total apps
received
(%)
(e)
$64.90
15
Reduction
in time
burden
(hrs.)
(f) t = (a) t
× (b)
Cost-time
burden
(g) t = (d)
× (f) t
Mail costs
(USPS)
(h) t = (a) t
× (c)
Undiscounted
industry cost
savings
(i) t = (g) t +
(h) t
Discounted
7%
Discounted
3%
280
279
278
23
23
23
1,517
1,509
1,502
154
154
153
1,671
1,663
1,655
1,364
1,269
1,180
1,529
1,478
1,428
274
272
271
23
23
23
1,481
1,474
1,467
151
150
149
1,631
1,624
1,616
949
883
821
1,288
1,244
1,202
1,655
276
138
23
8,950
1,492
910
152
9,860
1,643
6,467
1,078
921
8,169
1,361
958
* Totals may not add due to rounding.
khammond on DSKJM1Z7X2PROD with RULES
Medical Certificates Applications
Submitted in Person—Opportunity Cost
of Time
Table 7 illustrates the analysis of cost
savings to industry, as discussed in the
following sections. We first determine
the number of FCPs who will submit a
medical certificate application in
6 Id, table 4. For this analysis we assumed a GS–
13 was a federal employee with a Master’s degree,
as specified in table 2 and table 4 of the report.
7 Id, table 2.
8 Totals may not add due to rounding.
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person, previously estimated by the
NMC at 15 percent of the affected
population. Therefore, column (a), the
expected number of medical certificate
applications submitted in person in a
given year = reduced FCPs × 15%. We
assume that each eligible FCP will
commute an average of 27.6 minutes in
each direction 14 to submit their medical
certificate application to a REC, for an
average total commuting time of 55.2
minutes, shown in column (c). We
assume that FCPs who have a longer
commute to the REC will submit the
applications by mail or email. We also
assume that FCPs will drive at an
9 https://www.bls.gov/oes/2020/may/
oes535021.htm (see Mean Hourly Wage value,
National estimates for this occupation box).
10 https://www.bls.gov/news.release/archives/
ecec_03192020.pdf, found in table 2.
11 Total may not add due to rounding.
12 Total may not add to 100 percent due to
rounding.
13 Total may not add to 100 percent due to
rounding.
14 https://www.census.gov/newsroom/pressreleases/2021/one-way-travel-time-to-workrises.html.
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Federal Register / Vol. 87, No. 213 / Friday, November 4, 2022 / Rules and Regulations
average speed of approximately 57 miles
per hour (MPH) based on calculations
from data in the Department of
Transportation’s National Traffic Speeds
Survey II, Overall Speed Estimates (in
MPH) by Road Class (Free-Flow) by
Year. That survey provided mean speed
figures for three road classes: limited
access (70.5 MPH), major arterial (53.28
MPH), and minor arterial (47.01 MPH).
We took the mean of those values to
obtain an average speed of 56.93 MPH
[(70.5 + 53.28 + 47.01) ÷ 3].15
Considering the estimated average
speed, we assume that 55.2 minutes of
commuting time will be traveled in
approximately 1 hour (55.2 minutes ÷
57 miles per hour ≈ 0.97 hrs.), reflected
in column (b).
In order to calculate the opportunity
cost of having to commute to submit a
medical certificate application to a REC
on a less frequent basis, we use the
General Services Administration’s
(GSA’s) ‘‘Privately Owned Vehicle
(POV) Mileage Reimbursement
Rates,’’ 16 which is used as a proxy for
the wear and tear incurred while
commuting to a REC. As of January
2021, the reimbursement rate is $0.56
per mile, column (d). We then estimate
the net reduction in time burden hours
in column (e).
The net reduction in time burden is
calculated as the product of the average
time it will take FCPs to commute to
and from a REC, column (b), and the
number of FCPs who no longer have to
submit a medical certificate on a given
year, column (a). Hence, column (e) =
(a) × (b). Next we estimate the net
reduction in distance (miles avoided) by
66585
FCPs who no longer have to drive to
submit a medical certificate application
in a given year. The net reduction in
distance (miles), column (f), is the
product of the average miles avoided by
FCPs who would otherwise commute to
and from a REC, column (c), and the
aggregate time of commuting avoided by
FCPs in hours. Finally, we estimate the
undiscounted cost savings of FCPs who
no longer have to submit a medical
certificate application in person,
column (g). This column is calculated as
the product of GSA’s reimbursement
rate, column (d), and the aggregate
distance (miles) avoided by FCPs on a
given year, column (e). Hence, column
(g) = (d) × (f).
TABLE 7—OPPORTUNITY COST OF COMMUTE AVOIDED IN TERMS OF TIME AND REIMBURSEMENT IMPACT
Year
1
2 ..................
3 ..................
4 ..................
5 ..................
6 ..................
7 ..................
8 ..................
9 ..................
10 ................
Total .....
Average
Annualization
In person
submission
(a) t = reduced
FCPs × 15%
........................
280
279
278
........................
........................
274
272
271
Total time
allotted for
driving to/
from USCG
facilities
(hrs.)
(b)
Average time
commuted per
FCP
(c)
Reimbursement
rate per mile
driven
(d)
Net reduction in
time burden
(hrs.)
(e) t = (a) t × (b)
Net reduction in
time (minutes)
(f) t = (c) × (e) t
Undiscounted
industry
cost savings
(g) t = (d) × (f) t
Discounted
7%
Discounted
3%
1.000
....................
55.2
........................
$0.56
............................
..........................
..........................
280.44
279.10
277.77
..........................
..........................
273.80
272.49
271.18
..........................
..........................
15,481
15,406
15,333
..........................
..........................
15,114
15,041
14,969
..........................
..........................
$8,669
8,628
8,586
..........................
..........................
8,464
8,423
8,383
..................
..................
$7,077
6,582
6,122
..................
..................
4,926
4,582
4,261
..................
$7,933
7,666
7,407
..................
..................
6,681
6,456
6,238
1,655
276
....................
....................
........................
........................
............................
............................
1,654.77
275.80
91,344
15,224
51,152
8,525
33,549
5,592
42,380
7,063
........................
....................
........................
............................
..........................
..........................
..........................
4,777
4,968
* Totals may not add due to rounding.
khammond on DSKJM1Z7X2PROD with RULES
Medical Certificate Applications
Submitted in Person—Opportunity Cost
of Time (Compensation)
Table 8 illustrates an analysis similar
to table 7, but in terms of the
compensation that FCPs will otherwise
forgo in order to commute to a REC to
submit a medical certificate application.
Based on data provided from each REC,
we determined that, considering
security protocols, a mariner requires an
average of 25 minutes to arrive at, enter,
and then exit a REC, column (c). It
requires, on average, an additional 5
minutes of wait time to be seen by the
15 Table 1. Overall Speed Estimates (in MPH) by
Road Class (Free-Flow) by Year, Fact Sheet,
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Jkt 259001
legal instruments examiner at the
customer service counter, column (d),
and an additional 1 minute for the
examiner to verify that the medical
certificate application is complete and
filled out properly, column (e). The time
burden for FCPs is no different than for
any other mariner.
To quantify the savings associated to
mariners not using a full hour of their
time to commute to a REC, column (b),
we use the FCP’s loaded hourly wage
rate, estimated at $64.90, column (f).
The undiscounted cost savings
associated to FCPs who no longer have
to commute to submit a medical
certificate application, column (g), is
calculated as the product of the number
of reduced FCPs, column (a), the
average commuting time to and from a
REC, column (b), the average time to it
takes an FCP to enter and exit a REC,
column (c), the average time to it takes
for an FCP to be seen by a legal
instruments examiner at the customer
service counter, column (d), and the
average time it takes for the examiner to
verify that the medical certificate
application is complete and filled out
properly, column (e). Hence, (g) t = (a)
t × [(b) + (c) + (d) + (e)] × (f).
Publication No. DOT HS 811 647, August 2012,
https://safety.fhwa.dot.gov/speedmgt/data_facts/.
16 https://www.gsa.gov/travel/plan-book/
transportation-airfare-pov-etc/privately-ownedvehicle-pov-mileage-reimbursement-rates.
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Federal Register / Vol. 87, No. 213 / Friday, November 4, 2022 / Rules and Regulations
TABLE 8—OPPORTUNITY COST OF COMMUTE AVOIDED IN TERMS OF HOURLY WAGE COMPENSATION
Year
In person
submission
(a) t =
reduced
FCPs × 15%
Avg.
commuting
time to/from
RECs (hrs.)
(b)
Avg. time to
enter and
exit RECs
(hrs.)
(c)
Avg. time
to be seen
by legal
instruments
examiner
(hrs.)
(d)
Avg. time
perform
submission
(hrs.)
(e)
FCP hourly
wage
(f)
Undiscounted
industry cost
savings
(g) t = (a)t ×
[(b) + (c) + (d)
+ (e)] × (f)
Discounted
7%
Discounted
3%
1 ........................................
2 ........................................
3 ........................................
4 ........................................
5 ........................................
6 ........................................
7 ........................................
8 ........................................
9 ........................................
10 ......................................
........................
........................
280
279
278
........................
........................
274
272
271
1.000
....................
....................
....................
....................
....................
....................
....................
....................
....................
0.417
....................
....................
....................
....................
....................
....................
....................
....................
....................
0.083
....................
....................
....................
....................
....................
....................
....................
....................
....................
0.017
....................
....................
....................
....................
....................
....................
....................
....................
....................
$64.90
....................
....................
....................
....................
....................
....................
....................
....................
....................
........................
........................
$27,605
27,473
27,341
........................
........................
26,951
26,822
26,693
....................
....................
$22,534
20,959
19,494
....................
....................
15,686
14,589
13,569
....................
....................
$25,263
24,409
23,585
....................
....................
21,275
20,557
19,862
Total ...........................
Average ......................
Annualization ..............
1,655
276
........................
....................
....................
....................
....................
....................
....................
....................
....................
....................
....................
....................
....................
....................
....................
....................
162,885
27,147
........................
106,831
17,805
$15,210
134,951
22,492
$15,820
* Totals may not add due to rounding.
Total Cost Savings to Industry
Using a 7-percent discount rate, we
estimate the annualized cost savings for
this rule at $20,908 and the 10-year total
at $146,847. We obtain this value by
adding the yearly cost savings
associated with the number of medical
certificate applications not submitted in
a given period, which is column (i) of
table 6, and the number of medical
certificate applications not delivered to
the Coast Guard in a given period,
which is the sum of column (g) of table
7 and column (g) of table 8. We present
these industry cost-savings amounts,
discounted at 7 percent and 3 percent,
in table 9.
TABLE 9—TOTAL INDUSTRY COST SAVINGS OVER A 10-YEAR PERIOD OF ANALYSIS IN $2020 DOLLARS USING 7- AND 3PERCENT DISCOUNT RATES
Year
Undiscounted mail
submission
(a) t
Undiscounted in
person submission
(b) t
Undiscounted
industry savings
(c) t
Discounted
7%
Discounted
3%
1 .............................................................
2 .............................................................
3 .............................................................
4 .............................................................
5 .............................................................
6 .............................................................
7 .............................................................
8 .............................................................
9 .............................................................
10 ...........................................................
..................................
..................................
$1,671
1,663
1,655
..................................
..................................
1,631
1,624
1,616
..................................
..................................
$36,274
36,100
35,928
..................................
..................................
35,414
35,245
35,076
..................................
..................................
$37,945
37,763
37,583
..................................
..................................
37,046
36,868
36,692
........................
........................
$30,975
28,810
26,796
........................
........................
21,561
20,054
18,652
........................
........................
$34,725
33,552
32,419
........................
........................
29,244
28,256
27,302
Total ................................................
Average ...........................................
Annualization ..................................
9,860
1,643
..................................
214,037
35,673
..................................
223,897
37,316
..................................
146,847
24,475
20,908
185,499
30,917
21,746
khammond on DSKJM1Z7X2PROD with RULES
* Totals may not add due to rounding.
Government Cost Savings
Table 10 illustrates the following
methodology to calculate the cost
savings to the government. We first
estimate the reduction in hours
associated with the reduction in
medical certificate application
submissions previously discussed as the
product of the reduction in medical
certificate applications and the
estimated time it will take a GS–13
employee at the NMC to process an
application for a medical certificate.
Using medical certificate application
information records obtained from NMC
medical evaluation staff, we estimate
that the time needed to evaluate a
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Jkt 259001
medical certificate application is
approximately 10 minutes, or 0.166
hours (10 ÷ 60 = 0.166 hours).
Using the loaded hourly wage rate of
$94.03 for a GS–13 employee, we
estimate that the government will save
$15.67 ($94.03 × 0.17 hour) on each
application it no longer has to evaluate.
The annual reduction in the number of
medical certificate applications for the
rule is the product of the number of
applications the government will no
longer have to review and the hours
saved by not having to review an
additional medical application.
Therefore, (d) = (a) × 0.166 hrs. On
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average, the government will save 299
hours annually under this final rule.
Next, we estimate the total
undiscounted government cost savings
in a given year. We calculated this by
multiplying the estimated loaded hourly
wage rate for a GS–13 employee, $94.03,
by the yearly reduction in hours. This
captures the difference in the medical
certificate applications under the former
regulations and the final rule. On
average, the government will save
$18,444 annually under this rule,
discounted at 7 percent, as presented in
table 10.
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Federal Register / Vol. 87, No. 213 / Friday, November 4, 2022 / Rules and Regulations
66587
TABLE 10—GOVERNMENT COST SAVINGS OVER A 10-YEAR PERIOD OF ANALYSIS IN $2020 DOLLARS USING 7- AND 3PERCENT DISCOUNT RATES
Year
Reduction
in medical
certificate
applications
(a) t
GS–13 wage
rate
(b)
Time per
evaluation
(hrs.)
(c)
Reduction
in time
burden (hrs.)
(d) t = (a) × (c)
1 ....................................................................
2 ....................................................................
3 ....................................................................
4 ....................................................................
5 ....................................................................
6 ....................................................................
7 ....................................................................
8 ....................................................................
9 ....................................................................
10 ..................................................................
........................
........................
1,825
1,816
1,807
........................
........................
1,781
1,773
1,764
$94.03
........................
........................
........................
........................
........................
........................
........................
........................
........................
0.17
........................
........................
........................
........................
........................
........................
........................
........................
........................
........................
........................
304.10
302.65
301.20
........................
........................
296.89
295.47
294.06
Total .......................................................
Average ..................................................
Annualization ..........................................
10,766
1,794
........................
........................
........................
........................
........................
........................
........................
........................
........................
........................
Undiscounted
government
cost savings
(e) t = (b) × (d)
Discounted
7%
Discounted
3%
........................
........................
$28,595
28,459
28,322
........................
........................
27,918
27,784
27,651
........................
........................
$23,342
21,711
20,193
........................
........................
16,248
15,113
14,056
........................
........................
$26,169
25,285
24,431
........................
........................
22,038
21,294
20,575
168,729
28,121
........................
110,664
18,444
15,756
139,792
23,299
16,388
t
* Totals may not add due to rounding.
Total Estimated Cost Savings of This
Rule Over a 10-Year Period of Analysis
Over a 10-year period of analysis, the
total estimated cost savings of this rule
to mariners and the government is
$257,511, discounted at 7 percent. The
annualized cost savings are $36,664,
also discounted at 7 percent. Table 11
presents the total cost savings of this
rule, which is the sum of the
undiscounted industry savings, column
(c) of table 9, and the undiscounted
government savings, which is column
(e) of table 10. Therefore, the
undiscounted total cost savings is the
sum of the undiscounted industry
savings and the undiscounted
government savings.
TABLE 11—TOTAL ESTIMATED COSTS SAVINGS OF RULE OVER A 10-YEAR PERIOD OF ANALYSIS IN $2020 USING 7PERCENT AND 3-PERCENT DISCOUNT RATES
Year
Undiscounted
industry cost
savings
(a) t
Undiscounted
government
cost
savings
(b) t
Undiscounted
total cost savings
(c) t = (a) t +
(b) t
Discounted
7%
Discounted
3%
1 ...........................................................................................
2 ...........................................................................................
3 ...........................................................................................
4 ...........................................................................................
5 ...........................................................................................
6 ...........................................................................................
7 ...........................................................................................
8 ...........................................................................................
9 ...........................................................................................
10 .........................................................................................
........................
........................
$37,945
37,763
37,583
........................
........................
37,046
36,868
36,692
........................
........................
$28,595
28,459
28,322
........................
........................
27,918
27,784
27,651
........................
........................
$66,541
66,222
65,905
........................
........................
64,963
64,652
64,343
........................
........................
$54,317
50,520
46,989
........................
........................
37,809
35,167
32,709
........................
........................
$60,894
58,837
56,850
........................
........................
51,283
49,551
47,877
Total ..............................................................................
Average .........................................................................
Annualization ................................................................
223,897
37,316
........................
168,729
28,121
........................
392,626
65,438
........................
257,511
42,918
36,664
325,292
54,215
38,134
* Totals may not add due to rounding.
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Benefits
The cost savings accounted for above,
including savings to mariners from less
frequent submissions of medical
certificate applications, are quantifiable
benefits from this rule. This rule will
reduce the NMC’s workload and
generate government cost savings.
Alternatives
When analyzing alternatives, we
considered two factors: the period of
validity of the medical certificate for
FCPs; and the requirement to submit
physical examination results to the
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Coast Guard. Prior to this final rule, the
period of validity of the medical
certificate was 2 years for FCPs, and the
submission of physical examination
results was correspondingly every other
year, unless the medical certificate
contained a waiver requiring more
frequent submission of the physical
examination results.
Alternative 1. The first alternative we
considered in this analysis was no
change, where FCPs would continue to
apply for their medical certificates every
other year. This alternative would also
continue to require FCPs to report their
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physical examination results every other
year, unless their medical certificate
contains a waiver requiring more
frequent submission. As shown in table
11, we estimate the opportunity cost of
maintaining a 2-year pilot medical
certificate validity period at $36,664,
annualized at 7 percent; or a total of
$257,511 over a 10-year period of
analysis, also discounted at 7 percent.
We rejected this alternative. Although
there would be no additional costs to
mariners or the government, there
would also be no cost savings, and this
alternative would not lead to an
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increase in safety in the maritime
industry.
Alternative 2. The second alternative
we considered was extending the
maximum period of validity of medical
certifications to 5 years without interim
self-reporting requirements, which
require mariners to submit the results of
their medical examination to the Coast
Guard if they no longer meet the
medical standards. FCPs would only
submit the results of the physical
examination every 5 years with a
medical certificate application, unless
their medical certificate contains a
waiver and requires more frequent
submission. We rejected this alternative.
The Coast Guard finds the potential for
increased risk from mariners with
underlying health issues operating as
FCPs, and not self-reporting medical or
health conditions that may impact their
piloting performance and maritime
safety, unacceptable. We made this
determination after considering the
unique physical and cognitive demands
placed on pilots in performing their
duties, and maritime casualties that
were directly related to a FCP’s physical
ability to perform their duties. We
considered casualties such as the 2003
Staten Island Ferry allision, which
resulted in more than $8 million in
damages and losses, and the 2007 Cosco
Busan incident, which resulted in more
than $70 million in environmental
damages and other losses. Both
casualties were directly attributed to the
pilot’s inability to properly manage the
vessel due to underlying medical
conditions that were not reported to the
Coast Guard within the 5-year medical
certificate validity period. The risk that
mariners can develop new medical
conditions within the 5-year medical
certificate validity period is mitigated
by the self-reporting requirements.
Taking into account these maritime
casualties, and the potential for
extraordinary damages to the public, the
environment, and the maritime
industry, the Coast Guard does not
deem any potential benefit derived from
excluding the interim self-reporting
requirement on behalf of FCPs to be
worth the risk involved.
Alternative 3. The third alternative we
considered was extending the maximum
period of validity of the medical
certificate to 5 years, and requiring FCPs
to submit the results of their annual
physical examinations to the Coast
Guard between medical certificate
applications if the mariner: (1) does not
meet the physical ability requirements;
(2) has a condition that does not meet
the medical, vision, or hearing
requirements; (3) is deemed ‘‘not
recommended’’ by a medical
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practitioner for a medical certificate; or
(4) is so requested by the Coast Guard.
With this third alternative, FCPs would
apply for the medical certificates every
5 years and would have to report the
results of their medical examination
between applications only if any of the
four conditions apply. This alternative
mitigates the potential for increased
safety risks identified under the second
alternative, resulting from having
mariners with underlying medical
issues operating as FCPs. The potential
for risk is increased when the Coast
Guard does not have the opportunity to
review the physical examinations of
mariners whose medical practitioners
have diagnosed them with medical
conditions that may impact their
piloting performance. Therefore, the
third alternative was chosen in this rule.
B. Small Entities
Under the Regulatory Flexibility Act,
5 U.S.C. 601–612, we have considered
whether this rule will have a significant
economic impact on a substantial
number of small entities. The term
‘‘small entities’’ comprises small
businesses, not-for-profit organizations
that are independently owned and
operated and are not dominant in their
fields, and governmental jurisdictions
with populations of less than 50,000.
This rule will reduce the burden on
industry by extending the maximum
period of validity of merchant mariner
medical certificates for FCPs and
masters and mates serving as pilot from
2 years to 5 years. Because the medical
certificate application is submitted by
the mariner and not an employer, the
affected mariners will receive the cost
savings from this rule. Hence, the
changes in this rule will affect
individuals, not businesses or other
small entities as defined by the Small
Business Administration in 13 CFR
121.201.
Therefore, the Coast Guard certifies
under 5 U.S.C. 605(b) that this rule will
not have a significant economic impact
on a substantial number of small
entities.
C. Assistance for Small Entities
Under section 213(a) of the Small
Business Regulatory Enforcement
Fairness Act of 1996, Public Law 104–
121, we offer to assist small entities in
understanding this rule so that they can
better evaluate its effects on them and
participate in the rulemaking. The Coast
Guard will not retaliate against small
entities that question or complain about
this rule or any policy or action of the
Coast Guard.
Small businesses may send comments
on the actions of Federal employees
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who enforce, or otherwise determine
compliance with, Federal regulations to
the Small Business and Agriculture
Regulatory Enforcement Ombudsman
and the Regional Small Business
Regulatory Fairness Boards. The
Ombudsman evaluates these actions
annually and rates each agency’s
responsiveness to small business. If you
wish to comment on actions by
employees of the Coast Guard, call
1–888–REG–FAIR (1–888–734–3247).
D. Collection of Information
This rule calls for a change to an
existing collection of information under
the Paperwork Reduction Act of 1995,
44 U.S.C. 3501 3520. As defined in 5
CFR 1320.3(c), ‘‘collection of
information’’ comprises reporting,
recordkeeping, monitoring, posting,
labeling, and other similar actions. The
title and description of the information
collection, a description of those who
must collect the information, and an
estimate of the total annual burden
follow. The estimate covers the time for
reviewing instructions, searching
existing sources of data, gathering and
maintaining the data needed, and
completing and reviewing the
collection.
The information collection associated
with this rule is the currently approved
collection, OMB Control No. 1625–0040,
Application for Merchant Mariner
Credentials and Medical Certificates,
which covers all information collected
for merchant mariner credentialing. The
revisions to 46 CFR 10.301 and 15.401
will extend the maximum validity
period of the mariner medical certificate
for FCPs and masters or mates serving
as pilot from 2 years to 5 years. The
change to the maximum validity period
of the medical certificate for pilots will
reduce the frequency and burden of
response estimates of the current
information collection request.
Title: Application for Merchant
Mariner Credentials and Medical
Certificates.
OMB Control Number: 1625–0040.
Summary of the Collection of
Information: The Coast Guard currently
collects information from merchant
mariners with their applications for
MMCs and merchant mariner medical
certificates. This collection includes the
following information requests:
signature of the applicant and
supplementary material required to
show that the mariner meets the
mandatory requirements for the
credential or medical certificate sought;
proof of the applicant passing all
applicable vision, hearing, medical, and
physical examinations; negative
chemical test for dangerous drugs;
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discharges or other documentary
evidence of sea service indicating the
name, tonnage, propulsion mode and
power of the vessels, dates of service,
capacity in which the applicant served,
and on what waters; and disclosure
documentation for narcotics, driving
while intoxicated or under the
influence, or other convictions.
Need for Information: Title 46 U.S.C.
Subtitle II, Part E, 46 CFR part 10
subpart B, the STCW Convention and
STCW Code, including the STCW final
rule (78 FR 77796), require MMC and
medical certificate applicants to apply
at one of the Coast Guard’s 17 RECs
located nationwide, or any other
location designated by the Coast Guard.
MMCs are established for individuals
who are required to hold a credential
under Subtitle II. The Coast Guard has
the responsibility of issuing MMCs and
medical certificates to applicants found
qualified as to age, character, and habits
of life, experience, professional
qualifications, and physical fitness. The
instruments contained within OMB
Control No. 1625–0040 serve as a means
for the applicant to apply for an MMC
and a medical certificate.
Proposed Use of Information: The
Coast Guard conducts this collection of
information solely for the purpose of
determining eligibility for the issuance
of an MMC or medical certificate, in
accordance with applicable statutes and
regulations. This evaluation is
performed on occasion, meaning as
submitted by the respondent when they
apply for an MMC or medical certificate.
In general, applicants for an MMC must
submit the ‘‘Application for Merchant
Mariner Credential,’’ form CG–719B,
every 5 years for renewal, or when
seeking a new endorsement or raise of
grade, and applicants for a medical
certificate must submit the form CG–
719K every 2 years or every 5 years,
depending upon the type of credential
endorsements held and the applicant’s
medical status. The Coast Guard
evaluates the collected information to
determine whether applicants are
qualified to serve under the authority of
the requested credential with respect to
their medical fitness, their professional
qualifications, and their safety and
suitability.
Description of the Respondents: All
applicants for an MMC, whether
original, renewal, duplicate, raise of
grade, or a new endorsement on a
previously issued MMC, are included in
this collection. Medical certificates are
issued with three expiration dates based
on the endorsement type. The effective
expiration date depends upon the
authority upon which the mariner is
currently sailing, which may be on a
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National MMC endorsement, an
international STCW endorsement, or a
pilot endorsement. This rule only
changes the maximum validity period of
the pilot endorsement merchant mariner
medical certificate from 2 years to 5
years, which applies only to FCPs and
masters or mates serving as pilot.
Number of Respondents: This rule
will reduce the annual number of
respondents by 7,324 over a 10-year
period of analysis. As a result, the total
annual respondents for this collection
will change from 18,316 to 10,992.
Frequency of Response: For FCP
endorsements, the annual average
reduction will be 1,794. The responses
are annual and will result in a reduction
in the number of medical certificate
submissions of the form CG–719K from
54,800 to 44,034 (54,800¥10,766 =
44,034).
Burden of Response: The total hourly
burden per response is estimated at 18
minutes, or 0.30 hours. This rule will
reduce the aggregate burden of hours
associated with the submission of the
medical certification applications by
extending the validity period from every
2 years to every 5 years. Therefore, the
total annual response time for
submitting a new medical certificate
will decrease by approximately 3,587
hours (138 hrs. via mail submissions +
1,654 hrs. in person submissions +
1,794 government hrs. review).
However, the hourly burden per
response will remain unchanged.
Estimate of Total Annual Burden: The
Coast Guard estimates that the total
annual burden with the change to the
medical certificate validity period for
FCPs will be 16,286 hours a year, which
is a 154-hour reduction in burden from
the current corresponding collection
total of 16,440 hours.
As required by 44 U.S.C. 3507(d), we
will submit a copy of this rule to OMB
for its review of the collection of
information. You are not required to
respond to a collection of information
unless it displays a currently valid OMB
control number.
E. Federalism
A rule has implications for federalism
under Executive Order 13132
(Federalism) if it has a substantial direct
effect on States, on the relationship
between the National Government and
the States, or on the distribution of
power and responsibilities among the
various levels of government. We have
analyzed this rule under Executive
Order 13132 and have determined that
it is consistent with the fundamental
federalism principles and preemption
requirements described in Executive
Order 13132. Our analysis follows.
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Fmt 4700
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66589
It is well settled that States may not
regulate in categories reserved for
regulation by the Coast Guard. It is also
well settled that all of the categories
covered in 46 U.S.C. 3306, 3703, 7101,
and 8101 (design, construction,
alteration, repair, maintenance,
operation, equipping, personnel
qualification, and manning of vessels),
as well as the reporting of casualties and
any other category in which Congress
intended the Coast Guard to be the sole
source of a vessel’s obligations, are
within the field foreclosed from
regulation by the States. See the
Supreme Court’s decision in United
States v. Locke and Intertanko v. Locke,
529 U.S. 89, 120 S.Ct. 1135 (2000)
(finding that the states are foreclosed
from regulating tanker vessels). See also
Ray v. Atlantic Richfield Co., 435 U.S.
151, 157 (1978) (state regulation is
preempted where ‘‘the scheme of federal
regulation may be so pervasive as to
make reasonable the inference that
Congress left no room for the States to
supplement it [or where] the Act of
Congress may touch a field in which the
federal interest is so dominant that the
federal system will be assumed to
preclude enforcement of state laws on
the same subject.’’ (Citations omitted).
Because this rule involves the
credentialing of mariners under 46
U.S.C. 7101, it relates to personnel
qualifications and, as a result, is
foreclosed from regulation by the States.
Therefore, because the States may not
regulate within these categories, this
rule is consistent with the fundamental
federalism principles and preemption
requirements described in Executive
Order 13132.
F. Unfunded Mandates
The Unfunded Mandates Reform Act
of 1995, 2 U.S.C. 1531–1538, requires
Federal agencies to assess the effects of
their discretionary regulatory actions. In
particular, the Act addresses actions
that may result in the expenditure by a
State, local, or tribal government, in the
aggregate, or by the private sector of
$100,000,000 (adjusted for inflation) or
more in any one year. Although this rule
will not result in such expenditure, we
do discuss the effects of this rule
elsewhere in this preamble.
G. Taking of Private Property
This rule will not cause a taking of
private property or otherwise have
taking implications under Executive
Order 12630 (Governmental Actions and
Interference with Constitutionally
Protected Property Rights).
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H. Civil Justice Reform
M. Environment
This rule meets applicable standards
in sections 3(a) and 3(b)(2) of Executive
Order 12988 (Civil Justice Reform) to
minimize litigation, eliminate
ambiguity, and reduce burden.
We have analyzed this rule under
Department of Homeland Security
Management Directive 023–01, Rev. 1,
associated implementing instructions,
and Environmental Planning
COMDTINST 5090.1 (series), which
guide the Coast Guard in complying
with the National Environmental Policy
Act of 1969 (42 U.S.C. 4321–4370f), and
have determined that this action is one
of a category of actions that do not
individually or cumulatively have a
significant effect on the human
environment. A Record of
Environmental Consideration
supporting this determination is
available in the docket. For instructions
on locating the docket, see the
ADDRESSES section of this preamble.
This rule is categorically excluded
under paragraphs L56 and L54 of
Appendix A, Table 1 of DHS Instruction
Manual 023–01–001–01, Rev 1.
Paragraph L56 pertains to regulations
concerning the training, qualifying,
licensing, and disciplining of maritime
personnel. Paragraph L54 pertains to
regulations which are editorial or
procedural. This rule involves
amending the maximum period of
validity of merchant mariner medical
certificates from 2 years to 5 years for
FCPs, and masters or mates serving as
pilot on vessels of 1,600 GRT or more.
Additionally, the rule includes an
extension of the annual physical
examination submission requirement
from every other year to every 5 years,
as long as circumstances do not require
more frequent submissions of annual
physical examination results to ensure
maritime and public safety.
I. Protection of Children
We have analyzed this rule under
Executive Order 13045 (Protection of
Children from Environmental Health
Risks and Safety Risks). This rule is not
an economically significant rule and
will not create an environmental risk to
health or risk to safety that might
disproportionately affect children.
J. Indian Tribal Governments
This rule does not have tribal
implications under Executive Order
13175 (Consultation and Coordination
with Indian Tribal Governments),
because it will not have a substantial
direct effect on one or more Indian
tribes, on the relationship between the
Federal Government and Indian tribes,
or on the distribution of power and
responsibilities between the Federal
Government and Indian tribes.
K. Energy Effects
We have analyzed this rule under
Executive Order 13211 (Actions
Concerning Regulations That
Significantly Affect Energy Supply,
Distribution, or Use). We have
determined that it is not a ‘‘significant
energy action’’ under that order because
it is not a ‘‘significant regulatory action’’
under Executive Order 12866 and is not
likely to have a significant adverse effect
on the supply, distribution, or use of
energy.
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L. Technical Standards
46 CFR Part 10
The National Technology Transfer
and Advancement Act, codified as a
note to 15 U.S.C. 272, directs agencies
to use voluntary consensus standards in
their regulatory activities unless the
agency provides Congress, through
OMB, with an explanation of why using
these standards would be inconsistent
with applicable law or otherwise
impractical. Voluntary consensus
standards are technical standards (e.g.,
specifications of materials, performance,
design, or operation; test methods;
sampling procedures; and related
management systems practices) that are
developed or adopted by voluntary
consensus standards bodies.
This rule does not use technical
standards. Therefore, we did not
consider the use of voluntary consensus
standards.
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List of Subjects
Jkt 259001
Penalties, Personally identifiable
information, Reporting and
recordkeeping requirements, Seamen.
46 CFR Part 11
Penalties, Reporting and
recordkeeping requirements, Schools,
Seamen.
46 CFR Part 15
Reporting and recordkeeping
requirements, Seamen, Vessels.
For the reasons discussed in the
preamble, the Coast Guard amends 46
CFR parts 10, 11, and 15 as follows:
PART 10—MERCHANT MARINER
CREDENTIAL
1. The authority citation for part 10 is
revised to read as follows:
■
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Fmt 4700
Sfmt 4700
Authority: 14 U.S.C. 503; 31 U.S.C. 9701;
46 U.S.C. 2101, 2103, 2110; 46 U.S.C. chapter
71; 46 U.S.C. chapter 73; 46 U.S.C. chapter
75; 46 U.S.C. 2104; 46 U.S.C. 7701, 8903,
8904, and 70105; E.O. 10173; DHS Delegation
No. 00170.1, Revision No. 01.2.
§ 10.301
[Amended]
2. Amend § 10.301 by:
a. Removing paragraph (b)(2) and
redesignating paragraph (b)(3) as (b)(2);
■ b. Redesignating paragraph (c) as
paragraph (d);
■ c. Redesignating paragraph (b)(4) as
paragraph (c).
■
■
PART 11—REQUIREMENTS FOR
OFFICER ENDORSEMENTS
3. The authority citation for part 11 is
revised to read as follows:
■
Authority: 14 U.S.C. 503; 31 U.S.C. 9701;
46 U.S.C. 2101, 2103, and 2110; 46 U.S.C.
chapter 71; 46 U.S.C. 7502, 7505, 7701, 8906,
and 70105; E.O. 10173; DHS Delegation No.
00170.1, Revision No. 01.2. Section 11.107 is
also issued under the authority of 44 U.S.C.
3507.
4. Amend § 11.709 by:
a. Revising paragraph (b);
b. Removing paragraph (c);
c. Redesignating paragraph (d) as
paragraph (c); and
■ d. Adding a new paragraph (d).
The revisions and additions read as
follows:
■
■
■
■
§ 11.709 Annual physical examination
requirements.
*
*
*
*
*
(b) Every person holding an MMC
endorsement as first-class pilot, or a
master or mate serving as a pilot under
§ 15.812 of this subchapter, must have a
thorough physical examination each
year. This annual physical examination
must be completed by the first day of
the month following the anniversary of
the individual’s most recently
completed Coast Guard-required
physical examination. Each annual
physical examination must meet the
requirements specified in 46 CFR, part
10, subpart C, and be recorded on the
form CG–719K.
(1) Every five years, in accordance
with the medical certificate
requirements in §§ 10.301(b), 10.302(a),
and 10.304(d) of this chapter, the results
of the most recent physical examination
must be submitted to the Coast Guard.
(2) The results of the physical
examination must also be submitted to
the Coast Guard no later than 30
calendar days after completion of the
physical examination in any of the
following circumstances:
(i) The examining medical
practitioner documents that the
individual does not meet the physical
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ability requirements as set forth in
§ 10.304(c) of this subchapter;
(ii) The examining medical
practitioner documents that the
individual has a condition that does not
meet the general medical exam
requirements described in § 10.304(a),
the vision requirements described in
§ 10.305, or the hearing requirements
described in § 10.306 of this subchapter;
(iii) The examining medical
practitioner documents on a CG–719K
that the individual is not recommended
for a medical certificate or needs further
review by the Coast Guard as set forth
in § 10.301(a) of this subchapter; or
(iv) If the Coast Guard requests the
results of an examination, they must be
submitted no later than 30 calendar
days after the date of the request.
*
*
*
*
*
(d) A master or mate may not serve as
a pilot on a vessel 1,600 GRT or more
under § 15.812 of this subchapter if the
person does not meet the physical
examination requirements provided in
paragraph (b) of this section.
PART 15—MANNING REQUIREMENTS
5. The authority citation for part 15 is
revised to read as follows:
■
Authority: 46 U.S.C. 2101, 2103, 3306,
3703, 8101, 8102, 8103, 8104, 8105, 8301,
8304, 8502, 8503, 8701, 8702, 8901, 8902,
8903, 8904, 8905(b), 8906 and 9102; and DHS
Delegation No. 00170.1, Revision No. 01.2.
§ 15.401
[Amended]
6. Amend § 15.401 by:
■ a. In paragraph (a), remove in the first
sentence the words, ‘‘license, certificate
of registry, Merchant Mariner’s
Document (MMD),’’ and remove from
the second sentence the words, ‘‘license,
certificate of registry, MMD, or’’;
■ b. In paragraph (c)(1), remove the
words, ‘‘After January 1, 2017, two’’ and
add, in its place the word, ‘‘Two’’;
■ c. Remove paragraph (c)(2) and
redesignate paragraph (c)(3) as
paragraph (c)(2); and
■ d. In paragraphs (d) and (e), remove
wherever they appear the words, ‘‘MMD
or’’.
7. In § 15.812, amend Table 1 to
§ 15.812(e)(1), by revising the second
row to read as follows:
■
■
§ 15.812
*
*
Pilots.
*
*
*
TABLE 1 TO § 15.812(e)(1)—QUICK REFERENCE TABLE FOR FEDERAL PILOTAGE REQUIREMENTS FOR U.S.-INSPECTED,
SELF-PROPELLED VESSELS, NOT SAILING ON REGISTER
*
*
Inspected self-propelled vessels not more than
1,600 GRT, authorized by their COI to proceed beyond the Boundary Line, or operating on the Great Lakes.
*
*
Designated areas of pilotage waters (routes
for which First-Class Pilot’s licenses or MMC
officer endorsements are issued)
Non-designated areas of pilotage waters (between the 3-mile line and the start of traditional pilotage routes)
*
*
*
First-Class Pilot, or Master or Mate may serve
as pilot if he or she—
1. Is at least 21 years old;
2. Maintains current knowledge of the waters
to be navigated; and1
3. Has four roundtrips over the route.2
*
*
Master or Mate may serve as pilot if he or
she—
1. Is at least 21 years old; and
2. Maintains current knowledge of the waters
to be navigated.1
*
*
*
*
*
1 One
2 If
*
roundtrip within the past 60 months.
the route is to be traversed during darkness, one of the four roundtrips must be made during darkness.
*
*
*
*
We, the U.S. Fish and
Wildlife Service (Service), are
reclassifying the palo de rosa
(Ottoschulzia rhodoxylon) from
endangered to threatened under the
Endangered Species Act of 1973, as
amended (Act). This action is based on
our evaluation of the best available
scientific and commercial information,
which indicates that the species’ status
has improved such that it is not
currently in danger of extinction
throughout all or a significant portion of
its range, but it is still likely to become
so in the foreseeable future. We are also
finalizing a rule under section 4(d) of
the Act that provides for the
conservation of the palo de rosa.
SUMMARY:
Dated: October 21, 2022.
W.R. Arguin,
Rear Admiral, U.S. Coast Guard, Assistant
Commandant for Prevention Policy.
[FR Doc. 2022–23339 Filed 11–3–22; 8:45 am]
BILLING CODE 9110–04–P
DEPARTMENT OF THE INTERIOR
Fish and Wildlife Service
50 CFR Part 17
[Docket No. FWS–R4–ES–2020–0059;
FF09E22000 FXES1113090FEDR 223]
khammond on DSKJM1Z7X2PROD with RULES
RIN 1018–BE56
Endangered and Threatened Wildlife
and Plants; Reclassification of Palo de
Rosa From Endangered to Threatened
With a Section 4(d) Rule
Fish and Wildlife Service,
Interior.
ACTION: Final rule.
AGENCY:
VerDate Sep<11>2014
17:31 Nov 03, 2022
Jkt 259001
DATES:
This rule is effective December 7,
2022.
This final rule, supporting
documents we used in preparing this
rule, and public comments we received
are available on the internet at https://
www.regulations.gov under Docket No.
FWS–R4–ES–2020–0059.
ADDRESSES:
PO 00000
Frm 00057
Fmt 4700
Sfmt 4700
FOR FURTHER INFORMATION CONTACT:
Edwin Mun˜iz, Field Supervisor, U.S.
Fish and Wildlife Service, Caribbean
Ecological Services Field Office, P.O.
Box 491, Boquero´n, PR 00622;
telephone (787) 851–7297. Individuals
in the United States who are deaf,
deafblind, hard of hearing, or have a
speech disability may dial 711 (TTY,
TDD, or TeleBraille) to access
telecommunications relay services.
Individuals outside the United States
should use the relay services offered
within their country to make
international calls to the point-ofcontact in the United States.
SUPPLEMENTARY INFORMATION:
Executive Summary
Why we need to publish a rule. Under
the Act, a species warrants
reclassification from endangered to
threatened if it no longer meets the
definition of an endangered species (in
danger of extinction throughout all or a
significant portion of its range). The
palo de rosa was listed as endangered
E:\FR\FM\04NOR1.SGM
04NOR1
]]>Agencies
[Federal Register Volume 87, Number 213 (Friday, November 4, 2022)]
[Rules and Regulations]
[Pages 66575-66591]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-23339]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF HOMELAND SECURITY
Coast Guard
46 CFR Parts 10, 11, and 15
[Docket No. USCG-2020-0069]
RIN 1625-AC63
Pilots' Medical Certificate Validity Period
AGENCY: Coast Guard, DHS.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Coast Guard is issuing this final rule to extend the
maximum validity period of merchant mariner medical certificates issued
to first-class pilots, and masters or mates serving as pilot, from 2
years to 5 years. We are issuing this rule in response to federal
advisory committee recommendations and a petition for rulemaking. This
rule will reduce the frequency of medical certificate application
submissions to the Coast Guard. The rule maintains the requirement for
pilots to complete annual physicals and provides the Coast Guard
opportunity to review the medical examinations of pilots who may become
medically unqualified between medical certificate applications;
therefore, the rule does not compromise safety.
DATES: This final rule is effective February 1, 2023.
ADDRESSES: To view documents mentioned in this preamble as being
available in the docket, go to https://www.regulations.gov, type USCG-
2020-0069 in the search box and click ``Search.'' Next, in the Document
Type column, select ``Supporting & Related Material.''
FOR FURTHER INFORMATION CONTACT: For information about this document
call or email Eric Malzkuhn, U.S. Coast Guard Office of Merchant
Mariner Credentialing; telephone 202-372-1425, email
[email protected].
SUPPLEMENTARY INFORMATION:
Table of Contents for Preamble
I. Abbreviations
II. Purpose, Basis, and Regulatory History
III. Background
IV. Discussion of Comments and Changes From Proposed Rule
V. Discussion of the Rule
A. 46 CFR 10.301: Pilot Medical Certificate Period of Validity
B. 46 CFR 11.709: Annual Physical Examination Requirements for
Pilots of Vessels of 1,600 GRT or More
C. 46 CFR 15.401: Employment and Service Restrictions Within the
Pilot Credential
D. 46 CFR 15.812, Table 1 to Sec. 15.812(e)(1): Masters or
Mates Serving as Pilot on Vessels of 1,600 GRT or More
VI. Regulatory Analyses
A. Regulatory Planning and Review
B. Small Entities
C. Assistance for Small Entities
D. Collection of Information
E. Federalism
F. Unfunded Mandates
G. Taking of Private Property
H. Civil Justice Reform
I. Protection of Children
J. Indian Tribal Governments
K. Energy Effects
L. Technical Standards
M. Environment
I. Abbreviations
BLS Bureau of Labor Statistics
CFR Code of Federal Regulations
DHS Department of Homeland Security
FCP First-class pilot
FR Federal Register
GRT Gross registered tons
GS General service
GSA General Services Administration
MMC Merchant Mariner Credential
MMLD Merchant Mariner Licensing and Documentation database
MMD Merchant Mariner's Document
MPH Miles per hour
NMC National Maritime Center
NPRM Notice of proposed rulemaking
OMB Office of Management and Budget
REC Regional Examination Center
Sec. Section
STCW Code Standards of Training, Certification, and Watchkeeping for
Seafarers, 1978, as amended
STCW Convention International Convention on Standards of Training,
Certification and Watchkeeping for Seafarers
STCW final rule ``Implementation of the Amendments to the
International Convention on Standards of Training, Certification and
Watchkeeping for Seafarers, 1978, and Changes to National
Endorsements'' final rule
U.S.C. United States Code
USPS U.S. Postal Service
II. Purpose, Basis, and Regulatory History
The purpose of this rule is to extend the maximum validity period
of merchant mariner medical certificates issued to first-class pilots
(FCPs), and masters or mates serving as pilot, from 2 years to 5 years,
which will reduce the frequency that they must submit a medical
certificate application to the Coast Guard. Reducing the frequency of
medical certificate applications will reduce the administrative burden
on the mariner submitting the application and on the Coast Guard when
processing the application and issuing the medical certificate. First-
class pilots, and masters and mates serving as pilot on vessels of
1,600 gross registered tons or more, will be required to submit the
results of their annual physical examinations to the Coast Guard
between medical certificate applications if the mariner (1) does not
meet the physical ability requirements; (2) has a condition that does
not meet the medical, vision, or hearing requirements; (3) is deemed
``not recommended'' by a medical practitioner for a medical
certificate; or (4) if the results are requested by the Coast Guard. We
are delaying the
[[Page 66576]]
effective date of this final rule several months after publication in
the Federal Register because the Coast Guard needs additional time to
fully implement the necessary changes to the Merchant Mariner Licensing
and Documentation database used by the National Maritime Center to
issue Merchant Mariner Credentials and maintain records of U.S.
merchant mariners.
The legal basis of this rule is Title 46 of the United States Code
(U.S.C.), Section 7101(c), which authorizes the Coast Guard to issue
licenses to pilots who are found qualified as to physical fitness and
other qualifications in Section 7101(c). Title 46 U.S.C. Section
7101(e)(2) further specifies that an individual may only be issued a
license as pilot if they are found to be of sound health and have no
physical limitations that would hinder or prevent them in the
performance of a pilot's duties. Section 7101(e)(3) also requires each
pilot serving on vessels 1,600 gross registered tons (GRT) or greater
to have a thorough physical examination each year while holding the
license. The Secretary of the Department of Homeland Security (DHS) has
delegated these statutory authorities to the Coast Guard through DHS
Delegation No. 00170.1(92)(e), Revision No. 01.2, which generally
authorizes the Coast Guard to determine and establish the experience
and professional qualifications required for the issuance of
credentials. Additionally, 14 U.S.C. 102(3) grants the Coast Guard
broad authority to issue and enforce regulations for the promotion of
safety of life and property on waters subject to the jurisdiction of
the United States.
On August 27, 2021, the Coast Guard published a notice of proposed
rulemaking (NPRM) titled ``Pilots' Medical Certificate Validity
Period'' (volume 86 of the Federal Register (FR) at page 48090),
requesting comments on extending the pilot medical certificate validity
period to 5 years and adding specific reporting requirements for the
interim years. The Coast Guard received six comment submissions to the
docket. A detailed description of the background and discussion of the
proposed changes can be found in that NPRM.
III. Background
The Coast Guard issues Merchant Mariner Credentials (MMCs) and
medical certificates to qualified mariners who meet the requirements in
Title 46 of the Code of Federal Regulations (CFR), subchapter B, parts
10 through 13. The requirements for medical certification are described
in 46 CFR part 10, subpart C. According to Sec. 10.301, a medical
certificate will be issued for various periods of time based upon the
endorsements the mariner holds. Under this final rule, the maximum
validity period of the medical certificate for mariners serving as an
FCP, or masters or mates serving as pilot under 46 CFR 15.812, for
which the maximum validity period of the medical certificate had been 2
years, will now have a maximum validity period of 5 years. The validity
period of the medical certificate will remain 5 years for mariners
serving on national MMC endorsements, and will remain 2 years for
mariners engaged on vessels to which the International Convention on
Standards of Training, Certification and Watchkeeping for Seafarers
(STCW Convention) applies. Mariners may not be employed in a position
requiring an MMC unless they hold a valid medical certificate, as
described in Sec. 15.401(c).
In accordance with Sec. 11.709, FCPs, and masters or mates serving
as pilot on vessels of 1,600 GRT or more, are required to have an
annual physical examination that meets the medical and physical
requirements described in part 10 subpart C. This annual physical
examination requirement for pilots serving on vessels of 1,600 GRT or
more has been in place since the enactment of the Port and Tanker
Safety Act of 1978 (Pub. L. 95-474) and is codified in 46 U.S.C.
7101(e)(3). This annual physical examination is a statutory requirement
and will still be required after this rulemaking.
In July 2017, the Coast Guard tasked the Merchant Marine Personnel
Advisory Committee, the Merchant Mariner Medical Advisory Committee,
and the Great Lakes Pilotage Advisory Committee with identifying
regulations, guidance, or information collections that that were
outdated, ineffective, or exceeded benefits and imposed administrative
burdens or costs on the maritime industry (see 82 FR 32511, 82 FR
32513, and 82 FR 34909).
The advisory committees concluded that the 2-year maximum validity
period of the medical certificate for FCPs poses a burden on mariners
and suggested the Coast Guard extend the period of validity to 5 years.
Additionally, in July 2018, the Coast Guard received a petition for
rulemaking from the American Pilots Association requesting that we
change the maximum period of validity of the medical certificate from 2
years to 5 years for FCPs and masters or mates serving as pilot. You
can view the American Pilots' Association's petition for rulemaking and
our response by searching the docket number ``USCG-2018-0709'' on
https://www.regulations.gov.
IV. Discussion of Comments and Changes From Proposed Rule
In response to the August 27, 2021 NPRM (86 FR 48090), the Coast
Guard received six comment submissions to the docket. Three comments
expressed support for the proposed rule, two comments disagreed with
the proposed rule, and the final comment neither expressed support nor
disagreement with the proposed rule. We summarize the comments below.
In situations where multiple commenters raised similar issues, we
attempt to provide one response.
At the end of this section, we also discuss three clarifying
changes to the regulatory text from what was proposed in the NPRM.
A comment from a towing company supported the Coast Guard's
proposed rule, stating that it would consolidate all phases of the
process to renew an MMC and make the process, as a whole, less
burdensome. The commenter also expressed belief that the overall risk
of a marine incident occurring on navigable waters due to a pilot's or
master's medical condition to be relatively low.
A comment from the American Pilots Association supported the
changes in the proposed rule, including the reporting requirements. The
American Pilots Association concurred with our statement in the NPRM
that this change would not compromise or decrease navigational safety.
The American Pilots Association asserted that these changes would
actually increase safety because of the new requirement that pilots
must submit the results of their annual physical examination to the
Coast Guard for review if the medical practitioner determines that they
no longer meet the medical and physical standards of 46 CFR, part 10,
subpart C.
Another comment simply stated that they agreed with the NPRM.
Two comments from mariners disagreed with the proposed rule. Both
raised concerns that the proposed rule would decrease safety because
pilots would receive less medical scrutiny at a time when aging pilots
are more likely to develop physical ailments and limitations. One of
these comments suggested that the proposed rule would mean that the
Coast Guard would have less opportunity to remove an endorsement or
review further medical proof of ability to act in the capacity of
shipboard pilot. This same comment also pointed out that the actual
physical examination is only a few hours long and should be considered
part of the requirements of the job. The other comment disagreeing with
the NPRM
[[Page 66577]]
suggested that it would be better to require a stress test from a
board-certified cardiologist for those mariners seeking to hold a first
class pilot endorsement.
The Coast Guard disagrees that the rule would decrease safety and
that we should add a stress test for FCPs. We expect the final rule
will not decrease safety because it maintains the current medical and
physical requirements for FCPs and for masters and mates serving as
pilot. Specifically, the final rule maintains the provisions of 46 CFR
11.709 requiring an annual physical examination for FCPs and those
serving as pilot. Each annual physical examination must meet the
requirements of 46 CFR part 10 subpart C by ensuring that the mariner
has no conditions that pose a significant risk of sudden incapacitation
or debilitating complication, and by documenting any condition
requiring medication that impairs cognitive ability, judgment, or
reaction time. The examination must also document the individual's
ability to meet the physical ability requirements of 46 CFR 10.304(c),
the vision requirements of 46 CFR 10.305, and the hearing requirements
of 46 CFR 10.306. Therefore, this final rule will continue to provide
an opportunity to identify individuals who no longer meet the medical
standards of 46 CFR part 10 subpart C.
The Coast Guard also expects the final rule to maintain the same
level of safety on navigable waters because the rule will require FCPs
and those serving as pilot to submit the results of their annual
physical examinations to the Coast Guard no later than 30 calendar days
after completion of the physical examination if the mariner does not
meet the physical ability requirements or the medical, vision, or
hearing requirements; if the mariner is deemed ``not recommended'' by a
medical practitioner for a medical certificate; or within 30 days upon
request by the Coast Guard. If the results of an examination are
requested by the Coast Guard, the mariner must submit the results no
later than 30 days after the date of the request. This will allow the
Coast Guard the opportunity to review the examination to determine
whether the individual is physically and medically fit to pilot a
vessel.
Furthermore, the Coast Guard expects the final rule to maintain the
same level of safety on navigable waters because it retains the
provisions of revised 46 CFR 11.709(c), which declares, in part, that
an individual's FCP endorsement becomes invalid if the person does not
meet the physical examination and reporting requirements in this
section. Individuals may not operate under the authority of an invalid
endorsement, and those who do may be subject to enforcement action, up
to and including suspension and revocation under Sec. 10.235.
Additionally, the revised provision in Sec. 11.709(d) states that
masters and mates may not serve as pilot on vessels 1600 GRT or more if
they do not comply with the physical examination and reporting
requirements.
Lastly, Coast Guard expects that the final rule will maintain the
same level of safety on navigable waters because it does not extend the
medical certificate validity period for individuals who have medical
conditions that warrant time-limited medical certificates; nor does it
remove reporting requirements for individuals with medical waivers.
With regard to the comment that all FCPs should be required to
undergo stress testing by a cardiologist, changing the components of
the physical examination requirements for FCPs and masters and mates is
outside the scope of this rulemaking. It is important to note that the
Coast Guard did not propose any changes to the components of the
physical examination requirements for FCPs and masters and mates. The
Coast Guard believes that the current physical examination requirements
are sufficient for pilots at this time and would not propose changes to
the physical examination requirements without information to support
such a proposal. No changes to the physical examination requirements
would be made without first issuing a proposed rulemaking and following
notice-and-comment procedures.
The sixth comment submission we received was from an instructor who
stated that their students reviewed the NPRM while studying regulatory
policy and took a vote, with the majority supporting the proposed
changes.
There are three clarifying changes to the regulatory text of this
final rule from the NPRM.
The first change is separating the two general physical examination
reporting requirements that, in the NPRM, were combined in Sec.
11.709(b). In the final rule, we are placing the 5-year physical exam
submission requirement into new paragraph (b)(1), and the four
supplemental reporting requirements into paragraph (b)(2). The four
reporting requirements, for when the mariner does not meet the medical
requirements or when requested by the Coast Guard, will be in (b)(2)(i)
through (b)(2)(iv). Separating the reporting requirements into
subparagraphs will make it clearer to the reader that there are
multiple reporting requirements.
The second clarifying edit is in Sec. 11.709(b)(2)(iii), regarding
when the examining medical practitioner documents that the individual
is not recommended for a medical certificate or needs further review by
the Coast Guard. This edit clarifies that the recommendation should be
recorded on form CG-719K, the ``Application for Medical Certificate.''
The third clarifying change is in Sec. 11.709(b)(2)(iv). This edit
clarifies that the physical examination results must be submitted to
the Coast Guard no later than 30 days from the date of the request, and
not within 30 days of completion of the physical examination, as stated
in the proposed rule. Because submission within 30 days of completion
of the physical examination would not have been applicable in all cases
where the Coast Guard requests the results, we clarified that the
mariner must submit the results of an examination no later than 30 days
after the request.
A detailed description of the regulatory changes implemented by
this final rule follows.
V. Discussion of the Rule
This rule increases the 2-year maximum period of validity of the
medical certificate for FCPs and masters or mates serving as pilot to a
5-year maximum period of validity. FCPs and masters or mates serving as
pilot will be required to submit the results of a physical examination,
recorded on form CG-719K, the ``Application for Medical Certificate,''
every 5 years to the Coast Guard. The following provides a section-by-
section discussion of the changes.
A. 46 CFR 10.301: Pilot Medical Certificate Period of Validity
The Coast Guard is amending 46 CFR 10.301, which contains the
general requirements for meeting the medical and physical standards for
the issuance of medical certificates to mariners. We are extending the
2-year maximum period of validity of the medical certificate for FCPs,
and those serving as pilot, by deleting Sec. 10.301(b)(2), which
contains the 2-year maximum provision. This section will state that
pilots will be issued a medical certificate with a maximum validity
period of 5 years.
The standard maximum periods of validity for medical certificates
in Sec. 10.301(b)(1) for all persons employed or engaged onboard
vessels to which the STCW Convention applies remains 2 years. With this
final rule, the standard maximum period of validity for medical
certificates in Sec. 10.301(b) for national endorsements (including
FCPs and
[[Page 66578]]
mariners serving as pilot) will be 5 years. FCPs and masters or mates
serving as pilot will generally only have to submit a medical
certificate application to the Coast Guard every 5 years. Pilots
holding a medical certificate with a 2-year validity period will be
issued a medical certificate with 5-year maximum period of validity at
their next medical certificate issuance, unless the certificate is
time-limited due to a medical condition. This change reduces the
administrative burden on FCPs, masters and mates serving as pilot, and
the Coast Guard.
This rule does not change the regulations in Sec. 10.303 regarding
medical waivers, limitations, and restrictions for not meeting the
medical and physical requirements of Sec. 10.302. If the medical or
physical standards are not met, the Coast Guard may grant waivers with
conditions, such as operational limitations or restrictions on the
medical certificate. Certain conditions, such as a need for more
frequent monitoring of the mariner's medical condition, may result in
the issuance of a time-limited medical certificate that would be valid
for a shorter period than the maximum period of 5 years.
The medical certificate maximum validity period of 5 years will
apply to all pilots (excluding pilots with time limited medical
certificates due to medical condition), regardless of the tonnage of
the vessel they are serving on. The Coast Guard believes that this
increase in the validity period will not compromise maritime safety, as
the rule does not relax the annual physical examination requirement for
FCPs or masters and mates serving as pilot. Instead, we expect that the
rule will support greater transparency regarding a pilot's medical
fitness because it includes a new requirement that pilots must submit
the results of their annual examination to the Coast Guard for review
if the medical practitioner determines that they no longer meet the
medical and physical standards of 46 CFR, part 10, subpart C.
Prior to this final rule taking effect, FCPs and masters or mates
serving as pilot exclusively on vessels of less than 1,600 GRT were
issued medical certificates with a maximum validity period of 2 years,
and were required to submit the physical examination results with their
application for a new medical certificate every 2 years. These mariners
are not subject to the annual physical examination requirement in Sec.
11.709 and are not subject to the new submission requirements in Sec.
11.709 of this rule. Pilots, masters, and mates who serve as pilot only
on vessels less than 1,600 GRT will be issued medical certificates with
a maximum validity period of 5 years and will submit the results of a
physical examination to the Coast Guard every 5 years when applying for
a new medical certificate.
In the rule titled ``Implementation of the Amendments to the
International Convention on Standards of Training, Certification and
Watchkeeping for Seafarers, 1978, and Changes to National
Endorsements,'' (78 FR 77796, Dec. 24, 2013)(STCW final rule), which
took effect on March 24, 2014, an error was made in Table 15.812(e)(1)
indicating that mariners serving as pilot on vessels less than 1,600
GRT were required to complete an annual physical examination. The
supporting text in Sec. 15.812 remained accurate and did not require
these mariners to complete the annual physical examination. This rule
corrects the table by removing the requirement for an annual physical
examination. Masters and mates serving as pilots on vessels less than
1,600 GRT were not required to take an annual physical examination
either before or after the STCW final rule.
Lastly, paragraph Sec. 10.301(b) is dedicated to establishing
periods of validity, and Sec. 10.301(b)(4) is not related to periods
of validity. Therefore, in this rule, Sec. 10.301(b)(4) is
redesignated into its own paragraph in Sec. 10.301(c). As a result,
current Sec. 10.301(c) is redesignated as Sec. 10.301(d).
B. 46 CFR 11.709: Annual Physical Examination Requirements for Pilots
of Vessels of 1,600 GRT or More
Section 11.709 contains the requirement for pilots of vessels 1,600
GRT or more to undergo an annual physical examination. This section
specifies when the annual physical examinations must be conducted, how
the examination results are recorded, and how often the examination
results are reported to the Coast Guard.
To ensure consistency with 46 U.S.C. 7101(e)(3), we clarify the
applicability of this section by including masters or mates serving as
pilot on vessels of 1,600 GRT or more, under Sec. 15.812, in the
introductory text of Sec. 11.709(b). Adding these mariners to Sec.
11.709(b) clarifies the applicability of the annual physical
examination requirements.
Paragraph (b) of this section currently states that the examination
results are to be reported to the Coast Guard every other year to
coincide with the current 2-year maximum period of validity of medical
certificates. Because this rule extends the pilot's medical certificate
to a 5-year maximum period of validity, we are also removing the every-
other-year submission requirement of form CG-719K for pilots. This rule
revises the section to state that the physical examination results must
be submitted on form CG-719K to the Coast Guard every 5 years, in
accordance with the medical certificate application requirements in
Sec. Sec. 10.301 and 10.304. In practice, pilots who meet the medical
and physical standards in 46 CFR part 10 will generally be required to
report the results of the annual examination to the Coast Guard only
when applying for a medical certificate, every 5 years.
The Coast Guard recognizes that when medical certificates remain
valid for 5 years, as opposed to 2 years, there is a higher risk that
someone could have a valid medical certificate for a significant period
after developing a disqualifying medical condition. In order to reduce
the risk created by extending the validity period of the medical
certificate, this rule requires FCPs and masters or mates who serve as
pilot on vessels of 1,600 GRT or more to submit their annual physical
examination results to the Coast Guard no later than 30 days after
completion of the physical examination if any of the following
circumstances occur: (1) the examining medical practitioner documents
that the individual does not meet the physical ability requirements
described in Sec. 10.304(c); (2) the examining medical practitioner
documents that the individual has a condition that does not meet the
general medical examination requirements described in Sec. 10.304(a),
the vision requirements described in Sec. 10.305, or the hearing
requirements described in Sec. 10.306; (3) the examining medical
practitioner documents that the individual is not recommended for a
medical certificate or needs further review by the Coast Guard; or (4)
if the Coast Guard requests the results. If the Coast Guard requests
the results, they should be submitted no later than 30 calendar days
after the request.
We are requiring self-submission of medical examinations to the
Coast Guard when the examined pilot does not meet the requirements for
physical abilities, general medical examination, vision, or hearing, or
is not recommended for a medical certificate, so that the Coast Guard
can further review the results of the medical examination. As part of
the review, the Coast Guard may request additional information in the
interest of mariner safety and full performance of the pilot's duties.
Service on vessels may be arduous, and imposes unique physical and
medical demands on pilots. The submission requirements support our
statutory responsibility under 46 U.S.C. 7101 to ensure that pilots are
physically
[[Page 66579]]
and medically fit to pilot a vessel. The public safety risks associated
with the medical and physical condition of pilots on vessels are
important considerations for the safe operation of vessels and the
safety and well-being of the crew. As stated in Sec. 11.709(b), the
pilot's annual physical examination will continue to be recorded on
form CG-719K, which documents physical ability, medical conditions, and
hearing and vision requirements. Form CG-719K also documents whether a
mariner is ``not recommended,'' which could prompt a submission under
the requirements in Sec. 11.709(b)(2)(i)-(iii). If a pilot or a master
or mate serving as pilot on a vessel 1,600 GRT or more is ``not
recommended'' on their Form CG-719K and fails to report their physical
examination results as required under Sec. 11.709(b), they may not
serve as pilot on a vessel 1,600 GRT or more until they come into
compliance and the Coast Guard makes a determination on whether they
are fit to serve under the provisions in 46 CFR subchapter B. The
annual physical examination documentation and scope are unchanged and
remain the same under this rule.
Moreover, the Coast Guard can request the results of the physical
examination as part of marine casualty investigations, where more
frequent monitoring of a medical condition is specified in a waiver,
and in other cases that prompt further review.
As stated in Sec. 11.701(d), the Coast Guard only issues FCP
endorsements for tonnages of 1,600 GRT or more. Therefore, all FCPs
serving under the authority of their FCP endorsement will continue to
be required to undergo the statutorily required annual physical
examinations and will be subject to the submission requirements in
Sec. 11.709.
In Sec. 11.709, we also move the text specifying that each annual
physical examination must meet the requirements in 46 CFR, part 10,
subpart C, and be recorded on form CG-719K, from existing paragraph (c)
into paragraph (b). We move this requirement into paragraph (b) so that
all information regarding annual physical examination requirements is
in the same paragraph.
In conjunction with moving paragraph (c) into paragraph (b), this
rule redesignates current Sec. 11.709(d) as Sec. 11.709(c), without
change.
Finally, this rule adds a new paragraph 11.709(d) to clarify that
masters or mates serving as pilot on vessels of 1,600 GRT or more under
Sec. 15.812 may not serve on these vessels if they do not meet the
annual physical examination and submission requirements specified in
Sec. 11.709(b). New paragraph (d) does not change any of the current
requirements or consequences for masters or mates serving as pilot on
vessels of 1,600 GRT or more, but reiterates the annual physical
examination requirements for masters or mates serving as pilot already
required in Sec. 15.812. Masters or mates serving as pilot on vessels
of 1,600 GRT or more who do not comply with the physical examination or
reporting requirements in Sec. 11.709(b) may still operate under the
authority of their master or mate endorsement, but cannot pilot a
vessel of 1,600 GRT or more until they come into compliance and the
Coast Guard makes a determination on whether they are fit to serve
under the provisions of 46 CFR 15.812 and 46 CFR subchapter B.
C. 46 CFR 15.401: Employment and Service Restrictions Within the
Credential
This rule also aligns the employment requirements in Sec. 15.401
with the 5-year maximum period of validity of medical certificates for
FCPs or masters or mates serving as pilot so that it reflects the
change made in Sec. 10.301(b). Section 15.401(c) states that a person
may not employ or engage an individual in a position required to hold
an MMC unless that individual maintains a current medical certificate.
This section currently lists the maximum validity period of the medical
certificate as 2 years for FCPs and masters or mates serving as a
pilot. This rule amends this section to say that the maximum validity
period of the medical certificate for FCPs and masters or mates serving
as pilot is 5 years.
Additionally, throughout Sec. 15.401, this rule removes obsolete
terminology referring to licenses, certificates of registry, and
Merchant Mariner's Documents (MMDs). The Coast Guard ceased issuing
licenses, certificates of registry, and MMDs in 2009 when we
transitioned to the streamlined MMC with the ``Consolidation of
Merchant Mariner Qualification Credentials'' final rule (see 74 FR
11195, March 16, 2009). All credentialed mariners now hold an MMC.
We also revise Sec. 15.401(c)(1) by removing the outdated
grandfathering clause, ``[a]fter January 1, 2017,'' because the
referenced date has passed and the section is now applicable to all
medical certificates issued to individuals serving on vessels where the
STCW Convention applies.
D. 46 CFR 15.812, Table 1 to Sec. 15.812(e)(1): Masters or Mates
Serving as Pilot on Vessels of 1,600 GRT or More
This rule includes a correction to Table 1 to Sec. 15.812(e)(1).
Section 15.812(b)(2) contains the requirements for masters or mates to
serve as pilot on vessels of not more than 1,600 GRT. There is no
requirement in paragraph (b)(2) of this section for these masters and
mates serving on vessels less than 1,600 GRT to undergo an annual
physical examination. This is consistent with Sec. 11.709(a), which
stipulates that the annual physical examination requirement only
applies to individuals who pilot a vessel of 1,600 GRT or more.
However, in Table 1 to Sec. 15.812(e)(1), ``Quick Reference Table for
Federal Pilotage Requirements for U.S.-Inspected, Self-Propelled
Vessels, Not Sailing on Register,'' the requirement for a master or
mate serving as pilot on vessels not more than 1,600 GRT to have an
annual physical examination was added in error. This error was
incorporated into the table with the implementation of the STCW final
rule, which took effect on March 24, 2014. We are removing the
erroneous annual physical examination requirement in Table 1, under the
third column, ``Non-designated areas of pilotage waters (between the 3-
mile limit and start of traditional pilotage routes).'' This correction
aligns the table with the corresponding regulatory text in section
Sec. 15.812(b)(2), as well as the applicability of the annual physical
examination requirements in Sec. 11.709(a). This correction does not
change the requirements for these mariners, because the Coast Guard has
not required masters or mates serving as a pilot on vessels of less
than 1,600 GRT to complete an annual physical examination.
VI. Regulatory Analyses
The Coast Guard received six comment submissions during the 60-day
comment period that ended on October 26, 2021. We received no public
comments on the estimated benefits and costs; therefore, the
methodology employed in the regulatory analyses in the NPRM remains
unchanged.
We developed this rule after considering numerous statutes and
Executive orders related to rulemaking. Below we summarize our analyses
based on these statutes or Executive orders.
A. Regulatory Planning and Review
Executive Orders 12866 (Regulatory Planning and Review) and 13563
(Improving Regulation and Regulatory
[[Page 66580]]
Review) direct agencies to assess the costs and benefits of available
regulatory alternatives and, if regulation is necessary, to select
regulatory approaches that maximize net benefits (including potential
economic, environmental, public health and safety effects, distributive
impacts, and equity). Executive Order 13563 emphasizes the importance
of quantifying both costs and benefits, of reducing costs, of
harmonizing rules, and of promoting flexibility.
The Office of Management and Budget (OMB) has not designated this
rule a significant regulatory action under section 3(f) of Executive
Order 12866. A regulatory analysis follows.
Summary of Affected Population, Costs Savings, and Benefits
This rule extends the maximum validity period of merchant mariner
medical certificates issued to FCPs and masters or mates serving as
pilot from 2 years to 5 years. This rule reduces the frequency of
medical certification application submissions to the Coast Guard. FCPs
and masters and mates who serve as pilot on vessels of 1,600 GRT or
more will be required to submit the results of their annual physical
examinations to the Coast Guard between medical certificate
applications if the mariner: (1) does not meet the physical ability
requirements; (2) has a condition that does not meet the medical,
vision, or hearing requirements; (3) is deemed ``not recommended'' by a
medical practitioner for a medical certificate; or (4) is so requested
by the Coast Guard.
Table 1--Summary of the Affected Population, Cost Savings, and Benefits
for This Rule
------------------------------------------------------------------------
Category Summary
------------------------------------------------------------------------
Applicability.......................... Amend 46 CFR 10.301 and 15.401
to extend the maximum period
of validity of merchant
mariner medical certificates
issued to FCPs, and masters or
mates serving as pilot, from 2
years to 5 years.
Amend 46 CFR 11.709 by
modifying the medical
certificate application
submission requirement for
FCPs, as well as masters and
mates who serve as pilot on
vessels of 1,600 GRT or more,
from 2 years to 5 years.
Affected Population.................... There are currently 3,897
mariners who hold MMC
endorsements as FCPs, as of
June 1, 2020. This number does
not include masters or mates
who could serve as pilot.
The affected population for
this rule is 95 percent of
that population, or 3,702
mariners (net affected
population).
Benefits............................... Fewer medical certificate
applications will reduce the
National Maritime Center's
(NMC's) workload and generate
cost savings to the government
and to mariners.
There could be unquantified
benefits for some pilots due
to a decrease in the
likelihood of a lapse in
medical certification from
less frequent medical
certificate application
submissions. A lapse in
medical certification can have
significant costs for
individual pilots and for
employers, because pilots may
not work under the authority
of their credential without a
valid medical certificate.
Cost savings (in $2020, 7% discount Industry cost savings: $20,908
rate) *. annualized and $146,847 over a
10-year period of analysis.
Government cost savings:
$15,756 annualized and
$110,664 over a 10-year period
of analysis.
Total cost savings to industry
and government: $36,664
annualized and $257,511 over a
10-year period of analysis.
------------------------------------------------------------------------
* Totals may not sum due to rounding.
Affected Population
The Merchant Mariner Licensing and Documentation database (MMLD) is
used by the NMC to issue MMCs and maintain records of U.S. merchant
mariners. Based on data obtained from the MMLD, we determined that a
total of 3,897 mariners hold MMC endorsements as FCPs. This rule will
not impact FCPs holding medical certificates issued with waivers
requiring more frequent reporting of medical examination results to the
Coast Guard. Based on data from the MMLD, this group currently consists
of 195 mariners, which is 5 percent of the total affected population of
3,897 mariners. We reduced the total population (3,897 mariners) by
this number (195) to obtain a net affected population of 3,702 mariners
who will be impacted by this rule.
Additionally, we determined that there are 89,713 mariners who hold
an MMC endorsement as master or mate, without holding an FCP
endorsement, who could serve as pilot. Because there is no requirement
to report when a master or mate serves as pilot, we are unable to
determine how many masters or mates are serving as pilot; therefore, we
limited the affected population in this analysis to mariners holding
FCP endorsements and medical certificates without time-limited medical
waivers. Table 2 presents this population.
Table 2--Summary of Population by Endorsement
------------------------------------------------------------------------
Number of
Population mariners
------------------------------------------------------------------------
Total number of mariners holding an MMC endorsement as 3,897
FCP and holding a medical certificate with or without
time-limited medical waivers (total potentially
affected FCP population)...............................
Those mariners holding an MMC endorsement as FCP and 195
holding a medical certificate with time-limited medical
waivers (unaffected FCP population due to waiver status
resulting in no change in the period of validity of the
medical certificate)...................................
[[Page 66581]]
Those mariners holding an MMC endorsement as FCP and 3,702
holding a medical certificate without time-limited
medical waivers (affected FCP population due to change
in the period of validity of the medical certificate)..
------------------------------------------------------------------------
Costs and Cost Savings
This final rule reduces the frequency of mariner medical
certificate applications to the Coast Guard, resulting in a cost
savings to both mariners and the government. Industry cost savings are
the costs avoided by reducing the frequency with which FCPs and masters
or mates serving as pilot apply for a medical certificate.
Consequently, fewer applications will reduce the NMC's workload,
generating cost savings for the government. The total 10-year
discounted cost savings of this rule will be $257,511, and the
annualized total cost savings will be approximately $36,664, both
discounted at 7 percent. This includes the 10-year industry and
government savings of $146,847 and $110,664 respectively, discounted at
7 percent.
Turnover Rate
We did not factor mariner turnover into this analysis. ``Mariner
turnover'' means the number or percentage of mariners leaving
employment within a certain period of time, combined with the number or
percentage of mariners obtaining employment within the same period of
time. There are two reasons for not factoring in mariner turnover.
First, the MMC serves as a certificate of mariner identity, service,
and qualification. In order to serve under the authority of an
endorsement on an MMC, a mariner must be physically and medically
qualified for that endorsement, as evidenced by holding a valid medical
certificate. Medical certification is not an endorsement of
qualification on an MMC, but, instead, is a separate document
certifying medical and physical fitness to serve in the capacity of an
endorsement listed on the MMC.
The second reason mariner turnover is not factored into this
analysis is because the FCP endorsement represents a maritime
qualification that can lead to permanent employment with a pilot
association. This career path is highly competitive, due to the
rigorous, time-consuming, and highly specialized training required. As
presented in table 3, data from the MMLD indicates that the number of
mariners holding an FCP endorsement has declined at an annual average
rate of 0.48 percent in the last 11 years. We did not include mariner
turnover because the Coast Guard believes it will have a negligible
effect in assessing the costs or cost savings for this regulatory
analysis. We did not receive any comments related to the impact of
mariner turnover in response to the NPRM.
Industry Cost Savings
This final rule amends requirements so that the results of the
annual physical examinations for pilots, and masters or mates serving
as pilot, on vessels of 1,600 GRT or more will be submitted to the
Coast Guard on form CG-719K every 5 years instead of every 2 years,
unless one of the four conditions noted previously, and listed in Sec.
11.709(b), is applicable.\1\ Although mariners will still be required
to complete an annual physical examination, the cost savings to
industry will include the time savings of the affected population not
having to submit an application for a merchant mariner medical
certificate every 2 years, after the second year of the implementation
of this rule.
---------------------------------------------------------------------------
\1\ Pilots must still undergo annual physical examinations.
However, those pilots who are not required to submit the results to
the Coast Guard during the 5 years will simply maintain personal
copies.
---------------------------------------------------------------------------
Mariners may submit medical certificate applications either
directly to the NMC via email or to a Regional Examination Center (REC)
via email, fax, or mail. Additionally, applications may be submitted at
a REC in person. Cost savings to industry will include the time saved
by mariners by faxing, emailing, mailing, or delivering in-person the
form CG-719K to the Coast Guard on a less frequent basis. According to
data obtained from the MMLD, 95 percent of medical certificates issued
to FCPs, or 3,702 (0.95 x 3,897), are renewed every 2 years. The
remaining 5 percent are renewed annually, for those pilots with time-
limited certificates due to medical waivers. Since the merchant mariner
medical certificate for FCPs and masters or mates serving as pilot is
only valid for 2 years under current regulations, half the total number
of FCPs and masters or mates serving as pilot are currently applying
for a new medical certificate each year.
Current data from the MMLD indicates that 195 mariners from the
affected population will not benefit directly under this rule. This is
the number of FCPs and masters or mates serving as pilot who have been
issued medical certificates with a waiver, which require more frequent
reporting of the results of their annual physical examinations to the
Coast Guard. These mariners will still be required to submit the form
CG-719K to the Coast Guard on an annual basis.
Growth Rate of Affected Population
We analyzed the number of endorsed FCPs who will experience a
reduction in burden from only needing to submit their medical
certificate applications once every 5 years, after the second year of
the implementation of this rule, as opposed to once every 2 years under
the regulations that existed prior to this final rule. We then analyzed
the number of endorsed FCPs to estimate a population growth rate for
mariners with MMCs who will become newly endorsed as FCPs. Using 11
years of data from the MMLD, from 2010 to 2020,\2\ which is presented
in table 3, we found that the number of endorsed FCPs is declining at
an average rate of 0.48 percent per year. The highest number of
endorsed FCPs was observed in 2017, while the lowest number of endorsed
FCPs was observed in 2020.
---------------------------------------------------------------------------
\2\ Data for each year are complete because the data are
captured and recorded each July.
---------------------------------------------------------------------------
We used this estimated annual average decline of 0.48 percent as a
constant when forecasting the endorsed FCP population for the next 10
years. This constant rate represents the average decline experienced by
FCPs throughout a 10-year period of analysis. We applied this 0.48
percent rate of decline to both the affected population in former
regulations (the baseline) and the affected population in this final
rule to determine the number of medical certificate application
submissions in a given year. Table 3 presents the data from the MMLD
used to determine the estimated annual rate of decline for the endorsed
FCP population where t
[[Page 66582]]
denotes the period of time, and t is discrete and positive.
Table 3--Summary of Endorsed FCPs
----------------------------------------------------------------------------------------------------------------
Growth rate (%) (b)t = [(a--
Year Endorsed FCPs a) / a] x 100
(a)
----------------------------------------------------------------------------------------------------------------
2010.............................................................. 4,259 ............................
2011.............................................................. 4,292 0.77
2012.............................................................. 4,262 -0.70
2013.............................................................. 4,237 -0.59
2014.............................................................. 4,200 -0.87
2015.............................................................. 4,171 -0.69
2016.............................................................. 4,219 1.15
2017.............................................................. 4,297 1.85
2018.............................................................. 4,263 -0.79
2019.............................................................. 4,217 -1.08
2020.............................................................. 4,055 -3.84
---------------------------------------------
Avg............................................................... 4,225 -0.48
Max............................................................... 4,297 ............................
Min............................................................... 4,055 ............................
----------------------------------------------------------------------------------------------------------------
Baseline
Table 4 illustrates the following discussion of our baseline
analysis. In order to calculate the cost savings of this rule, and to
determine our baseline industry costs, we first estimated the number of
endorsed FCPs who will be applying for a merchant mariner medical
certificate in any given year for the next 10 years, excluding those
with medical waivers. To obtain this number, we took the total number
of endorsed FCPs holding a medical certificate with or without time-
limited medical waivers, 3,897, as shown in table 2. We then subtracted
the number of endorsed FCPs who submit medical certificate applications
on an annual basis due to time-limited restrictions, 195. We obtained a
population of 3,702 endorsed FCPs who will submit their medical
certificate applications every 5 years under the rule. We then divided
this number (3,702) by 2, which is the application rate of FCPs who are
currently issued medical certificates (1 application every 2 years) to
obtain an annual estimate of 1,851 medical certificates issued (3,702 /
2). However, the number of endorsed FCPs has decreased over time, at an
average annual rate of 0.48 percent from 2011-2020. We incorporated
this average annual rate of decline in order to obtain the expected
number of endorsed FCPs in a 10-year period of analysis. Column (d) in
table 4, ``Pre-NPRM Regulation Medical Certificate Applications With
Decline,'' captures the affected population after applying the annual
average rate of decline in column (b) and the application rate in
column (c). The equation for column (d) is represented as (d) t = (c) t
+ ([1 + (b)] t ) for all t. Table 4 presents the number of medical
certificate applications under the baseline analysis.
Table 4--Baseline Analysis of FCPs Mariner Medical Certificate Applications
----------------------------------------------------------------------------------------------------------------
Pre NPRM
regulation
medical Pre-NPRM regulation medical
Year Population Growth (%) certificate certificate applications
applications not with decline
incorporating
growth
(a) (b) (c) = (a) / 2 (d) = (c) x ( [1 + (b)] )
for all t
----------------------------------------------------------------------------------------------------------------
1.............................. 3,702 -0.48 1,851 1,842
2.............................. .............. .............. 1,851 1,833
3.............................. .............. .............. 1,851 1,825
4.............................. .............. .............. 1,851 1,816
5.............................. .............. .............. 1,851 1,807
6.............................. .............. .............. 1,851 1,799
7.............................. .............. .............. 1,851 1,790
8.............................. .............. .............. 1,851 1,781
9.............................. .............. .............. 1,851 1,773
10............................. .............. .............. 1,851 1,764
--------------------------------------------------------------------------------
Total...................... .............. .............. 18,511 18,030
--------------------------------------------------------------------------------
Average.................... .............. .............. 1,851 1,803
----------------------------------------------------------------------------------------------------------------
Revised Regulation
Table 5 illustrates the following discussion of our methodology for
estimating the number of medical certificate applications for the
affected population under this rule. This is similar to the previously
discussed ``Baseline'' section. The population and the estimated rate
of decline are assumed to be identical under both the baseline scenario
and the final rule. The difference in the methodology for the final
rule is reflected in the application frequency for FCPs. We calculated
this
[[Page 66583]]
by taking the number of FCPs expected to submit a medical certificate
application in a given year, incorporating the rate of decline, and
assuming that each eligible remaining FCP will only submit a medical
certificate application at intervals of 5 years, starting in year 1.
Column (e) reflects this periodicity; FCPs who submit a medical
certificate application in year 1 will not have to submit a new medical
certificate application until year 6. FCPs who submit their medical
certificate application in year 2 will not have to submit their medical
certificate application until year 7. After accounting for the yearly
attrition projected for this analysis, values for column (e) will be
equivalent to values of column (d) t for t = 1,2,6,7, and 0 for any
other period. This periodicity holds true for any given 10-year
interval into the future.
In contrast, column (f) reflects the reduction in medical
certificate applications under this rule. For any given period t, the
reduction in medical certificate applications is calculated as the
difference between FCPs who otherwise submit a medical certificate
application every other year under the regulations that existed prior
to this final rule, column (d), and the number of FCPs who no longer
have to submit a medical certificate application during years
3,4,5,8,9,10. Hence, column (f) t = 0 for t = 1,2,6,7, and column (f) t
= (d) t - (e) t for any other year. Finally, column (g) reflects the
number of FCPs lost to the industry on a given year due to the
projected attrition.
Reduction in Merchant Mariner Medical Certificate Applications From
Baseline to Final Rule
As reflected in sum of column (f) of table 5, we project an
aggregate reduction in medical certificate applications of 10,766 over
a 10-year period following the implementation of this rule. Under this
final rule, on average, FCPs will not have to submit 1,794 medical
certificate applications in 3 years out of a given 5-year period
horizon.
Table 5--Rule Analysis of FCPs Medical Certificate Applications
--------------------------------------------------------------------------------------------------------------------------------------------------------
Final rule
Prior regulation Prior rule regulation Difference in
Growth medical medical medical medical Population change
Year Population (%) certificate certificate certificate certificate on a given year
applications applications with applications with applications
without growth growth growth
(a) (b) (c) = (a) / 2 (d) = (c) x ([1 (e) = (d) for t (f) = 0 for t = (g) = d - d
+ (b)] ) for all = 1,2,6,7, and 1,2,6,7,
t (e) = 0 otherwise
otherwise (f) = (d) - (e)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1................................... 3,702 -0.48 1,851 1,842 1,842 ................. .................
2................................... .......... ....... 1,851 1,833 1,833 ................. -9
3................................... .......... ....... 1,851 1,825 ................. 1,825 -9
4................................... .......... ....... 1,851 1,816 ................. 1,816 -9
5................................... .......... ....... 1,851 1,807 ................. 1,807 -9
6................................... .......... ....... 1,851 1,799 1,799 ................. -9
7................................... .......... ....... 1,851 1,790 1,790 ................. -9
8................................... .......... ....... 1,851 1,781 ................. 1,781 -9
9................................... .......... ....... 1,851 1,773 ................. 1,773 -9
10.................................. .......... ....... 1,851 1,764 ................. 1,764 -8
Total........................... .......... ....... 18,511 18,030 7,264 10,766 -78
Average......................... .......... ....... 1,851 1,803 1,816 1,794 -9
--------------------------------------------------------------------------------------------------------------------------------------------------------
Medical Certificate Applications Submitted by Mail--Opportunity Cost of
Time
Table 6 illustrates the analysis of cost savings to industry as
discussed in the following paragraphs. We first determine the number of
FCPs who will submit a medical certificate application via mail,
previously estimated by the NMC at 15 percent of the affected
population. The number of FCPs who no longer have to submit a medical
application on a given year is reflected on column (f) of table 5.
Therefore, column (a) of table 6 is the product of reduced FCPs x 15%.
We then estimate the reduction in hours under the final rule.
We calculate the reduction in time burden in a given year from FCPs
who no longer have to submit a medical certificate application. The
reduction in time burden is calculated as the product of the average
time per medical certificate application submitted by mail for
evaluation, and the number of FCPs who no longer have to submit a
medical certificate application in a given year. The current collection
of information approval for MMC application forms estimates the total
time required to fill out and submit the medical certificate
application by mail to be 18 minutes. Subject matter experts holding
MMCs, with experience submitting a medical certificate application,
estimate that, on average, 13 minutes are required to fill out the
application and the remaining 5 minutes, or 0.083 hours (5 / 60), are
required to mail the application. Column (f) in table 6 is the product
of (a) and (b). In order to calculate the government cost savings from
time saved by NMC employees having fewer medical certificate
applications to evaluate, we use an estimated loaded hourly wage rate
of $94.03.\3\ We derive the estimated wage by using the Office of
Personnel Management's 2020 Salary Table for the locality adjusted
general service (GS) pay scale for the Washington, DC metropolitan
area.
---------------------------------------------------------------------------
\3\ A loaded hourly wage rate is what a company pays per hour to
employ a person, not the hourly wage an employee receives. The
loaded hourly wage rate includes the cost of non-wage benefits
(health insurance, vacation, etc.).
---------------------------------------------------------------------------
We estimate that the average hourly wage rate for a GS-13 medical
evaluator at the NMC is $56.57.\4\ To account for employee benefits, we
use a load factor of 1.66, which we calculate from the Congressional
Budget Office report, ``Comparing the Compensation of Federal and
Private-Sector Employees, 2011 to 2015.'' \5\ We obtain this figure
(the loaded factor) by dividing the total hourly compensation of a
typical GS-13
[[Page 66584]]
employee, $74.80,\6\ by the hourly wage of a typical GS-13 employee,
$45.00; \7\ hence, $74.80 / $45.00 = 1.66.\8\ Therefore, we estimate
the loaded wage rate of a typical GS-13 employee as the product of the
wage rate and the load factor, or $56.57 x 1.66 = $94.03.
---------------------------------------------------------------------------
\4\ https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/pdf/2020/DCB_h.pdf.
\5\ https://www.cbo.gov/system/files/115th-congress-2017-2018/reports/52637-federalprivatepay.pdf.
\6\ Id, table 4. For this analysis we assumed a GS-13 was a
federal employee with a Master's degree, as specified in table 2 and
table 4 of the report.
\7\ Id, table 2.
\8\ Totals may not add due to rounding.
---------------------------------------------------------------------------
We recognize that many mariners holding FCP endorsements are
compensated at higher wage rates than what is published by the Bureau
of Labor Statistics (BLS); however, we used the BLS Occupational Series
due to the lack of official records for FCP wages and salaries.
In order to calculate the cost of time saved by FCPs submitting
fewer applications under this rule, we use the loaded hourly wage rate
per FCP, estimated at $64.90. We obtain an estimated hourly wage rate
for a mariner of $43.14, using BLS' Occupational Series 53-5021,
Captains, Mates, and Pilots of Water Vessels (May 2020).\9\ To
determine the load factor per FCP, we divide the BLS total compensation
for the transportation and material moving series,\10\ $32.27, by the
wages and salaries for the same series, which is $21.45. We estimate
the load factor as 1.50, as $32.27 / $21.45 = 1.50. Therefore, we
calculate the loaded hourly wage rate by multiplying the hourly wage
rate by the loaded factor, or $43.14 x 1.50 = $64.90.\11\
---------------------------------------------------------------------------
\9\ https://www.bls.gov/oes/2020/may/oes535021.htm (see Mean
Hourly Wage value, National estimates for this occupation box).
\10\ https://www.bls.gov/news.release/archives/ecec_03192020.pdf, found in table 2.
\11\ Total may not add due to rounding.
---------------------------------------------------------------------------
After determining the total reduction in time for FCPs not
submitting medical certificates in a given year, we estimate the
aggregate cost of the time for all FCPs to submit their medical
certificates applications to the Coast Guard by multiplying the loaded
hourly wage-rate per each endorsed FCP, $64.90, by the total annual
reduction in time burden. Therefore, the cost-time burden, column (g)
of table 6, is the product of column (d) and column (f).
Submission Costs
Mariners may submit medical certificate applications either
directly to the NMC or to a REC. Whether submitting to the NMC or a
REC, applications can be submitted by email, fax, or mail. An
application may also be submitted to a REC in person.
Using data from the NMC on the submission of medical certificate
applications, we estimate that approximately 39 percent of medical
certificate applications are submitted directly to the NMC. Of these
applications, 89 percent are submitted by email, 6 percent are
submitted by fax, and 5 percent are submitted by mail. The remaining 61
percent of medical certificate applications are submitted to RECs,
where 52 percent of the applications are submitted by email, 1 percent
are submitted by fax, 22 percent are submitted by mail, and 25 percent
are submitted in person.\12\ Therefore, of the total medical
certificate applications submitted to the Coast Guard (to both the NMC
and RECs), approximately 66 percent are submitted via email, 3 percent
are submitted via fax, 15 percent are submitted via mail, and 15
percent are submitted in person.\13\
---------------------------------------------------------------------------
\12\ Total may not add to 100 percent due to rounding.
\13\ Total may not add to 100 percent due to rounding.
---------------------------------------------------------------------------
We estimate the expected cost of mailing applications through the
U.S. Postal Service (USPS) in any given year as the product of the
total number of medical certificate applications that will be submitted
under this rule, the 55-cent cost of mailing an application to the
Coast Guard through the USPS using a first-class letter postage stamp,
and the percentage of endorsed FCPs expected to submit their medical
certificate applications through the mail, approximately 15.4 percent.
Thus, column (h) of table 6 = (a) x (c). Finally, the undiscounted
industry cost savings, column (i), is the sum of the cost-time burden,
column (g), and the USPS cost, column (h).
Table 6--Medical Applications Mailing Costs Estimates Over a 10-Year Period of Analysis in $2020 Dollars Using 7- and 3-Percent Discount Rates
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Reduction Undiscounted
Mailed Avg. time Cost per in time Cost-time Mail costs industry
submission per form letter FCP hourly Total apps burden burden (g) (USPS) (h) cost savings Discounted Discounted
Year (a) = submission mailed (1 wage (d) received (hrs.) (f) = (d) x = (a) x (i) = (g) 7% 3%
reduced (hrs.) (b) oz.) (c) (%) (e) = (a) x (f) (c) + (h)
FCPs x 15% (b)
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
1 0.083 $0.55 $64.90 15
2
3 280 23 1,517 154 1,671 1,364 1,529
4 279 23 1,509 154 1,663 1,269 1,478
5 278 23 1,502 153 1,655 1,180 1,428
6
7
8 274 23 1,481 151 1,631 949 1,288
9 272 23 1,474 150 1,624 883 1,244
10 271 23 1,467 149 1,616 821 1,202
----------------------------------------------------------------------------------------------------------------------------------------
Total 1,655 138 8,950 910 9,860 6,467 8,169
Average 276 23 1,492 152 1,643 1,078 1,361
Annualization 921 958
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
* Totals may not add due to rounding.
Medical Certificates Applications Submitted in Person--Opportunity Cost
of Time
Table 7 illustrates the analysis of cost savings to industry, as
discussed in the following sections. We first determine the number of
FCPs who will submit a medical certificate application in person,
previously estimated by the NMC at 15 percent of the affected
population. Therefore, column (a), the expected number of medical
certificate applications submitted in person in a given year = reduced
FCPs x 15%. We assume that each eligible FCP will commute an average of
27.6 minutes in each direction \14\ to submit their medical certificate
application to a REC, for an average total commuting time of 55.2
minutes, shown in column (c). We assume that FCPs who have a longer
commute to the REC will submit the applications by mail or email. We
also assume that FCPs will drive at an
[[Page 66585]]
average speed of approximately 57 miles per hour (MPH) based on
calculations from data in the Department of Transportation's National
Traffic Speeds Survey II, Overall Speed Estimates (in MPH) by Road
Class (Free-Flow) by Year. That survey provided mean speed figures for
three road classes: limited access (70.5 MPH), major arterial (53.28
MPH), and minor arterial (47.01 MPH). We took the mean of those values
to obtain an average speed of 56.93 MPH [(70.5 + 53.28 + 47.01) /
3].\15\ Considering the estimated average speed, we assume that 55.2
minutes of commuting time will be traveled in approximately 1 hour
(55.2 minutes / 57 miles per hour [ap] 0.97 hrs.), reflected in column
(b).
---------------------------------------------------------------------------
\14\ https://www.census.gov/newsroom/press-releases/2021/one-way-travel-time-to-work-rises.html.
\15\ Table 1. Overall Speed Estimates (in MPH) by Road Class
(Free-Flow) by Year, Fact Sheet, Publication No. DOT HS 811 647,
August 2012, https://safety.fhwa.dot.gov/speedmgt/data_facts/.
---------------------------------------------------------------------------
In order to calculate the opportunity cost of having to commute to
submit a medical certificate application to a REC on a less frequent
basis, we use the General Services Administration's (GSA's) ``Privately
Owned Vehicle (POV) Mileage Reimbursement Rates,'' \16\ which is used
as a proxy for the wear and tear incurred while commuting to a REC. As
of January 2021, the reimbursement rate is $0.56 per mile, column (d).
We then estimate the net reduction in time burden hours in column (e).
---------------------------------------------------------------------------
\16\ https://www.gsa.gov/travel/plan-book/transportation-airfare-pov-etc/privately-owned-vehicle-pov-mileage-reimbursement-rates.
---------------------------------------------------------------------------
The net reduction in time burden is calculated as the product of
the average time it will take FCPs to commute to and from a REC, column
(b), and the number of FCPs who no longer have to submit a medical
certificate on a given year, column (a). Hence, column (e) = (a) x (b).
Next we estimate the net reduction in distance (miles avoided) by FCPs
who no longer have to drive to submit a medical certificate application
in a given year. The net reduction in distance (miles), column (f), is
the product of the average miles avoided by FCPs who would otherwise
commute to and from a REC, column (c), and the aggregate time of
commuting avoided by FCPs in hours. Finally, we estimate the
undiscounted cost savings of FCPs who no longer have to submit a
medical certificate application in person, column (g). This column is
calculated as the product of GSA's reimbursement rate, column (d), and
the aggregate distance (miles) avoided by FCPs on a given year, column
(e). Hence, column (g) = (d) x (f).
Table 7--Opportunity Cost of Commute Avoided in Terms of Time and Reimbursement Impact
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Total time
allotted Net reduction Net reduction Undiscounted
In person for driving Average time Reimbursement in time burden in time industry cost
Year submission (a) to/ from commuted per rate per mile (hrs.) (e) = (minutes) (f) savings (g) = Discounted Discounted
= reduced USCG FCP (c) driven (d) (a) x (b) = (c) x (e) (d) x (f) 7% 3%
FCPs x 15% facilities
(hrs.) (b)
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
1 1.000 55.2 $0.56 ............... ............... ............... .......... ..........
2..................................................... .............. ........... .............. ................ ............... ............... ............... ..........
3..................................................... 280 280.44 15,481 $8,669 $7,077 $7,933
4..................................................... 279 279.10 15,406 8,628 6,582 7,666
5..................................................... 278 277.77 15,333 8,586 6,122 7,407
6..................................................... .............. ............... ............... ............... .......... ..........
7..................................................... .............. ............... ............... ............... .......... ..........
8..................................................... 274 273.80 15,114 8,464 4,926 6,681
9..................................................... 272 272.49 15,041 8,423 4,582 6,456
10.................................................... 271 271.18 14,969 8,383 4,261 6,238
-----------------------------------------------------------------------------------------------------------------------------------------
Total............................................. 1,655 ........... .............. ................ 1,654.77 91,344 51,152 33,549 42,380
Average........................................... 276 ........... .............. ................ 275.80 15,224 8,525 5,592 7,063
Annualization..................................... .............. ........... .............. ................ ............... ............... ............... 4,777 4,968
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
* Totals may not add due to rounding.
Medical Certificate Applications Submitted in Person--Opportunity Cost
of Time (Compensation)
Table 8 illustrates an analysis similar to table 7, but in terms of
the compensation that FCPs will otherwise forgo in order to commute to
a REC to submit a medical certificate application. Based on data
provided from each REC, we determined that, considering security
protocols, a mariner requires an average of 25 minutes to arrive at,
enter, and then exit a REC, column (c). It requires, on average, an
additional 5 minutes of wait time to be seen by the legal instruments
examiner at the customer service counter, column (d), and an additional
1 minute for the examiner to verify that the medical certificate
application is complete and filled out properly, column (e). The time
burden for FCPs is no different than for any other mariner.
To quantify the savings associated to mariners not using a full
hour of their time to commute to a REC, column (b), we use the FCP's
loaded hourly wage rate, estimated at $64.90, column (f). The
undiscounted cost savings associated to FCPs who no longer have to
commute to submit a medical certificate application, column (g), is
calculated as the product of the number of reduced FCPs, column (a),
the average commuting time to and from a REC, column (b), the average
time to it takes an FCP to enter and exit a REC, column (c), the
average time to it takes for an FCP to be seen by a legal instruments
examiner at the customer service counter, column (d), and the average
time it takes for the examiner to verify that the medical certificate
application is complete and filled out properly, column (e). Hence, (g)
t = (a) t x [(b) + (c) + (d) + (e)] x (f).
[[Page 66586]]
Table 8--Opportunity Cost of Commute Avoided in Terms of Hourly Wage Compensation
--------------------------------------------------------------------------------------------------------------------------------------------------------
Undiscounted
Avg. Avg. time Avg. time industry cost
In person commuting to enter to be seen Avg. time savings (g) =
Year submission (a) time to/ and exit by legal perform FCP hourly (a) x [(b) + Discounted Discounted
= reduced from RECs RECs (hrs.) instruments submission wage (f) (c) + (d) + 7% 3%
FCPs x 15% (hrs.) (b) (c) examiner (hrs.) (e) (e)] x (f)
(hrs.) (d)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1............................ .............. 1.000 0.417 0.083 0.017 $64.90 .............. ........... ...........
2............................ .............. ........... ........... ........... ........... ........... .............. ........... ...........
3............................ 280 ........... ........... ........... ........... ........... $27,605 $22,534 $25,263
4............................ 279 ........... ........... ........... ........... ........... 27,473 20,959 24,409
5............................ 278 ........... ........... ........... ........... ........... 27,341 19,494 23,585
6............................ .............. ........... ........... ........... ........... ........... .............. ........... ...........
7............................ .............. ........... ........... ........... ........... ........... .............. ........... ...........
8............................ 274 ........... ........... ........... ........... ........... 26,951 15,686 21,275
9............................ 272 ........... ........... ........... ........... ........... 26,822 14,589 20,557
10........................... 271 ........... ........... ........... ........... ........... 26,693 13,569 19,862
--------------------------------------------------------------------------------------------------------------------------
Total.................... 1,655 ........... ........... ........... ........... ........... 162,885 106,831 134,951
Average.................. 276 ........... ........... ........... ........... ........... 27,147 17,805 22,492
Annualization............ .............. ........... ........... ........... ........... ........... .............. $15,210 $15,820
--------------------------------------------------------------------------------------------------------------------------------------------------------
* Totals may not add due to rounding.
Total Cost Savings to Industry
Using a 7-percent discount rate, we estimate the annualized cost
savings for this rule at $20,908 and the 10-year total at $146,847. We
obtain this value by adding the yearly cost savings associated with the
number of medical certificate applications not submitted in a given
period, which is column (i) of table 6, and the number of medical
certificate applications not delivered to the Coast Guard in a given
period, which is the sum of column (g) of table 7 and column (g) of
table 8. We present these industry cost-savings amounts, discounted at
7 percent and 3 percent, in table 9.
Table 9--Total Industry Cost Savings Over a 10-Year Period of Analysis in $2020 Dollars Using 7- and 3-Percent Discount Rates
--------------------------------------------------------------------------------------------------------------------------------------------------------
Undiscounted in Undiscounted
Year Undiscounted mail person submission industry savings Discounted 7% Discounted 3%
submission (a) (b) (c)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1........................................................ ................... ................... ................... .............. ..............
2........................................................ ................... ................... ................... .............. ..............
3........................................................ $1,671 $36,274 $37,945 $30,975 $34,725
4........................................................ 1,663 36,100 37,763 28,810 33,552
5........................................................ 1,655 35,928 37,583 26,796 32,419
6........................................................ ................... ................... ................... .............. ..............
7........................................................ ................... ................... ................... .............. ..............
8........................................................ 1,631 35,414 37,046 21,561 29,244
9........................................................ 1,624 35,245 36,868 20,054 28,256
10....................................................... 1,616 35,076 36,692 18,652 27,302
----------------------------------------------------------------------------------------------
Total................................................ 9,860 214,037 223,897 146,847 185,499
Average.............................................. 1,643 35,673 37,316 24,475 30,917
Annualization........................................ ................... ................... ................... 20,908 21,746
--------------------------------------------------------------------------------------------------------------------------------------------------------
* Totals may not add due to rounding.
Government Cost Savings
Table 10 illustrates the following methodology to calculate the
cost savings to the government. We first estimate the reduction in
hours associated with the reduction in medical certificate application
submissions previously discussed as the product of the reduction in
medical certificate applications and the estimated time it will take a
GS-13 employee at the NMC to process an application for a medical
certificate. Using medical certificate application information records
obtained from NMC medical evaluation staff, we estimate that the time
needed to evaluate a medical certificate application is approximately
10 minutes, or 0.166 hours (10 / 60 = 0.166 hours).
Using the loaded hourly wage rate of $94.03 for a GS-13 employee,
we estimate that the government will save $15.67 ($94.03 x 0.17 hour)
on each application it no longer has to evaluate. The annual reduction
in the number of medical certificate applications for the rule is the
product of the number of applications the government will no longer
have to review and the hours saved by not having to review an
additional medical application. Therefore, (d) = (a) x 0.166 hrs. On
average, the government will save 299 hours annually under this final
rule.
Next, we estimate the total undiscounted government cost savings in
a given year. We calculated this by multiplying the estimated loaded
hourly wage rate for a GS-13 employee, $94.03, by the yearly reduction
in hours. This captures the difference in the medical certificate
applications under the former regulations and the final rule. On
average, the government will save $18,444 annually under this rule,
discounted at 7 percent, as presented in table 10.
[[Page 66587]]
Table 10--Government Cost Savings Over a 10-Year Period of Analysis in $2020 Dollars Using 7- and 3-Percent Discount Rates
--------------------------------------------------------------------------------------------------------------------------------------------------------
Reduction in Reduction in Undiscounted
medical Time per time burden government
Year certificate GS-13 wage evaluation (hrs.) (d) = cost savings Discounted 7% Discounted 3%
applications rate (b) (hrs.) (c) (a) x (c) (e) = (b) x
(a) (d)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1....................................... .............. $94.03 0.17 .............. .............. .............. ..............
2....................................... .............. .............. .............. .............. .............. .............. ..............
3....................................... 1,825 .............. .............. 304.10 $28,595 $23,342 $26,169
4....................................... 1,816 .............. .............. 302.65 28,459 21,711 25,285
5....................................... 1,807 .............. .............. 301.20 28,322 20,193 24,431
6....................................... .............. .............. .............. .............. .............. .............. ..............
7....................................... .............. .............. .............. .............. .............. .............. ..............
8....................................... 1,781 .............. .............. 296.89 27,918 16,248 22,038
9....................................... 1,773 .............. .............. 295.47 27,784 15,113 21,294
10...................................... 1,764 .............. .............. 294.06 27,651 14,056 20,575
---------------------------------------------------------------------------------------------------------------
Total............................... 10,766 .............. .............. .............. 168,729 110,664 139,792
Average............................. 1,794 .............. .............. .............. 28,121 18,444 23,299
Annualization....................... .............. .............. .............. .............. .............. 15,756 16,388
--------------------------------------------------------------------------------------------------------------------------------------------------------
* Totals may not add due to rounding.
Total Estimated Cost Savings of This Rule Over a 10-Year Period of
Analysis
Over a 10-year period of analysis, the total estimated cost savings
of this rule to mariners and the government is $257,511, discounted at
7 percent. The annualized cost savings are $36,664, also discounted at
7 percent. Table 11 presents the total cost savings of this rule, which
is the sum of the undiscounted industry savings, column (c) of table 9,
and the undiscounted government savings, which is column (e) of table
10. Therefore, the undiscounted total cost savings is the sum of the
undiscounted industry savings and the undiscounted government savings.
Table 11--Total Estimated Costs Savings of Rule Over a 10-Year Period of Analysis in $2020 Using 7-Percent and 3-
Percent Discount Rates
----------------------------------------------------------------------------------------------------------------
Undiscounted
Undiscounted Undiscounted total cost
industry cost government savings (c) =
Year savings (a) cost savings (a) + (b) Discounted 7% Discounted 3%
(b)
----------------------------------------------------------------------------------------------------------------
1............................... .............. .............. .............. .............. ..............
2............................... .............. .............. .............. .............. ..............
3............................... $37,945 $28,595 $66,541 $54,317 $60,894
4............................... 37,763 28,459 66,222 50,520 58,837
5............................... 37,583 28,322 65,905 46,989 56,850
6............................... .............. .............. .............. .............. ..............
7............................... .............. .............. .............. .............. ..............
8............................... 37,046 27,918 64,963 37,809 51,283
9............................... 36,868 27,784 64,652 35,167 49,551
10.............................. 36,692 27,651 64,343 32,709 47,877
-------------------------------------------------------------------------------
Total....................... 223,897 168,729 392,626 257,511 325,292
Average..................... 37,316 28,121 65,438 42,918 54,215
Annualization............... .............. .............. .............. 36,664 38,134
----------------------------------------------------------------------------------------------------------------
* Totals may not add due to rounding.
Benefits
The cost savings accounted for above, including savings to mariners
from less frequent submissions of medical certificate applications, are
quantifiable benefits from this rule. This rule will reduce the NMC's
workload and generate government cost savings.
Alternatives
When analyzing alternatives, we considered two factors: the period
of validity of the medical certificate for FCPs; and the requirement to
submit physical examination results to the Coast Guard. Prior to this
final rule, the period of validity of the medical certificate was 2
years for FCPs, and the submission of physical examination results was
correspondingly every other year, unless the medical certificate
contained a waiver requiring more frequent submission of the physical
examination results.
Alternative 1. The first alternative we considered in this analysis
was no change, where FCPs would continue to apply for their medical
certificates every other year. This alternative would also continue to
require FCPs to report their physical examination results every other
year, unless their medical certificate contains a waiver requiring more
frequent submission. As shown in table 11, we estimate the opportunity
cost of maintaining a 2-year pilot medical certificate validity period
at $36,664, annualized at 7 percent; or a total of $257,511 over a 10-
year period of analysis, also discounted at 7 percent. We rejected this
alternative. Although there would be no additional costs to mariners or
the government, there would also be no cost savings, and this
alternative would not lead to an
[[Page 66588]]
increase in safety in the maritime industry.
Alternative 2. The second alternative we considered was extending
the maximum period of validity of medical certifications to 5 years
without interim self-reporting requirements, which require mariners to
submit the results of their medical examination to the Coast Guard if
they no longer meet the medical standards. FCPs would only submit the
results of the physical examination every 5 years with a medical
certificate application, unless their medical certificate contains a
waiver and requires more frequent submission. We rejected this
alternative. The Coast Guard finds the potential for increased risk
from mariners with underlying health issues operating as FCPs, and not
self-reporting medical or health conditions that may impact their
piloting performance and maritime safety, unacceptable. We made this
determination after considering the unique physical and cognitive
demands placed on pilots in performing their duties, and maritime
casualties that were directly related to a FCP's physical ability to
perform their duties. We considered casualties such as the 2003 Staten
Island Ferry allision, which resulted in more than $8 million in
damages and losses, and the 2007 Cosco Busan incident, which resulted
in more than $70 million in environmental damages and other losses.
Both casualties were directly attributed to the pilot's inability to
properly manage the vessel due to underlying medical conditions that
were not reported to the Coast Guard within the 5-year medical
certificate validity period. The risk that mariners can develop new
medical conditions within the 5-year medical certificate validity
period is mitigated by the self-reporting requirements. Taking into
account these maritime casualties, and the potential for extraordinary
damages to the public, the environment, and the maritime industry, the
Coast Guard does not deem any potential benefit derived from excluding
the interim self-reporting requirement on behalf of FCPs to be worth
the risk involved.
Alternative 3. The third alternative we considered was extending
the maximum period of validity of the medical certificate to 5 years,
and requiring FCPs to submit the results of their annual physical
examinations to the Coast Guard between medical certificate
applications if the mariner: (1) does not meet the physical ability
requirements; (2) has a condition that does not meet the medical,
vision, or hearing requirements; (3) is deemed ``not recommended'' by a
medical practitioner for a medical certificate; or (4) is so requested
by the Coast Guard. With this third alternative, FCPs would apply for
the medical certificates every 5 years and would have to report the
results of their medical examination between applications only if any
of the four conditions apply. This alternative mitigates the potential
for increased safety risks identified under the second alternative,
resulting from having mariners with underlying medical issues operating
as FCPs. The potential for risk is increased when the Coast Guard does
not have the opportunity to review the physical examinations of
mariners whose medical practitioners have diagnosed them with medical
conditions that may impact their piloting performance. Therefore, the
third alternative was chosen in this rule.
B. Small Entities
Under the Regulatory Flexibility Act, 5 U.S.C. 601-612, we have
considered whether this rule will have a significant economic impact on
a substantial number of small entities. The term ``small entities''
comprises small businesses, not-for-profit organizations that are
independently owned and operated and are not dominant in their fields,
and governmental jurisdictions with populations of less than 50,000.
This rule will reduce the burden on industry by extending the
maximum period of validity of merchant mariner medical certificates for
FCPs and masters and mates serving as pilot from 2 years to 5 years.
Because the medical certificate application is submitted by the mariner
and not an employer, the affected mariners will receive the cost
savings from this rule. Hence, the changes in this rule will affect
individuals, not businesses or other small entities as defined by the
Small Business Administration in 13 CFR 121.201.
Therefore, the Coast Guard certifies under 5 U.S.C. 605(b) that
this rule will not have a significant economic impact on a substantial
number of small entities.
C. Assistance for Small Entities
Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996, Public Law 104-121, we offer to assist small
entities in understanding this rule so that they can better evaluate
its effects on them and participate in the rulemaking. The Coast Guard
will not retaliate against small entities that question or complain
about this rule or any policy or action of the Coast Guard.
Small businesses may send comments on the actions of Federal
employees who enforce, or otherwise determine compliance with, Federal
regulations to the Small Business and Agriculture Regulatory
Enforcement Ombudsman and the Regional Small Business Regulatory
Fairness Boards. The Ombudsman evaluates these actions annually and
rates each agency's responsiveness to small business. If you wish to
comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR
(1-888-734-3247).
D. Collection of Information
This rule calls for a change to an existing collection of
information under the Paperwork Reduction Act of 1995, 44 U.S.C. 3501
3520. As defined in 5 CFR 1320.3(c), ``collection of information''
comprises reporting, recordkeeping, monitoring, posting, labeling, and
other similar actions. The title and description of the information
collection, a description of those who must collect the information,
and an estimate of the total annual burden follow. The estimate covers
the time for reviewing instructions, searching existing sources of
data, gathering and maintaining the data needed, and completing and
reviewing the collection.
The information collection associated with this rule is the
currently approved collection, OMB Control No. 1625-0040, Application
for Merchant Mariner Credentials and Medical Certificates, which covers
all information collected for merchant mariner credentialing. The
revisions to 46 CFR 10.301 and 15.401 will extend the maximum validity
period of the mariner medical certificate for FCPs and masters or mates
serving as pilot from 2 years to 5 years. The change to the maximum
validity period of the medical certificate for pilots will reduce the
frequency and burden of response estimates of the current information
collection request.
Title: Application for Merchant Mariner Credentials and Medical
Certificates.
OMB Control Number: 1625-0040.
Summary of the Collection of Information: The Coast Guard currently
collects information from merchant mariners with their applications for
MMCs and merchant mariner medical certificates. This collection
includes the following information requests: signature of the applicant
and supplementary material required to show that the mariner meets the
mandatory requirements for the credential or medical certificate
sought; proof of the applicant passing all applicable vision, hearing,
medical, and physical examinations; negative chemical test for
dangerous drugs;
[[Page 66589]]
discharges or other documentary evidence of sea service indicating the
name, tonnage, propulsion mode and power of the vessels, dates of
service, capacity in which the applicant served, and on what waters;
and disclosure documentation for narcotics, driving while intoxicated
or under the influence, or other convictions.
Need for Information: Title 46 U.S.C. Subtitle II, Part E, 46 CFR
part 10 subpart B, the STCW Convention and STCW Code, including the
STCW final rule (78 FR 77796), require MMC and medical certificate
applicants to apply at one of the Coast Guard's 17 RECs located
nationwide, or any other location designated by the Coast Guard. MMCs
are established for individuals who are required to hold a credential
under Subtitle II. The Coast Guard has the responsibility of issuing
MMCs and medical certificates to applicants found qualified as to age,
character, and habits of life, experience, professional qualifications,
and physical fitness. The instruments contained within OMB Control No.
1625-0040 serve as a means for the applicant to apply for an MMC and a
medical certificate.
Proposed Use of Information: The Coast Guard conducts this
collection of information solely for the purpose of determining
eligibility for the issuance of an MMC or medical certificate, in
accordance with applicable statutes and regulations. This evaluation is
performed on occasion, meaning as submitted by the respondent when they
apply for an MMC or medical certificate. In general, applicants for an
MMC must submit the ``Application for Merchant Mariner Credential,''
form CG-719B, every 5 years for renewal, or when seeking a new
endorsement or raise of grade, and applicants for a medical certificate
must submit the form CG-719K every 2 years or every 5 years, depending
upon the type of credential endorsements held and the applicant's
medical status. The Coast Guard evaluates the collected information to
determine whether applicants are qualified to serve under the authority
of the requested credential with respect to their medical fitness,
their professional qualifications, and their safety and suitability.
Description of the Respondents: All applicants for an MMC, whether
original, renewal, duplicate, raise of grade, or a new endorsement on a
previously issued MMC, are included in this collection. Medical
certificates are issued with three expiration dates based on the
endorsement type. The effective expiration date depends upon the
authority upon which the mariner is currently sailing, which may be on
a National MMC endorsement, an international STCW endorsement, or a
pilot endorsement. This rule only changes the maximum validity period
of the pilot endorsement merchant mariner medical certificate from 2
years to 5 years, which applies only to FCPs and masters or mates
serving as pilot.
Number of Respondents: This rule will reduce the annual number of
respondents by 7,324 over a 10-year period of analysis. As a result,
the total annual respondents for this collection will change from
18,316 to 10,992.
Frequency of Response: For FCP endorsements, the annual average
reduction will be 1,794. The responses are annual and will result in a
reduction in the number of medical certificate submissions of the form
CG-719K from 54,800 to 44,034 (54,800-10,766 = 44,034).
Burden of Response: The total hourly burden per response is
estimated at 18 minutes, or 0.30 hours. This rule will reduce the
aggregate burden of hours associated with the submission of the medical
certification applications by extending the validity period from every
2 years to every 5 years. Therefore, the total annual response time for
submitting a new medical certificate will decrease by approximately
3,587 hours (138 hrs. via mail submissions + 1,654 hrs. in person
submissions + 1,794 government hrs. review). However, the hourly burden
per response will remain unchanged.
Estimate of Total Annual Burden: The Coast Guard estimates that the
total annual burden with the change to the medical certificate validity
period for FCPs will be 16,286 hours a year, which is a 154-hour
reduction in burden from the current corresponding collection total of
16,440 hours.
As required by 44 U.S.C. 3507(d), we will submit a copy of this
rule to OMB for its review of the collection of information. You are
not required to respond to a collection of information unless it
displays a currently valid OMB control number.
E. Federalism
A rule has implications for federalism under Executive Order 13132
(Federalism) if it has a substantial direct effect on States, on the
relationship between the National Government and the States, or on the
distribution of power and responsibilities among the various levels of
government. We have analyzed this rule under Executive Order 13132 and
have determined that it is consistent with the fundamental federalism
principles and preemption requirements described in Executive Order
13132. Our analysis follows.
It is well settled that States may not regulate in categories
reserved for regulation by the Coast Guard. It is also well settled
that all of the categories covered in 46 U.S.C. 3306, 3703, 7101, and
8101 (design, construction, alteration, repair, maintenance, operation,
equipping, personnel qualification, and manning of vessels), as well as
the reporting of casualties and any other category in which Congress
intended the Coast Guard to be the sole source of a vessel's
obligations, are within the field foreclosed from regulation by the
States. See the Supreme Court's decision in United States v. Locke and
Intertanko v. Locke, 529 U.S. 89, 120 S.Ct. 1135 (2000) (finding that
the states are foreclosed from regulating tanker vessels). See also Ray
v. Atlantic Richfield Co., 435 U.S. 151, 157 (1978) (state regulation
is preempted where ``the scheme of federal regulation may be so
pervasive as to make reasonable the inference that Congress left no
room for the States to supplement it [or where] the Act of Congress may
touch a field in which the federal interest is so dominant that the
federal system will be assumed to preclude enforcement of state laws on
the same subject.'' (Citations omitted). Because this rule involves the
credentialing of mariners under 46 U.S.C. 7101, it relates to personnel
qualifications and, as a result, is foreclosed from regulation by the
States. Therefore, because the States may not regulate within these
categories, this rule is consistent with the fundamental federalism
principles and preemption requirements described in Executive Order
13132.
F. Unfunded Mandates
The Unfunded Mandates Reform Act of 1995, 2 U.S.C. 1531-1538,
requires Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, the Act addresses actions that may
result in the expenditure by a State, local, or tribal government, in
the aggregate, or by the private sector of $100,000,000 (adjusted for
inflation) or more in any one year. Although this rule will not result
in such expenditure, we do discuss the effects of this rule elsewhere
in this preamble.
G. Taking of Private Property
This rule will not cause a taking of private property or otherwise
have taking implications under Executive Order 12630 (Governmental
Actions and Interference with Constitutionally Protected Property
Rights).
[[Page 66590]]
H. Civil Justice Reform
This rule meets applicable standards in sections 3(a) and 3(b)(2)
of Executive Order 12988 (Civil Justice Reform) to minimize litigation,
eliminate ambiguity, and reduce burden.
I. Protection of Children
We have analyzed this rule under Executive Order 13045 (Protection
of Children from Environmental Health Risks and Safety Risks). This
rule is not an economically significant rule and will not create an
environmental risk to health or risk to safety that might
disproportionately affect children.
J. Indian Tribal Governments
This rule does not have tribal implications under Executive Order
13175 (Consultation and Coordination with Indian Tribal Governments),
because it will not have a substantial direct effect on one or more
Indian tribes, on the relationship between the Federal Government and
Indian tribes, or on the distribution of power and responsibilities
between the Federal Government and Indian tribes.
K. Energy Effects
We have analyzed this rule under Executive Order 13211 (Actions
Concerning Regulations That Significantly Affect Energy Supply,
Distribution, or Use). We have determined that it is not a
``significant energy action'' under that order because it is not a
``significant regulatory action'' under Executive Order 12866 and is
not likely to have a significant adverse effect on the supply,
distribution, or use of energy.
L. Technical Standards
The National Technology Transfer and Advancement Act, codified as a
note to 15 U.S.C. 272, directs agencies to use voluntary consensus
standards in their regulatory activities unless the agency provides
Congress, through OMB, with an explanation of why using these standards
would be inconsistent with applicable law or otherwise impractical.
Voluntary consensus standards are technical standards (e.g.,
specifications of materials, performance, design, or operation; test
methods; sampling procedures; and related management systems practices)
that are developed or adopted by voluntary consensus standards bodies.
This rule does not use technical standards. Therefore, we did not
consider the use of voluntary consensus standards.
M. Environment
We have analyzed this rule under Department of Homeland Security
Management Directive 023-01, Rev. 1, associated implementing
instructions, and Environmental Planning COMDTINST 5090.1 (series),
which guide the Coast Guard in complying with the National
Environmental Policy Act of 1969 (42 U.S.C. 4321-4370f), and have
determined that this action is one of a category of actions that do not
individually or cumulatively have a significant effect on the human
environment. A Record of Environmental Consideration supporting this
determination is available in the docket. For instructions on locating
the docket, see the ADDRESSES section of this preamble.
This rule is categorically excluded under paragraphs L56 and L54 of
Appendix A, Table 1 of DHS Instruction Manual 023-01-001-01, Rev 1.
Paragraph L56 pertains to regulations concerning the training,
qualifying, licensing, and disciplining of maritime personnel.
Paragraph L54 pertains to regulations which are editorial or
procedural. This rule involves amending the maximum period of validity
of merchant mariner medical certificates from 2 years to 5 years for
FCPs, and masters or mates serving as pilot on vessels of 1,600 GRT or
more. Additionally, the rule includes an extension of the annual
physical examination submission requirement from every other year to
every 5 years, as long as circumstances do not require more frequent
submissions of annual physical examination results to ensure maritime
and public safety.
List of Subjects
46 CFR Part 10
Penalties, Personally identifiable information, Reporting and
recordkeeping requirements, Seamen.
46 CFR Part 11
Penalties, Reporting and recordkeeping requirements, Schools,
Seamen.
46 CFR Part 15
Reporting and recordkeeping requirements, Seamen, Vessels.
For the reasons discussed in the preamble, the Coast Guard amends
46 CFR parts 10, 11, and 15 as follows:
PART 10--MERCHANT MARINER CREDENTIAL
0
1. The authority citation for part 10 is revised to read as follows:
Authority: 14 U.S.C. 503; 31 U.S.C. 9701; 46 U.S.C. 2101, 2103,
2110; 46 U.S.C. chapter 71; 46 U.S.C. chapter 73; 46 U.S.C. chapter
75; 46 U.S.C. 2104; 46 U.S.C. 7701, 8903, 8904, and 70105; E.O.
10173; DHS Delegation No. 00170.1, Revision No. 01.2.
Sec. 10.301 [Amended]
0
2. Amend Sec. 10.301 by:
0
a. Removing paragraph (b)(2) and redesignating paragraph (b)(3) as
(b)(2);
0
b. Redesignating paragraph (c) as paragraph (d);
0
c. Redesignating paragraph (b)(4) as paragraph (c).
PART 11--REQUIREMENTS FOR OFFICER ENDORSEMENTS
0
3. The authority citation for part 11 is revised to read as follows:
Authority: 14 U.S.C. 503; 31 U.S.C. 9701; 46 U.S.C. 2101, 2103,
and 2110; 46 U.S.C. chapter 71; 46 U.S.C. 7502, 7505, 7701, 8906,
and 70105; E.O. 10173; DHS Delegation No. 00170.1, Revision No.
01.2. Section 11.107 is also issued under the authority of 44 U.S.C.
3507.
0
4. Amend Sec. 11.709 by:
0
a. Revising paragraph (b);
0
b. Removing paragraph (c);
0
c. Redesignating paragraph (d) as paragraph (c); and
0
d. Adding a new paragraph (d).
The revisions and additions read as follows:
Sec. 11.709 Annual physical examination requirements.
* * * * *
(b) Every person holding an MMC endorsement as first-class pilot,
or a master or mate serving as a pilot under Sec. 15.812 of this
subchapter, must have a thorough physical examination each year. This
annual physical examination must be completed by the first day of the
month following the anniversary of the individual's most recently
completed Coast Guard-required physical examination. Each annual
physical examination must meet the requirements specified in 46 CFR,
part 10, subpart C, and be recorded on the form CG-719K.
(1) Every five years, in accordance with the medical certificate
requirements in Sec. Sec. 10.301(b), 10.302(a), and 10.304(d) of this
chapter, the results of the most recent physical examination must be
submitted to the Coast Guard.
(2) The results of the physical examination must also be submitted
to the Coast Guard no later than 30 calendar days after completion of
the physical examination in any of the following circumstances:
(i) The examining medical practitioner documents that the
individual does not meet the physical
[[Page 66591]]
ability requirements as set forth in Sec. 10.304(c) of this
subchapter;
(ii) The examining medical practitioner documents that the
individual has a condition that does not meet the general medical exam
requirements described in Sec. 10.304(a), the vision requirements
described in Sec. 10.305, or the hearing requirements described in
Sec. 10.306 of this subchapter;
(iii) The examining medical practitioner documents on a CG-719K
that the individual is not recommended for a medical certificate or
needs further review by the Coast Guard as set forth in Sec. 10.301(a)
of this subchapter; or
(iv) If the Coast Guard requests the results of an examination,
they must be submitted no later than 30 calendar days after the date of
the request.
* * * * *
(d) A master or mate may not serve as a pilot on a vessel 1,600 GRT
or more under Sec. 15.812 of this subchapter if the person does not
meet the physical examination requirements provided in paragraph (b) of
this section.
PART 15--MANNING REQUIREMENTS
0
5. The authority citation for part 15 is revised to read as follows:
Authority: 46 U.S.C. 2101, 2103, 3306, 3703, 8101, 8102, 8103,
8104, 8105, 8301, 8304, 8502, 8503, 8701, 8702, 8901, 8902, 8903,
8904, 8905(b), 8906 and 9102; and DHS Delegation No. 00170.1,
Revision No. 01.2.
Sec. 15.401 [Amended]
0
6. Amend Sec. 15.401 by:
0
a. In paragraph (a), remove in the first sentence the words, ``license,
certificate of registry, Merchant Mariner's Document (MMD),'' and
remove from the second sentence the words, ``license, certificate of
registry, MMD, or'';
0
b. In paragraph (c)(1), remove the words, ``After January 1, 2017,
two'' and add, in its place the word, ``Two'';
0
c. Remove paragraph (c)(2) and redesignate paragraph (c)(3) as
paragraph (c)(2); and
0
d. In paragraphs (d) and (e), remove wherever they appear the words,
``MMD or''.
0
7. In Sec. 15.812, amend Table 1 to Sec. 15.812(e)(1), by revising
the second row to read as follows:
Sec. 15.812 Pilots.
* * * * *
Table 1 to Sec. 15.812(e)(1)--Quick Reference Table for Federal Pilotage Requirements for U.S.-Inspected, Self-
Propelled Vessels, Not Sailing on Register
----------------------------------------------------------------------------------------------------------------
Designated areas of pilotage waters Non-designated areas of
(routes for which First-Class Pilot's pilotage waters (between the
licenses or MMC officer endorsements are 3-mile line and the start of
issued) traditional pilotage routes)
----------------------------------------------------------------------------------------------------------------
* * * * * * *
Inspected self-propelled vessels not First-Class Pilot, or Master or Mate may Master or Mate may serve as
more than 1,600 GRT, authorized by serve as pilot if he or she-- pilot if he or she--
their COI to proceed beyond the 1. Is at least 21 years old; 1. Is at least 21 years old;
Boundary Line, or operating on the 2. Maintains current knowledge of the and
Great Lakes. waters to be navigated; and\1\ 2. Maintains current
3. Has four roundtrips over the route.\2\ knowledge of the waters to
be navigated.\1\
* * * * * * *
----------------------------------------------------------------------------------------------------------------
\1\ One roundtrip within the past 60 months.
\2\ If the route is to be traversed during darkness, one of the four roundtrips must be made during darkness.
* * * * *
Dated: October 21, 2022.
W.R. Arguin,
Rear Admiral, U.S. Coast Guard, Assistant Commandant for Prevention
Policy.
[FR Doc. 2022-23339 Filed 11-3-22; 8:45 am]
BILLING CODE 9110-04-P
