Rule2022-23339
Pilots' Medical Certificate Validity Period
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
November 4, 2022
Effective
February 1, 2023
Issuing agencies
Homeland Security DepartmentCoast Guard
Abstract
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.
Full Text
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<title>Federal Register, Volume 87 Issue 213 (Friday, November 4, 2022)</title>
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[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 [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-23339]
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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.
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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 <a href="https://www.regulations.gov">https://www.regulations.gov</a>, 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
<a href="/cdn-cgi/l/email-protection#51342338327f377f3c303d2b3a24393f11242232367f3c383d"><span class="__cf_email__" data-cfemail="1570677c763b733b7874796f7e607d7b55606676723b787c79">[email protected]</span></a>.
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
<a href="https://www.regulations.gov">https://www.regulations.gov</a>.
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\ <a href="https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/pdf/2020/DCB_h.pdf">https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/pdf/2020/DCB_h.pdf</a>.
\5\ <a href="https://www.cbo.gov/system/files/115th-congress-2017-2018/reports/52637-federalprivatepay.pdf">https://www.cbo.gov/system/files/115th-congress-2017-2018/reports/52637-federalprivatepay.pdf</a>.
\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\ <a href="https://www.bls.gov/oes/2020/may/oes535021.htm">https://www.bls.gov/oes/2020/may/oes535021.htm</a> (see Mean
Hourly Wage value, National estimates for this occupation box).
\10\ <a href="https://www.bls.gov/news.release/archives/ecec_03192020.pdf">https://www.bls.gov/news.release/archives/ecec_03192020.pdf</a>, 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\ <a href="https://www.census.gov/newsroom/press-releases/2021/one-way-travel-time-to-work-rises.html">https://www.census.gov/newsroom/press-releases/2021/one-way-travel-time-to-work-rises.html</a>.
\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, <a href="https://safety.fhwa.dot.gov/speedmgt/data_facts/">https://safety.fhwa.dot.gov/speedmgt/data_facts/</a>.
---------------------------------------------------------------------------
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\ <a href="https://www.gsa.gov/travel/plan-book/transportation-airfare-pov-etc/privately-owned-vehicle-pov-mileage-reimbursement-rates">https://www.gsa.gov/travel/plan-book/transportation-airfare-pov-etc/privately-owned-vehicle-pov-mileage-reimbursement-rates</a>.
---------------------------------------------------------------------------
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
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