Electronic Submission of Mariner Course Completion Data
Federal RegisterNov 25, 2024
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DEPARTMENT OF HOMELAND SECURITY
Coast Guard
46 CFR Parts 10, 11, 12, 13, 15, 16, 30, 35, and 39
[Docket No. USCG-2021-0097]
RIN 1625-AC75
Electronic Submission of Mariner Course Completion Data
AGENCY:
Coast Guard, DHS.
ACTION:
Final rule.
SUMMARY:
The Coast Guard is requiring Coast Guard-approved training providers to electronically submit student course completion data to the Coast Guard within 5 business days of completion. The National Maritime Center will use this information to validate mariner course completion as part of an application for a Merchant Mariner Credential. In addition, the Coast Guard is replacing gendered titles for certain officer and rating endorsements in keeping with Coast Guard policy of using gender-neutral language whenever possible. We expect these changes to improve the Coast Guard's verification process of mariner credential applications and to appropriately conform terms that should be gender neutral.
DATES:
This final rule is effective January 17, 2025. Reporting requirements in 46 CFR 10.403(a)(7) need not be complied with until November 25, 2026. The incorporation by reference of certain material listed in the rule was approved by the Director of the Federal Register as of July 6, 2016.
ADDRESSES:
To view documents mentioned in this preamble as being available in the docket, go to
www.regulations.gov,
type USCG-2021-0097 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 Mr. Brian T. Eichelberger, Office of Merchant Mariner Credentialing, Coast Guard; telephone 202-372-1450, email
Brian.T.Eichelberger@uscg.mil.
SUPPLEMENTARY INFORMATION:
Table of Contents for Preamble
I. Abbreviations
II. Basis and Purpose, and Regulatory History
III. Discussion of Comments and Changes
IV. Discussion of the Rule
V. 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
CSV Comma-Separated values
DHS Department of Homeland Security
FR Federal Register
GS General Schedule
ICR Information collection request
IT Information technology
MMC Merchant Mariner Credential
MMLD Merchant Mariner Licensing and Documentation
MRN Mariner reference number
MTAD Mariner Training and Assessment Data
NMC National Maritime Center
NPRM Notice of proposed rulemaking
OMB Office of Management and Budget
PII Personally identifiable information
PDF Portable document format
QSS Quality Standard System
RA Regulatory analysis
SME Subject matter expert
SSN Social security number
STCW International Convention on Standards of Training, Certification, and Watchkeeping, 1978, as amended
§ Section
U.S.C. United States Code
II. Basis and Purpose, Background and Regulatory History
The legal basis of this rulemaking is Title 46 of the United States Code (U.S.C.), Sections 7101(b) and 7301(b), which authorize the Secretary of the department in which the Coast Guard is operating to prescribe regulations relating to issuing Merchant Mariner Credentials (MMCs) with officer and rating endorsements. The Secretary of the Department of Homeland Security (DHS) has delegated the rulemaking authority under 46 U.S.C. 7101(b) and 7301(b) to the Coast Guard through 46 U.S.C. 2104 and DHS Delegation No. 00170.1, Revision No. 01.4, paragraph (II)(92)(e). Additionally, 14 U.S.C. 102(3) grants the Coast Guard broad authority to issue and enforce regulations to promote safety of life and property on waters subject to the jurisdiction of the United States, which includes establishing the experience, professional qualifications, and processes required for issuing credentials.
The Coast Guard issues MMCs to mariners who have met the regulatory requirements for individual endorsement(s), as described in title 46 of the Code of Federal Regulations (CFR), parts 10, 11, 12, and 13. Professional requirements for an MMC endorsement generally include sea service, completion of Coast Guard-approved training, and having a met a standard of competence through practical demonstration and completion of a written examination. The general standards for Coast Guard-approved courses and programs are found in 46 CFR 10.403. Coast Guard-approved training providers are required to maintain physical or electronic records of all students who took a course for at least 5 years after the completion of the course.
Starting November 25, 2026, this final rule will require Coast Guard-approved training providers to submit students' course completion data electronically to the Coast Guard within 5 business days of the course ending. This action lessens the probability of issuing MMCs to mariners who have not met the professional requirements for their endorsements and improves the efficiency of the credentialing process. In addition, this final rule replaces gendered titles for certain officer and rating endorsements to align with the Coast Guard's policy of using gender-neutral language whenever feasible, capitalizes the endorsements for uniformity, removes some references to an obsolete Coast Guard document, and makes editorial changes such as replacing “shall” with “must” and “his or her” with “their”.
The Coast Guard published a notice of proposed rulemaking (NPRM) on May 5, 2023 (88 FR 29013), explaining the MMC application process and proposing these changes—minus the delay in implementing reporting requirements. In response, we received three comments and subsequently made changes to the regulatory text based on the comments.
III. Discussion of Comments and Changes
Of the three comments received by the Coast Guard, one commenter strongly supported the rule, particularly the gender-neutral language measures. The remaining two commenters had recommendations for the Coast Guard to consider.
One of the commenters, hereafter “Commenter 1”, recommended that the submission period for Coast Guard-approved training providers to submit students' course completion data to the Coast Guard should be 10 business days instead of the 5-day period that was included in the proposed rule.
The Coast Guard has elected to retain the 5-day submission period. Our reason
for this decision is that the majority of mariners will take a course and then apply for an endorsement immediately after completing the course. Requiring Coast Guard-approved training providers to submit the data within a 5-day period ensures that the course completion data will be uploaded to the mariner's file within the Merchant Mariner Licensing and Documentation (MMLD)
1
database promptly, and the application process will not be delayed.
1
https://www.dhs.gov/publication/dhsuscgpia-015-merchant-mariner-licensing-and-documentation-system
(last accessed January 18, 2024).
Commenter 1 also urged the Coast Guard to limit the data submission requirement to students who have passed the course.
The Coast Guard agrees with this suggestion and notes that, as proposed in the NPRM, the requirement to submit course completion data is limited to “each student who successfully completes an approved course or program.”
Commenter 1 further recommended that hard-copy certificates issued to students should be optional and allow for electronic or portable document format (PDF) certificates. Another commenter, hereafter “Commenter 2”. recommended that the Coast Guard no longer support the issuance of hard-copy course completion certificates.
The Coast Guard does not require approved training providers to issue hard copies of certificates to students who complete the course. Coast Guard-approved training providers, however, may continue to issue certificates as they have historically done for students who complete the course or program. That is, Coast Guard-approved training providers can issue the certificates to students via email, PDF, or hard copy. Coast Guard-approved training providers should continue to issue course completion certificates to students so they can submit them with their application for an MMC, in order to validate the certificates with the course completion data submitted electronically by the training provider.
Commenter 1 recommended that the submission of the course completion data should allow for comma-separated values (CSV) files for easy upload, and also allow for direct system entry.
The existing Homeport system currently supports this file type. It is a role-based environment that brings together Coast Guard personnel, members of the maritime community, and other designated individuals, allowing them to share information, and for records to be submitted by either single entry via webform or by multiple entries at once using a CSV file.
Commenter 1 recommended a 2-year phased in approach, where a 2-year period should be given to Coast Guard-approved training providers to implement these new requirements. The commenter also suggested that the phase-in periods should be based on course approval or expiration dates.
The Coast Guard agrees with this recommendation and has edited the preamble and regulatory text consistent with this recommendation.
The Coast Guard, however, declines to adopt the recommendation that the phase-in period should be based on course approval or expiration dates. Although course approvals are valid for 5 years, not all courses or programs are approved for the same 5-year calendar period. The Coast Guard's intention is to bring all training course providers into compliance at the same time. Coast Guard-approved training providers will have until 2 years after the effective date of this rule to come into compliance with the new requirements.
Commenter 1 also stated that the Coast Guard needs a faster, more user-friendly system for uploading course completion data. The Coast Guard agrees, and has long-term plans for developing a more secure, agile, and user-friendly system in the future. For now, providers comply with the requirements of this rule by submitting data through Homeport.
Commenter 2 urged the Coast Guard to revise the Code of Federal Regulations (CFR) to eliminate any use of gendered pronouns from the proposed text. In addition, this commenter provided a list of sections within parts 30, 31, 32, and 35 where “his or her” remains in use.
The Coast Guard agrees with the recommendation to eliminate the use of gendered pronouns from the proposed text and has made edits accordingly. The Coast Guard appreciates the information listing additional instance where “his or her” remains in use and will evaluate whether to amend these parts when we draft our annual technical amendments.
Commenter 2 also suggested that Coast Guard-approved training providers should include a mariner's social security number (SSN) on their course completion certificate.
The Coast Guard does not accept this recommendation. Mariners provide their SSNs as required on the Application for Merchant Mariner Credential (Form CG-719B), and they are issued a mariner reference number (MRN) after they apply for their original MMC. The MRN is used by the Coast Guard to identify the mariner in all future credentialing transactions, and all records are matched to the MRN rather than the SSN.
Commenter 2 believes that the proposed language in 46 CFR 10.403, paragraph (a)(7), could be revised to make it clear that Coast Guard-approved training providers must submit the information listed in subparagraphs (i) through (iv).
The Coast Guard agrees with the comment and has made editorial changes to the text to make that clear.
Commenter 2 also suggested that the Coast Guard update 46 CFR 10.402(b)(8) by requiring the same information listed in 46 CFR 10.403(a)(7)(i) through (iv) be included on the sample course completion certificates that Coast Guard-approved training providers submit to the Coast Guard for approval of a specific course or program.
As the NPRM did not discuss changes course and proposal approval requirements, these changes are outside the scope of this rulemaking.
IV. Discussion of the Rule
This rule amends 46 CFR 10.403 to require Coast Guard-approved training providers to submit course completion data electronically to the National Maritime Center (NMC) for each student who successfully completes a Coast Guard-approved course or program. Under this rule this data must be submitted electronically within 5 business days of the completion of any Coast Guard-approved course or program. Coast Guard-approved training providers will submit this data through Homeport to comply with this requirement until the Coast Guard announces the availability of a new method of compliance.
2
2
Homeport is the Coast Guard's enterprise internet portal for the maritime community and can be accessed at
https://homeport.uscg.mil/.
Mariners submitting course completion data to the Coast Guard as part of their MMC application, and Coast Guard-approved training providers submitting course completion data electronically to the Coast Guard, must attest, under criminal penalty, that the records are accurate to the best of their knowledge and that no false entries or statements were made. See 18 U.S.C. 1001. The NMC will use this information to confirm that the applicant has completed the training required for the requested MMC endorsement. Requiring all Coast Guard-approved training providers to submit this data electronically improves the efficiency of the credentialing process and allows for the validation of course
completion data ensuring the mariner meets the requirements for issuance of an endorsement. Under the process utilized prior to implementation of this rule, when a mariner submits an application, NMC personnel evaluate what is submitted and input the information into the mariner's training record within the MMLD database. If the course has not been electronically submitted by the training provider, then the evaluator has to enter the course completion information into the MMLD database manually. Under the process as implemented by this rule, NMC evaluators can use the data submitted electronically by training providers to verify quickly that the information submitted by the training provider is identical to the information submitted by the mariner with their application.
Providing 5 business days to submit course completion data ensures that a mariner's application will not be delayed due to the NMC waiting for training providers to submit the course completion data. By reducing delays in issuing an MMC, this final rule can help avoid loss of employment for a mariner, which supports NMC's mission to issue credentials to fully qualified mariners in the most effective and efficient manner possible.
Although the Coast Guard will electronically receive course completion data under this final rule, Coast Guard-approved training providers should continue to issue course completion certificates to their students, as mariners will still be responsible for including their course completion certificates as supporting documentation with their MMC application package (46 CFR 10.209(d)). This allows Coast Guard evaluators to validate the information submitted by the mariner with their MMC application against information submitted electronically by the training provider.
Under this final rule, training providers are required to submit the name of the training provider, the training provider's Coast Guard-issued provider code, the title of the Coast Guard-approved course or program, the Coast Guard-issued course code, the dates the training provider held the course, and the name of the approved instructor. This information allows the Coast Guard to validate that the course is one that has been approved by the Coast Guard and conducted by an approved instructor, and to verify the dates the course was held. The electronic submission also requires the student's full name as it appears on their MMC or other valid Government-issued identification, and their Coast Guard-issued MRN, or their date of birth and place of birth if they do not have an MRN.
The Coast Guard is currently in the process of developing a replacement for the MMLD database with a more secure, agile, and user-friendly system that provides better service to the maritime industry. Since the new system has yet to be developed, the best way for training providers to comply with the requirements is to electronically submit course completion data through Homeport. The Coast Guard realizes that Homeport does not have all the data fields listed that are required for this rule. Until Homeport or other means of electronic submission is updated, training providers will need to input only data currently required in Homeport for submittal of course completion. Some of the data required by this rule to be submitted electronically, including course instructor name and date of birth (if a mariner currently does not have a reference number) cannot currently be inputted into Homeport. In the event a new system is developed and becomes fully operational, it will be announced through publication of a
Federal Register
notice.
The Coast Guard understands that immediate compliance upon publication of the final rule may not be feasible for many training providers submitting mariner course completion data. For that reason, we have amended 46 CFR 10.403 from what we proposed in the NPRM so that the requirements in paragraph (a)(7) need not be met until November 25, 2026. This gives training providers 2 years from this rule's effective date to come into compliance with the new requirements. To be prepared for enforcement, training providers should request accounts for Homeport at least 90 days prior to the enforcement date of this rule. Guidance for requesting accounts to Homeport can be found on the NMC's website at
www.dco.uscg.mil/Portals/9/NMC/pdfs/training/how_to_obtain_a_homeport_account.pdf?
.
This rule also amends 46 CFR parts 10, 11, 12, 13, 15, 16, 30, 35, and 39 to ensure the titles of certain officer and rating endorsements are gender neutral. In this initiative, the Coast Guard is amending the following endorsement titles as described in table 1:
Table 1—Nomenclature Changes to 46 CFR Parts 10, 11 12, 13, 15, 16, 30, 35, and 39
Prior to this rule
As amended by this rule
Apprentice mate (steersman)
Apprentice Mate of Towing Vessels.
Crewman
Crewmember.
Fireman
Boiler Technician.
Hospital corpsman
Medical Technician.
Lifeboatman
Lifeboat Operator, Lifeboat Operator-Limited.
Pumpman
Pump Technician.
Seaman
Seafarer, Able Seafarer-Unlimited, Able Seafarer-Limited, Able Seafarer-Special, Able Seafarer-Offshore Supply Vessel, Able Seafarer-Sail, Able Seafarer-Fishing Industry.
Tankerman
Tank Vessel-PIC, Tank Barge-PIC, Restricted Tank Vessel-PIC, Restricted Tank Barge-PIC. Tank Vessel-Assistant, Tank Vessel-Engineer.
Upon the effective date of this rule, the Coast Guard will issue endorsements using the endorsement titles as implemented by this rule. Mariners do not have to apply to have the endorsement titles changed on their MMCs. The endorsement titles will be updated at the next credential transaction when an application is submitted to the Coast Guard.
With this final rule, the Coast Guard is changing the title of the Able Seaman endorsement to Able Seafarer. To differentiate in 46 CFR 10.231(c)(6)(ii) between the already established International Convention on Standards of Training, Certification, and Watchkeeping, 1978, as amended (STCW) endorsements of Able Seafarer-Deck and Able Seafarer-Engine and the Able Seafarer endorsement, the endorsement will be referred to as national Able Seafarer.
In some provisions of 46 CFR part 12, the legacy titles of endorsements will not be changed to the new endorsement titles. Specifically, §§ 12.501(b)(2) 12.607(b), 12.613(c), and 12.615(c) reference endorsements that would have been held before 2017 with the legacy name.
Finally, the Coast Guard is removing the expired grandfathering provisions in 46 CFR 13.603(e), 13.605(e), 13.607(e), 13.609(b), and 13.611(b). These provisions provided a method for mariners who held valid national tankerman endorsements issued before March 24, 2014, to qualify for original STCW tanker cargo operations endorsements. Any national tankerman endorsements issued before March 24, 2014, would have expired as of March 23, 2019; therefore, the grandfathering
provisions have expired. Mariners who wish to obtain original STCW tanker cargo endorsements must meet the requirements of the applicable section.
In addition to these changes, the Coast Guard is making a number of technical amendments to improve the clarity of the regulations. These changes include capitalizing certain terminology, making additional changes to gendered language, and edits for clarity. Because of these changes, our regulatory text in this final rule is significantly longer than the text in the NPRM. We have added redlines illustrating the changes to parts 13 and 15, and subpart B of part 16 to the docket where indicated under the
ADDRESSES
portion of the preamble.
V. Regulatory Analyses
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) as amended by Executive Order 14094 (Modernizing Regulatory Review), and 13563 (Improving Regulation and Regulatory 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 costs and benefits, reducing costs, harmonizing rules, and promoting flexibility.
Executive Order 13610 (Identifying and Reducing Regulatory Burdens) promotes the goals of Executive Order 13563. Executive Order 13610 aims to modernize the regulatory systems and to reduce unjustified regulatory burdens and costs on the public.
The Office of Management and Budget (OMB) has not designated this final rule a significant regulatory action under section 3(f) of Executive Order 12866, as amended by Executive Order 14094. Accordingly, OMB has not reviewed this rule.
The changes from the NPRM, as published in the
Federal Register
on May 5, 2023, to this final rule are detailed in table 2.
Table 2—Changes From the NPRM to the Final Rule
Description
NPRM
Final rule
Resulting change in regulatory analysis
Wage data for training providers and Coast Guard personnel
Wages were calculated for 2020
Wages are calculated for 2022, with new data sources for Federal employee wages
Figures have been updated with more recent data from the Bureau of Labor Statistics (BLS) and the OMB.
Cost savings for automatic verification of mariner course completion data
The use of Homeport allows for verification of course completion information submitted by mariners and course completion information submitted by training providers. This was not included as a cost savings
Identification of improved efficiency means that verification is quantified
Cost savings is now included in the rule and has produced a net savings to the Federal Government.
Period of analysis
Cost estimate was derived from the years 2010-2020
This period was updated to more recent years (2013-2022)
The period of analysis shifted to 2013-2022, using the most recently available data under a 10-year window of time.
Phase-in period
The rule was to become effective following publication in the
Federal Register
After responding to public comments, the rule now includes a 2-year phase-in period during which training providers can prepare by establishing Homeport accounts and familiarizing themselves with the new requirements
The reporting requirements in 46 CFR 10.403(a)(7) need not be complied with until 2 years after the rule is published in the
Federal Register
. This phase-in period is accounted for in the cost analysis.
Table 3 shows the summary of the estimated impacts of this final rule. A regulatory analysis follows.
Table 3—Summary of the Impacts of the Final Rule
Category
Summary
Affected Population
Approximately 327 Coast Guard-approved training providers.
Cost to Industry over 10 Years (2022 dollars, 7% discount rate)
$933,588.
Cost to Government over 10 Years (2022 dollars, 7% discount rate)
A cost savings of $142,393.
Unquantified Benefits
The final rule will improve efficiency and accuracy during the MMC evaluation process by the NMC and help ensure that mariner credentials are not issued to mariners who have not met the required qualifications.
Affected Population
As discussed in Section II. Basis and Purpose, and Regulatory History, the NMC must determine that a mariner meets the requirements for an endorsement on their MMC prior to issuance of that endorsement. Currently, the NMC makes this determination by reviewing course completion certificates submitted with an MMC application. As discussed previously, the NMC's current course completion verification process is cumbersome and time-consuming. This final rule seeks to address this issue by mandating that training providers electronically submit their course completion data to the NMC, which Coast Guard personnel will match to the mariner's MMLD profile.
Starting in 2010, the NMC launched a pilot program to collect course completion records via Homeport. Table 4 provides a 10-year historic overview of Coast Guard-approved training providers, the annual count of training providers submitting records via Homeport, and the number of records the NMC processed each year.
Table 4—Number of Approved Training Providers and Course Completion Records Submitted to the NMC, 2013-2022
Year
Approved
training
providers
Training
providers
using
Homeport
Student course completion submissions
Via mariner
applications
Via Homeport
Total
(Homeport
plus mariner
application
submissions)
2013
330
36
49,577
12,110
61,687
2014
329
43
57,119
13,051
70,170
2015
340
43
51,890
19,491
71,381
2016
343
44
57,207
20,248
77,455
2017
338
49
47,074
25,125
72,199
2018
340
41
45,812
21,031
66,843
2019
322
33
49,435
12,834
62,269
2020
318
26
39,866
8,208
48,074
2021
322
24
46,194
9,049
55,243
2022
289
28
48,395
13,456
61,851
Average *
327
49,257
15,460
64,717
* Averages rounded to the nearest whole number. Averages for “Training Providers using Homeport” are not calculated, as this rule will require all training providers to use Homeport.
The affected population for this final rule includes training providers approved by the NMC who offer training courses for MMC endorsements. From 2013 to 2022, the NMC reports that the number of Coast Guard-approved training providers ranged from a low of 289 to a high of 343, for an average of 327. The number of Coast Guard-approved courses offered by training providers can vary greatly each year, depending on demand for the course, instructor availability, and other factors. There were 2,515 approved courses offered in 2022.
Figure 1 shows the distribution of the number of Coast Guard-approved training providers and the number of courses they have Coast Guard approval for in a given year. According to NMC data, there are 93 training providers that offer only 1 course and 154 training providers (47 percent of all training providers) that offer up to 3 courses (see figure 1). The NMC does not track how many times a training provider offers each of their approved courses; for example, it is possible that a training provider with only 1 Coast Guard-approved course offers that course multiple times in a year. The analysis for this final rule focuses on the number of course completion records submitted, rather than the number of courses offered, in order to best account for the frequency in course offerings.
ER25NO24.000
Cost to Industry
The cost to industry for this rule is comprised of two separate components: the cost to training providers for the time spent registering for a Homeport account, and the recurring cost to training providers for submitting course completion records. To find the total cost to industry, these costs are calculated individually and then combined under a 10-year timeline.
We find the initial cost of the rule by multiplying the number of training providers who must register for a Homeport account by the time it takes to register the account by the hourly wages of those who will register. According to an NMC subject matter expert (SME) familiar with Homeport, it takes a training provider approximately 20 minutes to establish a Homeport account. Given that Homeport accounts will be mandatory for the entire affected population, the cost of the rule is estimated to include all 327 training providers, even those who have already registered a Homeport account. These training providers must all be registered by the end of the 2-year phase-in period.
According to data from the NMC, there are currently 32 training providers who have registered accounts in Homeport, which means an additional 295 must be registered by the end of the 2-year phase-in period. For this analysis, we assume that half the remaining providers will register during the first year of the implementation period and half will register during the second year. That is, 147 training providers will register in the first year (along with the 32 training providers already registered), and the remaining 148 training providers will register in the second year.
After the training providers have all established their Homeport accounts, we expect any new training providers will register as they are approved by the NMC. We can anticipate these future training providers by examining the fluctuations in training providers from 2013 to 2022. Instances in which the population of training providers declined can be ignored (there is no cost to training providers for leaving the field), and the anticipated yearly number of new training providers can be found by finding the 10-year historic average for years when the count of training providers increased. As calculated from table 4, there have been 18 new Homeport accounts created over the 10-year period of the analysis. Rounding to the nearest whole number, the 10-year average for new training providers is two (2) training providers per year.
When calculating hourly wages, the Coast Guard must account not only for the hourly wages of personnel, but also for the additional costs the employer must pay to employ that individual, such as payroll taxes, Social Security, and insurance. These additional costs, when added to wages, are considered the “total compensation” of that job. To find the total compensation of training providers, the Coast Guard researched the wages and total compensation for the education industry as a whole, as provided by the BLS, and divided the total cost of employment by wages in order to find their ratio. This number is considered the “load factor” that, when multiplied by wages, produces the total cost of employing a training provider.
The loaded mean hourly wage rate of submitters is approximately $51.06 for 2022, derived from an unloaded mean hourly wage rate of $33.59
3
for Training and Development Specialists and a load factor of 1.52.
4
3
The 2022 mean hourly wage rate of $33.59 is for Training and Development Specialists.
https://www.bls.gov/oes/2022/may/oes131151.htm
(last accessed January 18, 2024)
.
4
Bureau of Labor Statistics,
Employer Costs For Employee Compensation—March 2022.
“Table 2, Employer Costs for Employee Compensation for civilian workers by occupational and industry group.”
https://www.bls.gov/news.release/archives/ecec_06162022.pdf
(last accessed January 18, 2024). We calculated the load factor by dividing total compensation for education services ($57.27) by wages and salaries for education services ($37.69). (57.27/37.69 = a load factor of 1.52).
Multiplying these factors with the wages of personnel who will be responsible for registering the account, we find that the cost to industry for registering Homeport accounts over 10 years will be total of $5,838, as detailed in table 5.
Table 5—The Cost to Training Providers To Establish a Homeport Account
[2022 Dollars]
Year
Number of
training
providers
Time to complete
(hours)
Hourly
loaded wage
Total cost
1
179
.33
$51.06
$3,047
2
148
.33
51.06
2,519
3
2
.33
51.06
34
4
2
.33
51.06
34
5
2
.33
51.06
34
6
2
.33
51.06
34
7
2
.33
51.06
34
8
2
.33
51.06
34
9
2
.33
51.06
34
10
2
.33
51.06
34
Total
5,838
Note:
Figures may not sum due to rounding.
The other cost to industry for the rule is for training providers to submit course completion data through Homeport. This is calculated on a 10-year timeline. Training providers can decide between two methods for uploading course completion data into Homeport: they can upload with a direct entry system through a Hyper Text Markup Language (HTML) form, or they can use a CSV file, which can upload multiple records at once.
As discussed in table 4, the NMC provided the 10-year historical data for the number of student course completion records that training providers submitted. From 2013 to 2022, there were approximately 327 training providers responsible for generating an average of 64,717 course completion records per year. We found
the cost to training providers to submit the record electronically to the NMC by multiplying the average annual number of course completion records submitted by the time it takes to submit records and then by the hourly wages of those who will submit records.
To estimate the time cost for submitting records electronically, we surveyed training providers currently using Homeport. Under the Paperwork Reduction Act (44 U.S.C. 3501-3520), we are limited in how many training providers we could solicit for information. We contacted eight providers and received four complete responses back, three of which quantified the time required to submit data through Homeport. The two key questions asked as part of the survey were:
• Excluding time already spent on issuance of conventional paper course completion certificates, what is the minimum additional amount of time you estimate it takes to enter data into Homeport for each course?
• What is the maximum additional amount of time you estimate it takes to enter data into Homeport for each course?
Using the survey responses, we estimate a range for the time to submit each student course completion record to be approximately 0.0114 hours (0.68 minutes) on the lower end, and 0.0688 hours (4.13 minutes) on the higher end, for an average of .04 hours (2.4 minutes) per submission. We will use the average submission time for our subsequent cost calculations.
Based on the 10-year average calculated from table 4, we estimate that training providers will submit 64,717 course completion records electronically annually. Multiplying the average number of annual records by the average time to upload a record and then by the loaded wage for a training provider (64,717 records × 0.04 hrs. × $51.06) gives us an annual total cost to training providers of approximately $132,178. Dividing the annual total costs by the number of training providers gives us an annual per-training provider cost of uploading course completion records of approximately $404 ($132,178/327).
We estimate the 10-year total costs to training providers by combining the Homeport account creation costs and the recurring course completion record submission costs. Table 6 presents the undiscounted total costs of this rule as well as the 3 percent and 7 percent discounted costs. The annualized total costs to training providers, discounted at 3 percent and 7 percent, are estimated to be $132,829 and $132,922, respectively.
Table 6—Total Costs to Training Providers
[2022 Dollars]
Year
Homeport account
creation
Course
completion
record
submission
Total cost
3% discount
7% discount
1
$3,047
$132,178
$135,225
$131,286
$126,378
2
2,519
132,178
134,697
126,965
117,650
3
34
132,178
132,212
120,993
107,924
4
34
132,178
132,212
117,469
100,864
5
34
132,178
132,212
114,047
94,265
6
34
132,178
132,212
110,726
88,098
7
34
132,178
132,212
107,500
82,335
8
34
132,178
132,212
104,369
76,949
9
34
132,178
132,212
101,330
71,915
10
34
132,178
132,212
98,378
67,210
Totals
5,838
1,321,780
1,327,618
1,133,063
933,588
Annualized
132,829
132,922
Note:
Figures may not sum due to rounding
Cost to the Federal Government
The cost to the Federal Government for this final rule is comprised of the cost for Coast Guard personnel to verify new training provider accounts created on Homeport, the cost for Coast Guard personnel to manually match course completion data to mariner accounts when personally identifiable information is not available, and the cost savings from NMC evaluators not having to manually enter mariner course completion data directly into MMLD. The total cost to the Federal Government is found by combining these costs and cost savings within a 10-year period.
In order for a training provider to be able to electronically submit course completion data through Homeport, they must first establish a user account by registering on the site. User accounts must be verified by Coast Guard personnel at the NMC before they are ready for use. According to an NMC SME familiar with Homeport, it takes a General Schedule (GS)-07 civilian employee approximately 20 minutes to verify a Homeport user account. The estimate for the number of training providers over a 10-year period are taken from table 5.
The cost of verifying training provider accounts on Homeport is found by multiplying the wages of Coast Guard personnel who verify new Homeport accounts by the amount of time they spend performing that task.
We calculated wages for civilian Federal employees by taking the wages for a Federal employee in their locality, with their grade, at step 5 (which is considered an average). As of January 2022 in the national capital region, this is $27.50 per hour for GS-07 employees.
5
To account for the total cost of the position, wages are multiplied by a load factor, which is found by taking the total compensation for Federal employees ($64.80) and dividing by average wages for Federal employees ($38.30).
6
The calculation creates a load factor of 1.69, and, when multiplied by the hourly wage, the total
wages for a GS-07 employee becomes $46.48 per hour.
5
General Schedule pay scale for Federal employees.
https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/pdf/2022/DCB_h.pdf
(last accessed January 18, 2024).
6
Congressional Budget Office,
Comparing the Compensation of Federal and Private-Sector Employees, 2011 to 2015
(April 2017),
www.cbo.gov/publication/52637
(last accessed January 18, 2024).
“Federal and Private-Sector Total Compensation, by Workers' Educational Attainment”: Federal Government, All Levels of Education. Page 16.
“Federal and Private-Sector Wages, by Workers' Educational Attainment.” Federal Government, All Levels of Education. Page 11.
The 10-year cost of Homeport account verification is $5,314, as detailed in table 7.
Table 7—Cost to Government of Verifying Homeport User Accounts
[2022 Dollars]
Year
Number of training
providers
Time to
verify new
homeport account—hours
(20 min.)
Hourly
GS-07
wages
Total cost
1
179
.33
$46.48
$2,773
2
148
.33
46.48
2,293
3
2
.33
46.48
31
4
2
.33
46.48
31
5
2
.33
46.48
31
6
2
.33
46.48
31
7
2
.33
46.48
31
8
2
.33
46.48
31
9
2
.33
46.48
31
10
2
.33
46.48
31
Total
$5,314
Note:
Figures may not sum due to rounding.
The second part of the cost to Government is found by multiplying the wages of Coast Guard personnel who will manually match the course completion information with existing mariner records by the time they spend performing that task. This is considered a recurring cost for the Coast Guard and is calculated over a 10-year period.
The course completion data that the training provider submits through Homeport is added to a database known as Mariner Training and Assessment Data (MTAD) and is automatically matched to the mariner's profile in the MMLD using the individual's MRN. If a mariner does not have an MRN, the course data appears in the MMLD as an unmatched entry because it does not match to an existing MRN. This situation prompts manual review by personnel at NMC.
However, records may also not match due to a misspelling or other errors in data entry. If neither an SSN nor an MRN are provided, the certificate would remain unmatched to a mariner's record in the MMLD until it can be matched manually. The need for manual review to match records in the MMLD represents a cost to the Coast Guard.
For the period 2012 to 2022, 15,460 of the 64,717 course completion records submitted required manual matching. Using these data, Coast Guard estimates that approximately 24 percent (15,460 ÷ 64,717) of records must be manually matched. According to a Coast Guard SME from the NMC, manually matching records in the MMLD requires 3 hours per week at the GS-7 level and 0.5 hours per week at the GS-13 level, for the current 24 percent of course completion records entered into the MMLD. This number will be projected at an additional 76 percent to account for the remaining Coast Guard-approved training providers who will begin submitting course completion data to the NMC under this rule. The projected total cost to the Coast Guard is 12.5 hours per week at the GS-7 level:
((3/24) × 100 = 12.5 hours per week,
7
rounded; 12.5 × 52 weeks per year = 650 hours per year),
7
The current figure of 3 hours only accounts for 24% of the record matching that will occur due to the rule. To find how much time is needed, we divide the time already being used (3 hours) by the percentage of the job that is already being completed (24) to find the required hours as a single percentage of the total job. Then we multiply by 100 to find the total time required for the job, which gives us 12.5 hours per week.
The projected total cost to the Coast Guard is 2.1 hours per week at the GS-13 level:
((.5/24) × 100 = 2.1 hours per week, rounded; 2.1 × 52 week per year = 109 hours per year).
There is a total annual burden of 759 hours—650 hours for a GS-7 and 109 hours for a GS-13. Total wages for GS-07 employees are $46.48 per hour, and total wages for GS-13 are $98.04 per hour. :
(GS-07 Step 5: 27.50 × 1.69 = 46.48 per hour)
(GS-13 Step 5: 58.01 × 1.69 = 98.04 per hour)
To find the cost of the final rule to the Federal Government over a 10-year period, we first multiply the wages of personnel by the hours they work verifying course completion data in a given year. GS-07 personnel work for 650 hours at the rate of $46.48 per hour, totaling to $30,212. GS-13 personnel work for 109 hours at the rate of $98.04 per hour, totaling to $10,686. Combining these figures, the final rule will cost the Federal Government $40,898 annually.
If we divide this amount by the total 759 hours of verification, we find the weighted average wage of manually matching mariner records is $53.88 per hour. The first 2 years are adjusted for the phase-in period, as calculated in table 5:
(Year 1: 179/327 = .55, and 759 × 55% = 417)
(Year 2: 148/327 = .45, and 759 × 45% = 342)
The details of this cost, and the discounted cost at 3 percent and 7 percent, are provided in table 8.
Table 8—Estimated Costs of Matching Records to Federal Government
[2022 Dollars]
Year
Total time (hours)
Weighted
average
wage
Total
annual
3% discount
7% discount
1
417
53.88
22,468
21,814
$20,998
2
342
53.88
18,427
17,369
16,095
3
759
53.88
40,895
37,425
33,382
4
759
53.88
40,895
36,335
31,199
5
759
53.88
40,895
35,276
29,158
6
759
53.88
40,895
34,249
27,250
7
759
53.88
40,895
33,251
25,467
8
759
53.88
40,895
32,283
23,801
9
759
53.88
40,895
31,343
22,244
10
759
53.88
40,895
30,430
20,789
Total
368,055
309,774
250,383
Annualized
36,315
35,649
Note:
Figures may not sum due to rounding.
The cost for matching records in the MMLD is $368,055 over a period of 10 years. The total cost, discounted at 7 percent, is $250,383 over a 10-year period.
This final cost factor of the rule to the Federal Government will be cost savings from automating the process for inputting mariner course completion data in MMLD as part of the evaluation of an MMC application. Course completion data submitted electronically by training providers will be matched to the MRN in MTAD and ultimately recorded in the mariner's training profile in MMLD, rather than evaluators manually inputting the course completion information directly into the MMLD.
An NMC SME estimated that electronic submission will save the Coast Guard 1 minute per record when submitted through Homeport, resulting in cost savings for the Federal Government. There are 64,717 records submitted annually, resulting in a savings of 64,717 minutes per year, or 1,079 hours. The manual entry of mariner course completion data is completed through a pool of 32 Coast Guard evaluators at NMC, 13 of whom are GS-07 employees and 19 of whom are GS-09. Manual entry of mariner course completion data is divided evenly among the pool, meaning the evaluators all spend an equal amount of time on entering course completion data, so that GS-07 employees perform 41 percent of the manual entry, and GS-09 employees perform 59 percent of the manual entry. The loaded wages for these personnel are $46.48 for GS-07s and $56.85 for GS-09s.
8
8
See methodology outlined above for calculated loaded wages for Federal employees.
The total cost savings for this rule is derived by multiplying the amount of time saved by the wages of Coast Guard personnel who had previously done the manual entry of mariner course completion data. This calculation must account for different wages of the personnel based on their GS step, and the percentage of the manual entry performed by the individuals. The total cost savings is $56,586 per year, or $565,860 over a 10-year period, as outlined in table 9.
Table 9—Annual Cost Savings of Electronic Submission to the Government
[2022 Dollars]
Time manually entering course completion data
Evaluators
Percentage of time by GS step manually entering course
completion
data
(%)
Total hours
Wages
Total cost savings
A
B
A * B
C
A * B * C
1,079 hrs.
GS-07
41
442
46.48/hr.
20,544
GS-09
59
637
56.85/hr.
36,041
Total
1,079
56,586
Note:
Figures may not sum due to rounding.
Net Cost to the Federal Government
The net cost of this final rule to the Federal Government is found by adding all three cost factors: the cost of verifying new Homeport accounts, the cost of manually matching submitted records to a mariner's profile in MMLD, and the cost savings that result from eliminating the need to manually enter
mariner course completion data. These combined factors result in an overall cost savings for the Federal Government of $192,491 over 10 years, and a total of $142,393 over 10 years when discounted at 7 percent. The results are outlined in table 10.
Table 10—Total Cost to the Federal Government
[2022 Dollars]
Year
Verifying homeport accounts
Matching records
Cost savings from elimination of manual entry of course
completion
data
Total
3%
Discount
7%
Discount
A
B
C
(A + B)−C
1
$2,773
$22,468
$56,586
($32,910)
($31,951)
($30,757)
2
2,293
18,427
56,586
(34,301)
(32,332)
(29,960)
3
31
40,895
56,586
(15,660)
(14,331)
(12,783)
4
31
40,895
56,586
(15,660)
(13,914)
(11,947)
5
31
40,895
56,586
(15,660)
(13,508)
(11,165)
6
31
40,895
56,586
(15,660)
(13,115)
(10,435)
7
31
40,895
56,586
(15,660)
(12,733)
(9,752)
8
31
40,895
56,586
(15,660)
(12,362)
(9,114)
9
31
40,895
56,586
(15,660)
(12,002)
(8,518)
10
31
40,895
56,586
(15,660)
(11,653)
(7,961)
Total
5,314
368,055
565,860
(192,491)
(167,901)
(142,393)
Annualized
(19,683)
(20,273)
Note:
Figures may not sum due to rounding.
Net Total Cost of the Final Rule
The net cost of the final rule is found by taking the cost to training providers and subtracting the cost savings to the Federal Government. Table 11 shows the net cost of the final rule combining the results from table 6 and table 10.
Table 11—Net Costs of the Final Rule:
[2022 Dollars]
Year
Cost to training
providers
Cost to govt.
Total net cost
3% discount
7% discount
1
$135,225
($32,910)
$102,315
$99,335
$95,621
2
134,697
(34,301)
100,396
94,633
87,690
3
132,212
(15,660)
116,552
106,662
95,141
4
132,212
(15,660)
116,552
103,555
88,917
5
132,212
(15,660)
116,552
100,539
83,100
6
132,212
(15,660)
116,552
97,610
77,664
7
132,212
(15,660)
116,552
94,767
72,583
8
132,212
(15,660)
116,552
92,007
67,834
9
132,212
(15,660)
116,552
89,327
63,397
10
132,212
(15,660)
116,552
86,726
59,249
Total
1,327,618
(192,491)
1,135,127
965,161
791,196
Annualized
113,146
112,648
Note:
Figures may not sum due to rounding.
The estimated total cost of the final rule over a 10-year period is approximately $1.135 million. The annualized total cost of the final rule, when discounted at 3 and 7 percent, is $113,146 and $112,648, respectively.
Benefits
The benefit of the rule will be to improve efficiency and accuracy during the evaluation of MMC applications by streamlining the process for verifying mariner course completions and eliminating the need for manual entry of course information in MMLD. Currently, mariner course completion data can be verified by having Coast Guard personnel call the training provider to confirm that the mariner's reported course completion information matches the records of the provider, and then reconcile any discrepancies. Under this final rule, both the mariner and the training provider will submit their course completion data to the Coast Guard: the mariner submits course completion data with their application for an MMC, and the training provider submits course completion data through Homeport. NMC evaluators then verify that the data submitted by the mariner matches the data submitted by the training providers. If any discrepancies are found, an investigation may be initiated to determine the nature of the discrepancy and whether the mariner has met the requirements to be issued the credential.
Alternatives Considered
1.
No action.
We rejected this alternative because the Coast Guard has a responsibility to improve the credentialing process for training providers and mariners, and to minimize operating costs wherever possible. These responsibilities will be better served under this final rule than under the current process.
2.
Coast Guard-provided serial numbers for training certificates.
Under
this alternative, the Coast Guard would provide training providers with a list of serial numbers to use on the course completion certificates they issue to students. We rejected this alternative because, to implement it, the Coast Guard would need to develop an electronic system to track certificate serial numbers. Prior attempts at adding new capabilities to the MMLD have been unsuccessful. Implementing this alternative would require additional human resources to develop and manage a secondary system to track certificate numbers and increase application evaluation times due to the need to access multiple databases to verify data. None of these requirements are feasible in the immediate near term.
B. Small Entities
Under the Regulatory Flexibility Act, 5 U.S.C. 601-612, we have considered whether this final rule will have 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.
The impact of this final rule on each training provider varies by how many Coast Guard-approved courses a training provider offers in any given year, and how many student records a training provider submits to the Coast Guard. Larger training providers that offer many courses, and thus manage more student records, have a larger burden from the final rule, but they also have larger revenues. Conversely, smaller training providers that manage fewer student records have a smaller burden under this final rule but may have less revenue to mitigate the burden. To assess the potential burden on small entities, we took a random sample of the total population of Coast Guard-approved training providers and multiplied the cost per course by the number of courses each training provider offered in a year.
Of the 327 training providers impacted by this final rule, we took a random sample of 173 companies (training providers) to achieve a 95-percent confidence interval. We found 147 of the companies in the random sample that had known revenues or employee information. Of these, 100 had both measures, while 47 had only known employee information. The sample represented 59 different North American Industry Classification System codes, including schools, professional training centers, and specific trades reflecting the range of courses required to qualify for an MMC and associated endorsements.
Out of the sample of 173 companies (training providers), we found 166 small entities overall that could potentially be affected by this final rule.
9
Among the sample of 173 companies, we found that 74 are small entities based on a revenue size standard, and 11 are small entities based on an employee size standard. There was insufficient information to determine the size of 81 companies, so we assumed that they are also small entities. Overall, we found 166 small entities that could potentially be affected by this final rule. Table 12 presents the number of small entities based on employee size standard, revenue size standard, or other information.
9
The definitions for small entities were based on the July 2022 SBA Small Business Size Standards,
https://www.sba.gov/sites/default/files/2022-07/Table%20of%20Size%20Standards_Effective%20July%2014%202022_Final-508.pdf,
(accessed Jan. 18th, 2024.)
Table 12—Number of Small Entities
Category
Number
Small entities by revenue standard
74
Small entities by employee standard
11
Entities assumed to be small with insufficient information
81
Total small entities
166
Number of entities in sample
173
The annual impact of this final rule on each entity will be proportional to the number of courses offered. Here, we use the number of courses rather than the number of students, because the number of Coast Guard-approved courses is known, but the number of students per training provider is not. To estimate the impact, we multiply the number of Coast Guard-approved courses offered by the estimated time burden per course in hours, and then multiply by the loaded hourly wage rate of the submitters.
According to an SME at the NMC, we estimate training provider class sizes to be 20 students per course. We can estimate the per-course time burden by multiplying the class size by the time it takes to submit a student course completion record. Using the survey response range for the time to submit each student's course completion record of 0.0114 hours (0.68 minutes) on the lower end, and 0.0688 hours (4.13 minutes) on the higher end, we estimate an hourly range per course to be between 0.228 and 1.376 hours, for an average of .802 hours.
If a training provider offered two Coast Guard-approved courses, for example, their burden would be approximately $81.90 (2 courses × .802 hours × $51.06). For a rule to create an impact of more than 1 percent of revenues, an entity would need to have annual revenues less than or equal to $8,190 ((2 × .802 × 51.06) × 100).
The mode of courses offered by small entities is one: most small entities only offer one course. The mean of courses offered by small entities is 9.22.
Table 13—Number of Courses and Cost of Rule by Small Entities
Number of courses
Number of small
entities
Percentage of small
entities
Cost of rule
1
49
29%
$41
2
17
10
82
3
13
8
123
4
16
10
164
5
11
7
205
6
3
2
246
7
6
4
287
8
4
2
328
9
9
5
369
10
6
4
410
11
2
1
450
12
5
3
491
13
1
1
532
14
2
1
573
16
1
1
655
18
2
1
737
19
1
1
778
20
3
2
819
>20 *
16
10
1,359
Note:
Percentages may not sum to 100% due to rounding.
* Estimates for the “over 20 courses” category uses a mean of 32 courses, derived from a sample of ten small entities after removing six large outliers.
Table 14 shows the number of small entities with a greater than 1 percent impact on their annual revenues as the percentage of the total population of small entities that we found through our analysis. Of the 166 small entities for which we found revenue data from a survey provided to a random sample of mariner training providers, over the 10-year period of analysis, on the lower end, one small entity experienced an impact of greater than 1 percent of its total annual revenues, and on the higher end, five small entities experienced an impact of greater than 1 percent of its total annual revenues. Therefore, an average of three small entities are expected to experience an impact of greater than 1 percent of its total annual revenues, which is not a substantial number of small entities out of a total population of 327 training providers that offer at least 1 course.
Table 14—Estimated Initial and Annual Impact of the Final Rule on Small Entities
Category
Lower
estimate
Higher
estimate
Average
estimate
Number of small entities where impact is greater than 1% of revenues
1
5
3
Percentage of small entities where impact is greater than 1% of revenues
0.60%
3.01%
1.8%
Table 15 shows the number of small entities affected by the final rule as a percentage of the small entities' total annual revenues.
Table 15—Estimated Initial and Annual Percentage Revenue Impact of the Final Rule on Small Entities
Category
Lower
estimate
Higher
estimate
Average
estimate
Impact <1% of revenues
91
87
89
Impact 1 to 2% of revenues
0
2
1
Impact 2 to 3% of revenues
1
1
1
Impact 3 to 4% of revenues
0
1
.5
Impact greater than 4% of revenues
0
1
.5
Total
92
92
92
Hence, for small entities that will receive an impact on their revenues of 1 percent or more, we find that 1 percent of the small entities will be impacted using the lower estimate, 5 percent of small entities will be impacted using the higher estimate, and 3 percent of small entities will be impacted on average (low estimate: 1 ÷ 92 = .01, or 1%; high estimate: 5 ÷ 92 = .05, or 5%; average estimate: 3 ÷ 92 = .03, or 3%).
Therefore, the Coast Guard certifies under 5 U.S.C. 605(b) that this final 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 revision to a 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 collections, 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 Paperwork Reduction Act of 1995 requires the Coast Guard to consider the impact of paperwork and other information collection burdens imposed on the public. According to the 1995 amendments to the Paperwork Reduction Act, an agency may not collect or sponsor the collection of information, nor may it impose an information collection requirement, unless it displays a currently valid OMB control number.
This action contains amendments to the existing information collection requirements previously approved under OMB Control Number 1625-0028. This information collection request (ICR) governs all the information collected for training provider approvals, including information required to evaluate and approve the initial course, review of these materials by the NMC, and ongoing recordkeeping requirements for each student taking a course. This final rule increases the hour burden of recordkeeping for each Coast Guard-approved course but does not increase the number of responses (number of Coast Guard-approved courses).
The hour burden of the ICR represents the total annual burden per Coast Guard-approved course, assuming that each Coast Guard-approved course is offered 12 times per year with 20 students in each class. The current hour burden is 40 hours for each Coast Guard-approved course, or 0.1667 hours for each student record. Since the regulatory analysis for this rule used a range for the estimated burden, we use the higher end of the range to provide a conservative estimate of the increase in recordkeeping burden. This rule increases the hour burden per student record by 0.0688, from 0.1667 to 0.2355 hours. This creates a total increase of about 16.51 hours per course, from 40.01 hours per course (0.1667 × 20 students × 12 courses) to about 56.52 hours for each course (0.2355 × 20 students × 12 courses).
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 estimates cover the time for reviewing instructions, searching existing sources of data, gathering and maintaining the data needed, and completing and reviewing the collection. The current OMB-approved number of responses is 2,757.
Title:
Course Approval and Records for Merchant Mariner Training Schools.
OMB Control Number:
1625-0028.
Summary of the Collection of Information:
This ICR governs all of the information collected for training providers, including approvals (information required to evaluate and approve the course and any information regarding the STCW Quality Standard System (QSS) manual) and ongoing recordkeeping requirements.
Need for Information:
Title 46 of the CFR, section 10.402, specifies the information that must be submitted for the Coast Guard to evaluate and approve each course. The Coast Guard is obligated under the STCW Convention to validate the training completed by mariners and to ensure that the approved training is monitored under a QSS.
Proposed Use of Information:
Personnel from NMC review the submitted information to ensure training courses and programs meet minimum standards for Coast Guard approval. The recordkeeping requirements help the Coast Guard monitor the performance of schools with Coast Guard-approved courses.
Description of the Respondents:
Training providers approved to provide maritime courses or programs.
Number of Respondents:
The OMB-approved number of respondents for this collection of information remains at 326.
Frequency of Response:
Training providers submit student records every year based on the courses offered and the number of students completing those courses.
Burden of Response:
The total burden per response is 56.52 hours per course, which will increase from the previously approved number of 40.01 hours per course.
Estimate of Annual Hour Burden:
The final rule increases the estimated annual burden by 51,429 hours (16.51 hours per course multiplied by 3,115 total courses). This will increase the burden from 146,109 hours to 197,538 hours.
As required by 44 U.S.C. 3507(d), we will submit a copy of this final 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 control number from OMB. OMB has not yet completed its review of this collection. Before the Coast Guard may enforce new collection of information requirements introduced by this rule, OMB will need to approve the Coast Guard's request to collect this information. We will publish a
Federal Register
notice once OMB takes action on our request.
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 final 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. 7101 and 7301 (personnel qualifications of officers and ratings serving on board merchant vessels) 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,
529 U.S. 89, 120 S.Ct. 1135 (2000), which found that the States are foreclosed from regulating tanker vessels. See also
Ray
v.
Atlantic Richfield Co.,
435 U.S. 151, 157, 98 S.Ct., 988 (1978), which found that 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 final rule involves the credentialing of merchant mariner officers and ratings under 46 U.S.C. 7101 and 7301 respectively, it relates to personnel qualifications for vessels subject to a pervasive scheme of Federal regulation and is therefore foreclosed from
regulation by the States. Because the States may not regulate within these categories, this final rule is consistent with the fundamental federalism principles and preemption requirements in Executive Order 13132.
While it is well settled that States may not regulate in categories in which Congress intended the Coast Guard to be the sole source of a vessel's obligations, the Coast Guard recognizes the key role that State and local governments may have in making regulatory determinations. Additionally, for rules with federalism implications and preemptive effect, Executive Order 13132 specifically directs agencies to consult with State and local governments during the rulemaking process. If you believe this rule will have implications for federalism under Executive Order 13132, please call or email the person listed in the
FOR FURTHER INFORMATION CONTACT
section of this preamble.
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).
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 (That is, 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 final rule under DHS 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
et seq.
), and have made a determination 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 final rule will be categorically excluded under paragraphs L54 and L56 of Appendix A, table 1 of DHS Instruction Manual 023-01-001-01, Rev. 1. Paragraph L54 pertains to regulations that are editorial or procedural. Paragraph L56 pertains to regulations concerning training, qualifying, licensing, and disciplining maritime personnel.
This final rule involves establishing a new procedure for issuing MMCs to mariners who have met the regulatory requirements for the individual endorsements as described in 46 CFR parts 11 and 12. Under this new procedure, Coast Guard-approved training providers will be required to electronically submit student course completion data to the Coast Guard within 5 business days of a course ending. The NMC will use this information to validate mariner course completion certificates submitted as part of an application for an MMC.
List of Subjects
46 CFR Part 10
Incorporation by reference, Penalties, Personally identifiable information, Reporting and recordkeeping requirements, Seafarers.
46 CFR Part 11
Incorporation by reference, Penalties, Reporting and recordkeeping requirements, Schools, Seafarers.
46 CFR Part 12
Incorporation by reference, Penalties, Reporting and recordkeeping requirements, Schools, Seafarers.
46 CFR Part 13
Incorporation by reference, Cargo vessels, Reporting and recordkeeping requirements, Seafarers.
46 CFR Part 15
Incorporation by reference, Reporting and recordkeeping requirements, Seafarers, Vessels.
46 CFR Part 16
Drug testing, Marine safety, Reporting and recordkeeping requirements, Safety, Transportation.
46 CFR Part 30
Cargo vessels, Foreign relations, Hazardous materials transportation, Penalties, Reporting and recordkeeping requirements, Seafarers.
46 CFR Part 35
Cargo vessels, Incorporation by reference, Marine safety, Navigation (water), Occupational safety and health, Reporting and recordkeeping requirements, Seafarers.
46 CFR Part 39
Cargo vessels, Fire prevention, Hazardous materials transportation, Marine safety, Occupational safety and health, Reporting and recordkeeping requirements.
For the reasons discussed in the preamble, the Coast Guard amends 46 CFR parts 10, 11, 12, 13, 15, 16, 30, 35, and 39 as follows:
PART 10—MERCHANT MARINER CREDENTIAL
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, 2104, 2110; 46 U.S.C. chapter 71; 46 U.S.C. chapter 73; 46 U.S.C. chapter 75; 46 U.S.C. 7701, 8903, 8904, and 70105; Executive Order 10173; DHS Delegation No. 00170.1, Revision No. 01.4.
PART 10—[Amended]
2. In part 10, remove the term in the left column wherever it appears and add in its place the term in the right column::
Remove
Add
Certificate of registry
Certificate of Registry.
certificate of registry
Certificate of Registry.
merchant mariner credential
Merchant Mariner Credential.
merchant mariner credentials
Merchant Mariner Credentials.
Merchant mariner's document
Merchant Mariner's Document.
merchant mariner's document
Merchant Mariner's Document.
3. Amend § 10.101 by revising paragraph (b) to read as follows:
§ 10.101
Purpose.
(b) A means of determining that an applicant is competent to serve under the authority of their Merchant Mariner Credential (MMC);
4. Amend § 10.103 by revising paragraph (a) and the introductory text of paragraph (b) to read as follows:
§ 10.103
Incorporation by reference.
(a) Certain material is incorporated by reference into this part with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. All approved incorporation by reference material (IBR) is available for inspection at the Coast Guard and the National Archives and Records Administration (NARA). Contact Coast Guard at: Office of Merchant Mariner Credentialing (CG-MMC), U.S. Coast Guard, Stop 7509, 2703 Martin Luther King Jr. Avenue SE, Washington, DC 20593-7509; phone: 202-372-1492; website:
https://www.dco.uscg.mil/nmc/merchant_mariner_credential/.
For information on the availability of this material at NARA, visit
www.archives.gov/federal-register/cfr/ibr-locations
or email
fr.inspection@nara.gov.
The material may be obtained from:
(b) International Maritime Organization (IMO), 4 Albert Embankment, London SE1 7SR, England; phone +44 (0)20 7735 7611; website:
www.imo.org.
5. Amend § 10.107 by revising paragraph (b) to read as follows:
§ 10.107
Definitions in subchapter B.
(b) As used in this subchapter, the following terms apply only to merchant marine personnel credentialing and the manning of vessels subject to the manning provisions in the navigation and shipping laws of the United States:
Able Seafarer-Deck
means a rating qualified in accordance with the provisions of Regulation II/5 of the STCW Convention.
Able Seafarer-Engine
means a rating qualified in accordance with the provisions of Regulation III/5 of the STCW Convention.
Apprentice Mate of Towing Vessels
means a credentialed mariner in training to perform bridge watchkeeping duties onboard a towing vessel, who must be under the direct supervision and in the continuous presence of a Master or Mate (Pilot) of Towing Vessels.
Approved
means approved by the Coast Guard.
Approved training
means training that is approved by the Coast Guard or meets the requirements of § 10.408.
Articulated tug barge or ATB
means any tug-barge combination which, through the use of an articulated or “hinged” connection system between the tug and barge, allows independent movement in the critical area of fore and aft pitch.
Assistance towing
means towing a disabled vessel for consideration.
Assistant Engineer, for national endorsements,
means a qualified officer in the engine department other than the Chief Engineer.
Authorized official
includes, but is not limited to, a Federal, State or local law enforcement officer.
Ballast Control Operator or BCO
means an officer restricted to service on mobile offshore drilling units (MODUs) whose duties involve the operation of the complex ballast system found on many MODUs. When assigned to a MODU, a Ballast Control Operator is equivalent to a Mate on a conventional vessel.
Barge
means a non-self-propelled vessel as defined in 46 U.S.C. 102.
Barge Supervisor or BS
means an officer restricted to service on MODUs whose duties involve support to the Offshore Installation Manager (OIM) in marine-related matters including, but not limited to, maintaining watertight integrity, inspecting and maintaining mooring and towing components, and maintaining emergency and other marine-related equipment. A Barge Supervisor, when assigned to a MODU, is equivalent to a Mate on a conventional vessel.
Boatswain
means the leading seafarer and immediate supervisor of deck crew who supervises the maintenance of deck gear.
Boundary line
marks the dividing point between internal and offshore waters for the purposes of several U.S. statutes and, with exceptions, generally follows the trend of the seaward, highwater shorelines. See part 7 of this chapter.
Cargo engineer
means a person holding an officer endorsement on a dangerous-liquid tankship or a liquefied-gas tankship whose primary responsibility is maintaining the cargo system and cargo-handling equipment.
Ceremonial license
means a document that reflects a mariner's existing national officer endorsement and is suitable for framing, but is not valid for use as a Merchant Mariner Credential (MMC).
Chemical tanker
means a tank vessel that is certificated to carry or carries chemicals in bulk as cargo or cargo residue. For the purposes of qualifying for an STCW endorsement for advanced chemical tanker cargo operations, this includes tank barges.
Chief Engineer
means the senior engineer responsible for the mechanical propulsion and the operation and maintenance of the mechanical and electrical installations of the vessel.
Chief Mate
means the deck officer next in rank to the Master and upon whom the command of the vessel will fall in the event of incapacity of the Master.
Coast Guard-accepted
means—
(1) That the Coast Guard has officially acknowledged in writing that the material or process at issue meets the applicable requirements;
(2) That the Coast Guard has issued an official policy statement listing or describing the material or process as meeting the applicable requirements; or
(3) That an entity acting on behalf of the Coast Guard under a Memorandum
of Agreement has determined that the material or process meets the applicable requirements.
Coast Guard-accepted QSS organization
means an entity that has been approved by the Coast Guard to accept and monitor training on behalf of the Coast Guard.
Coastwise seagoing vessel
means a vessel that is authorized by its Certificate of Inspection to proceed beyond the Boundary Line established in part 7 of this chapter.
Coastwise voyage
is a domestic voyage and means a voyage in which a vessel proceeds—
(1) From one port or place in the United States to another port or place in the United States;
(2) From a port or place in a United States possession to another port or place in the same possession, and passes outside the line dividing inland waters from the high seas; or
(3) From a port or place in the United States or its possessions and passes outside the line dividing inland waters from the high seas and navigates on the high seas, and then returns to the same port or place.
Communicable disease
means any disease capable of being transmitted from one person to another directly, by contact with excreta or other discharges from the body; or indirectly, via substances or inanimate objects contaminated with excreta or other discharges from an infected person. Pursuant to 42 U.S.C. 12113, the Department of Health and Human Services periodically publishes in the
Federal Register
a list of infectious and communicable diseases that are transmissible through the food supply, and that list provides examples of communicable diseases for purposes of § 10.304.
Conviction
means that the applicant for a Merchant Mariner Credential has been found guilty, by judgment or plea by a court of record of the United States, the District of Columbia, any State, territory, or possession of the United States, a foreign country, or any military court, of a criminal felony or misdemeanor or of an offense described in section 205 of the National Driver Register Act of 1982, as amended (49 U.S.C. 30304). If an applicant pleads guilty or no contest, is granted deferred adjudication, or is required by the court to attend classes, make contributions of time or money, receive treatment, submit to any manner of probation or supervision, or forgo appeal of a trial court's conviction, then the Coast Guard will consider the applicant to have received a conviction. A later expungement of the conviction will not negate a conviction unless the Coast Guard is satisfied that the expungement is based upon a showing that the court's earlier conviction was in error.
Credential
means any or all of the following:
(1) Merchant Mariner's Document (MMD).
(2) Merchant Mariner's License.
(3) STCW endorsement.
(4) Certificate of Registry (COR).
(5) Merchant Mariner Credential (MMC).
Criminal record review
means the process or action taken by the Coast Guard to determine whether an applicant for, or holder of, a credential is a safe and suitable person to be issued such a credential or to be employed on a vessel under the authority of such a credential.
Dangerous drug
means a narcotic drug, a controlled substance, or a controlled-substance analogue (as defined in section 102 of the Comprehensive Drug Abuse and Control Act of 1970 (21 U.S.C. 802)).
Dangerous liquid or DL
means a liquid listed in 46 CFR 153.40 of this chapter that is not a liquefied gas as defined in this part. Liquid cargoes in bulk listed in table 2 to part 153 of this chapter are not dangerous-liquid cargoes when carried by non-oceangoing barges.
Day
means, for the purpose of complying with the service requirements of this subchapter, 8 hours of watchstanding or day-working not to include overtime. On vessels authorized by 46 U.S.C. 8104 and § 15.705 of this subchapter, to operate a two-watch system, a 12-hour working day may be creditable as 1
1/2
days of service. On vessels of less than 100 GRT, a day is considered as 8 hours unless the Coast Guard determines that the vessel's operating schedule makes this criteria inappropriate; in no case will this period be less than 4 hours. When computing service on MODUs for any endorsement, a day of MODU service must be a minimum of 4 hours, and no additional credit is received for periods served over 8 hours. For cadet service on a training ship furnished by the Maritime Administration under 46 CFR 310.4, a day may be creditable as 1
1/2
days of service.
Deck crew (excluding individuals serving under their officer endorsement)
means, as used in 46 U.S.C. 8702, only the following members of the deck department: Able Seafarers, Boatswains, and Ordinary Seafarers.
Deck department
means the department aboard a ship responsible for navigation, cargo, command, and control functions.
Designated areas
means those areas within pilotage waters for which First-Class Pilot endorsements are issued under part 11, subpart G, of this chapter, by the Officer in Charge, Marine Inspection (OCMI). The areas for which First-Class Pilot endorsements are issued within a particular Marine Inspection Zone and the specific requirements to obtain them may be obtained from the OCMI concerned.
Designated Duty Engineer or DDE
means a qualified engineer, who may be the sole engineer on vessels with a periodically unmanned engine room.
Designated Examiner or DE
means a person who has been trained or instructed in techniques of training or assessment on towing vessels and is otherwise qualified to evaluate whether an applicant has achieved the level of proficiency required to hold a towing vessel endorsement on an MMC. This person must be approved by the Coast Guard.
Designated Medical Examiner
means a licensed physician, licensed physician's assistant, or licensed nurse practitioner who has been trained and approved to conduct medical and physical examinations of merchant mariners on behalf of the U.S. Coast Guard and may be delegated limited authority to grant waivers and approve physical/medical suitability for service.
Directly supervised/direct supervision (only when referring to issues related to tank vessel endorsements)
means being in the direct line of sight of the person-in-charge or maintaining direct, two-way communications by a convenient, reliable means, such as a predetermined working frequency over a handheld radio.
Disabled vessel
means a vessel that needs assistance, whether docked, moored, anchored, aground, adrift, or underway. This does not mean a barge or any other vessel not regularly operated under its own power.
Document of Continuity
means a document issued by the Coast Guard to seafarers who are unwilling or otherwise unable to meet the requirements of § 10.227, for the sole purpose of maintaining an individual's eligibility for renewal of an endorsement.
Domestic voyage
means a voyage from one United States port to another United States port, without entering waters under the jurisdiction of another country unless the United States has entered into a treaty or an agreement with that country respecting mutual recognition of national mariner qualifications. This includes a voyage to nowhere that returns to the originating port.
Drug test
means a chemical test of an individual's urine for evidence of dangerous drug use.
Dual-mode integrated tug barge
means an integrated tug barge (ITB) involving an articulated (flexible) coupling system where the towing unit rolls and heaves (articulates) about a horizontal pivot point. Dual mode units resemble a conventional tug and are capable of towing in other configurations (astern or alongside).
Electro-technical Officer or ETO
means an officer qualified in accordance with the provisions of Regulation III/6 of the STCW Convention.
Electro-technical Rating or ETR
means a rating qualified in accordance with the provisions of Regulation III/7 of the STCW Convention.
Employment assigned to
means the total period of time a person is assigned to work on MODUs, including time spent ashore as part of normal crew rotation.
Endorsement
is a statement of a mariner's qualifications and, for the purposes of this chapter, includes only those endorsements listed in § 10.109.
Engine department
means the department aboard a ship responsible for the main propulsion and auxiliary systems, and other mechanical, electrical, hydraulic, and refrigeration systems, including deck machinery and cargo-handling equipment.
Entry-level mariner
means a mariner holding no rating other than Ordinary Seafarer, Wiper, Steward's Department, or Steward's Department Food Handler (F.H.).
Evaluation
means processing an application, from the point of receipt to approval or denial of the application, including review of all documents and records submitted with an application as well as those obtained from public records and databases.
Fails a chemical test for dangerous drugs
means that the result of a chemical test conducted under 49 CFR part 40 was reported as “positive” by a Medical Review Officer because the chemical test indicated the presence of a dangerous drug at a level equal to or exceeding the levels established in 49 CFR part 40.
First Assistant Engineer
means the engineer officer next in rank to the Chief Engineer and upon whom the responsibility for the mechanical propulsion and the operation and maintenance of the mechanical and electrical installations of the vessel will fall in the event of the incapacity of the Chief Engineer.
Great Lakes,
for the purpose of calculating service requirements for an endorsement, means the Great Lakes and their connecting and tributary waters, including the Calumet River as far as the Thomas J. O'Brien Lock and Controlling Works (between miles 326 and 327), the Chicago River as far as the east side of the Ashland Avenue Bridge (between miles 321 and 322), and the Saint Lawrence River as far east as the lower exit of Saint Lambert Lock. For purposes of requiring MMCs with rating endorsements, the connecting and tributary waters are not part of the Great Lakes.
Gross register tons or GRT
means the gross ton measurement of the vessel under 46 U.S.C. chapter 145, Regulatory Measurement.
Gross tonnage or GT
means the gross tonnage measurement of the vessel under 46 U.S.C. chapter 143, Convention Measurement.
Harbor assist
means the use of a towing vessel during maneuvers to dock, undock, moor, or unmoor a vessel, or to escort a vessel with limited maneuverability.
High-Speed Craft Type Rating (HSC)
means an endorsement for specific duty on a particular type and model of high-speed craft (compliant with the High-Speed Craft Code).
Horsepower or HP
means, for the purpose of this subchapter, the total maximum continuous shaft horsepower of the entire vessel's main propulsion machinery as determined by the manufacturer. This term is used when describing a vessel's propulsion power and also when placing limitations on an engineer officer license or endorsement. One horsepower equals 0.75 kW.
ILO
means the International Labour Organization.
IMO
means the International Maritime Organization.
Increase in scope
means additional authority added to an existing credential, such as adding a new route or increasing the authorized horsepower or tonnage.
Inland waters
means the navigable waters of the United States shoreward of the Boundary Lines as described in part 7 of this chapter, excluding the Great Lakes, and, for towing vessels, excluding the Western Rivers.
Integrated tug barge or ITB
means any tug barge combination which, through the use of special design features or a specially designed connection system, has increased seakeeping capabilities relative to a tug and barge in the conventional pushing mode. An ITB can be divided into either a dual-mode ITB or a push-mode ITB. The definitions for those categories can be found elsewhere in this section.
Invalid credential
means an MMC, MMD, License, STCW endorsement, or Certificate of Registry that has been suspended or revoked, has expired, has been tampered with, has not been signed, or has been superseded in accordance with § 10.205.
ISM
means the International Safety Management Code.
Kilowatt or kW
means 1
1/3
horsepower. This term is used when describing a vessel's propulsion power and also when placing limitations on an engineer officer license or endorsement.
Large passenger vessel,
for the purposes of subpart H of part 12, and part 15 (both of this subchapter), means a vessel of more than 70,000 gross tons, as measured under 46 U.S.C. 14302 and documented under the laws of the United States, with capacity for at least 2,000 passengers and a coastwise endorsement under 46 U.S.C. chapter 121.
Lifeboat Operator
means a mariner who is qualified to take charge of, lower, and operate survival craft and related survival equipment on a vessel.
Lifeboat Operator-Limited
means a mariner who is qualified to take charge of, lower, and operate liferafts, rescue boats, and other survival equipment on vessels where lifeboats are not installed.
Liquefied gas or LG
means a cargo that has a vapor pressure of 172 kPa (25 psia) or more at 37.8 °C (100 °F).
Liquefied gas tanker
means a tank vessel that is certificated to carry or carries liquefied gases in bulk as cargo or cargo residue. For the purposes of qualifying for an STCW endorsement for advanced liquefied gas tanker cargo operations, this includes tank barges.
Liquid cargo in bulk
means a liquid or liquefied gas listed in § 153.40 of this chapter and carried as a liquid cargo or liquid-cargo residue in integral, fixed, or portable tanks, except a liquid cargo carried in a portable tank actually loaded and discharged from a vessel with the contents intact.
Management level
means the level of responsibility associated with—
(1) Serving as Master, Chief Mate, Chief Engineer Officer, or Second Engineer Officer onboard a seagoing ship; and
(2) Ensuring that all functions within the designated area of responsibility are properly performed.
Marine chemist
means a person certificated by the National Fire Protection Association as a marine chemist.
Master
means the officer having command of a vessel.
Mate
means a qualified officer in the deck department other than the Master.
Medical Certificate
means a certificate issued by the Coast Guard under subpart C of this part 10, that serves as proof
that the seafarer meets the medical and physical standards for merchant mariners.
Merchant Mariner Credential or MMC
means a credential issued by the Coast Guard under this part 10. It combines the individual Merchant Mariner's Document, License, and Certificate of Registry enumerated in 46 U.S.C. subtitle II part E as well as the STCW endorsement into a single credential that serves as the mariner's qualification document, certificate of identification, and certificate of service.
MMC application
means the application for the MMC, as well as the application for any endorsement on an MMC.
Mobile offshore drilling unit or MODU
means a vessel capable of engaging in drilling operations for the exploration for or exploitation of subsea resources. MODU designs include the following:
(1) Bottom bearing units, which include—
(i) Self-elevating (or jack-up) units with moveable, bottom bearing legs capable of raising the hull above the surface of the sea; and
(ii) Submersible units of ship-shape, barge-type, or novel hull design, other than a self-elevating unit, intended for operating while bottom bearing.
(2) Surface units with a ship-shape or barge-type displacement hull of single or multiple hull construction intended for operating in a floating condition, including semi-submersibles and drill ships.
Month
means 30 days, for the purpose of complying with the service requirements of this subchapter.
National Driver Register or NDR
means the nationwide repository of information on drivers maintained by the National Highway Traffic Safety Administration under 49 U.S.C. chapter 303.
National officer endorsement
means an annotation on an MMC that allows a mariner to serve in the capacities listed in § 10.109(a). The officer endorsement serves as the License and/or Certificate of Registry pursuant to 46 U.S.C. subtitle II part E.
National rating endorsement
means an annotation on an MMC that allows a mariner to serve in those capacities set out in § 10.109(b) and (c). The rating endorsement serves as the Merchant Mariner's Document pursuant to 46 U.S.C. subtitle II part E.
NDR-listed convictions
means a conviction of any of the following motor vehicle-related offenses or comparable offenses:
(1) Operating a motor vehicle while under the influence of, or impaired by, alcohol or a controlled substance; or
(2) A traffic violation arising in connection with a fatal traffic accident, reckless driving, or racing on the highways.
Near-coastal
means ocean waters not more than 200 miles offshore from the United States and its possessions, except for MMCs endorsed as Operator of Uninspected Passenger Vessel (OUPV) for which near-coastal is limited to waters not more than 100 miles offshore from the United States and its possessions. This also includes those near-coastal waters identified by another Administration when the United States has entered into a treaty or an agreement with that country respecting the recognition of the U.S. near-coastal endorsement.
Non-resident alien, for the purposes of subchapter H of part 12, and part 15,
means an individual who is not a citizen or alien lawfully admitted to the United States for permanent residence, but who is employable in the United States under the Immigration and Nationality Act (8 U.S.C. 1101
et seq.
), including an alien crewmember described in section 101(a)(15)(D)(i) of that Act who meets the requirements of 46 U.S.C. 8103(k)(3)(A).
Oceans
means the waters seaward of the Boundary Lines as described in part 7 of this chapter. For the purposes of establishing sea service credit, the waters of the Inside Passage between Puget Sound and Cape Spencer, Alaska, and the inland waters of another country are not considered oceans.
Officer endorsement
means an annotation on an MMC that allows a mariner to serve in the capacities listed in § 10.109.
Officer in Charge, Marine Inspection, or OCMI
means, for the purposes of this subchapter, the commanding officer of the National Maritime Center, or any person designated as such by the Commandant, in accordance with § 1.01-5(b).
Officer in Charge of an Engineering Watch in a manned engineroom (OICEW) or Designated Duty Engineer (DDE) in a periodically unmanned engineroom
means an engineering officer qualified at the operational level.
Officer in Charge of a Navigational Watch (OICNW)
means a deck officer qualified at the operational level.
Offshore Installation Manager or OIM
means an officer restricted to service on MODUs. An assigned Offshore Installation Manager is equivalent to a Master on a conventional vessel and is the person designated by the owner or operator to be in complete and ultimate command of the unit.
Oil tanker
means a tank vessel that is certificated to carry or carries oil in bulk as cargo or cargo residue. For the purposes of qualifying for an STCW endorsement for Advanced Oil Tanker Cargo Operations, this includes tank barges.
On location
means that a mobile offshore drilling unit is bottom bearing or moored with anchors placed in the drilling configuration.
Operate, operating, or operation (as applied to the manning requirements of vessels carrying passengers)
refers to a vessel any time passengers are embarked whether the vessel is underway, at anchor, made fast to shore, or aground.
Operational level
means the level of responsibility associated with—
(1) Serving as Officer in Charge of a Navigational or Engineering Watch, or as Designated Duty Engineer for periodically unmanned machinery spaces, or as Radio Operator onboard a seagoing ship; and
(2) Maintaining direct control over the performance of all functions within the designated area of responsibility in accordance with proper procedures and under the direction of an individual serving in the management level for that area of responsibility.
Orally assisted examination
means an examination as described in part 11, subpart I, of this subchapter administered orally and documented by a Coast Guard examiner.
Overriding operational condition
means circumstances in which essential shipboard work cannot be delayed due to safety or environmental reasons, or could not have reasonably been anticipated at the commencement of the voyage.
Participation,
when used with regard to the service on transfers required for tank vessel endorsements by §§ 13.120, 13.203, or 13.303 of this subchapter, means either actual participation in the transfers or close observation of how the transfers are conducted and supervised.
Passes a chemical test for dangerous drugs
means that the result of a chemical test conducted according to 49 CFR part 40 is reported as “negative” by a Medical Review Officer according to that part.
Periodically unattended engine room
means a space containing main propulsion and associated machinery and all sources of main electrical supply which is not at all times manned under all operating conditions, including maneuvering.
PIC
means a Person in Charge.
Pilot of Towing Vessels
means a qualified officer of a towing vessel operated only on inland routes.
Pilotage waters
means the navigable waters of the United States, including
all inland waters and offshore waters to a distance of 3 nautical miles from the baseline from which the Territorial Sea is measured.
Practical demonstration
means the performance of an activity under the direct observation of a Designated Examiner or Qualified Assessor for the purpose of establishing that the performer is sufficiently proficient in a practical skill to meet a specified standard of competence or other objective criterion.
Propulsion power
means the total maximum continuous-rated output power of the main propulsion machinery of a vessel determined by the manufacturer, in either kilowatts or horsepower, which appears on the ship's Certificate of Registry or other official document and excludes thrusters and other auxiliary machinery.
Public vessel
means a vessel that—
(1) Is owned, or demise chartered, and operated by the United States Government or a government of a foreign country; and
(2) Is not engaged in commercial service.
Push-mode ITBs
means those ITBs that involve a rigid coupling system and, when not coupled to the barge, are incapable of conducting towing in any other configuration (such as astern or alongside) because, by themselves, they have very limited seakeeping capability. The propelling unit moves as one with the barge unit.
Qualified Assessor or QA
means a person who is qualified to evaluate, for STCW endorsements, whether an applicant has demonstrated the necessary level of competence in the task for which the assessment is being made. This person must be individually approved by the Coast Guard.
Qualified Instructor
means a person who has been trained in instructional techniques and is otherwise qualified to provide required training to candidates for an MMC endorsement. A faculty member employed at a State maritime academy or the U.S. Merchant Marine Academy operated under 46 CFR part 310 and instructing a course on merchant marine officer or rating knowledge, understanding, or proficiency requirements is qualified to serve as a Qualified Instructor in their area of specialization without individual evaluation by the Coast Guard.
Qualified rating
means various categories of Able Seafarer, Qualified Member of the Engine Department, or tank vessel endorsements issued on MMCs.
Quality Standard System or QSS
means a set of policies, procedures, processes, and data required to establish and fulfill the organization's objectives.
Raise of grade
means an increase in the level of authority and responsibility associated with an officer or rating endorsement, such as from Mate to Master or Second Assistant Engineer to First Assistant Engineer.
Rating endorsement
is an annotation on an MMC that allows a mariner to serve in those capacities set out in § 10.109.
Regional examination center or REC
means a field office of the National Maritime Center that receives and screens credential applications, conducts approved course oversight, and administers Coast Guard examinations as required by this subchapter.
Rest
means a period of time during which the person concerned is off duty, is not performing work (which includes administrative tasks such as chart correction or preparation of port-entry documents), and is allowed to sleep without interruption.
Restricted tank vessel endorsement
means a valid tank vessel endorsement on an MMC restricting its holder as the Coast Guard deems appropriate. For instance, the endorsement may restrict the holder to one or a combination of the following: A specific cargo or cargoes; a specific vessel or vessels; a specific facility or facilities; a specific employer or employers; a specific activity or activities (such as loading or unloading in a cargo transfer); or a particular area of water.
Rivers
means a river, canal, or other similar body of water designated as such by the Coast Guard.
Safe and suitable person
means a person whose prior record, including but not limited to criminal record and/or NDR record, provides no information indicating that their character and habits of life would support the belief that permitting such a person to serve under the MMC and/or endorsement sought would clearly be a threat to the safety and security of life or property, detrimental to good discipline, or adverse to the interests of the United States. See §§ 10.211 and 10.213 for the regulations associated with this definition.
Seagoing service
means service onboard a ship/vessel relevant to the issue of a credential or other qualification.
Seagoing vessel
means a ship that operates beyond the boundary line specified in part 7 of this chapter.
Second Engineer Officer
means an engineer officer next in rank to the Chief Engineer Officer and upon whom the responsibility for the mechanical propulsion and the operation and maintenance of the mechanical and electrical installations of the ship will fall in the event of the incapacity of the Chief Engineer Officer.
Self-propelled
has the same meaning as the terms “propelled by machinery” and “mechanically propelled.” This term includes vessels fitted with both sails and mechanical propulsion.
Senior company official
means the president, vice president, vice president for personnel, personnel director, or similarly titled or responsible individual, or another employee designated in writing by one of these individuals for the purpose of certifying employment.
Service (as used when computing the required service for endorsements)
means the time period, in days, a person is assigned to work. On MODUs, this excludes time spent ashore as part of crew rotation.
Ship
means a vessel using any mode of propulsion, including sail and auxiliary sail.
Simulated transfer
means a transfer practiced in a course meeting the requirements of § 13.121 of this subchapter that uses simulation to meet part of the service on transfers required for tank vessel endorsements by §§ 13.203 or 13.303 of this subchapter.
Staff officer
means a person who holds an MMC with an officer endorsement listed in § 10.109(a)(36) through (43).
Standard of competence
means the level of proficiency to be achieved for the proper performance of duties onboard vessels according to national and international criteria.
Steward's department
means the department that includes entertainment personnel and all service personnel, including wait staff, housekeeping staff, and galley workers, as defined in the vessel security plan approved by the Secretary under 46 U.S.C. 70103(c). These personnel may also be referred to as members of the hotel department on a large passenger vessel.
STCW
means the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978, as amended (incorporated by reference, see § 10.103).
STCW Code
means the Seafarers' Training, Certification and Watchkeeping Code (incorporated by reference, see § 10.103).
STCW endorsement
means an annotation on an MMC that allows a mariner to serve in those capacities under § 10.109(d). The STCW endorsement serves as evidence that a
mariner has met the requirements of the STCW Convention.
Support level
means the level of responsibility associated with performing assigned tasks, duties, or responsibilities onboard a seagoing ship under the direction of an individual serving in the operational or management level.
Tank barge
means a non-self-propelled tank vessel.
Tank vessel
means a vessel that is constructed or adapted to carry, or that carries, oil or hazardous material in bulk as cargo or cargo residue, and that—
(1) Is a vessel of the United States;
(2) Operates on the navigable waters of the United States; or
(3) Transfers oil or hazardous material in a port or place subject to the jurisdiction of the United States.
Tank Barge-PIC
means a person holding a valid “Tank Barge-PIC” endorsement on their MMC. See part 13, subpart C, of this subchapter.
Tank Vessel-Assistant
means a person holding a valid “Tank Vessel-Assistant” endorsement on their MMC. See part 13, subpart D, of this subchapter.
Tank Vessel-Engineer
means a person holding a valid “Tank Vessel-Engineer” endorsement on their MMC. See part 13, subpart E, of this subchapter.
Tank Vessel-PIC
means a person holding a valid “Tank Vessel-PIC” endorsement on their MMC. See part 13, subpart B, of this subchapter.
Tankship
means any self-propelled tank vessel constructed or adapted primarily to carry oil or hazardous material in bulk as cargo or as cargo residue.
Training program
means a combination of training, practical assessment, and service which provides an individual with all or part of the necessary knowledge, understanding, and proficiency required for a specific qualification.
Transfer
means any movement of fuel, dangerous liquid, or liquefied gas as cargo in bulk or as cargo residue to or from a vessel by means of pumping, gravitation, or displacement.
Transportation Worker Identification Credential or TWIC
means an identification credential issued by the Transportation Security Administration under 49 CFR part 1572.
Underway
means that a vessel is not at anchor, made fast to the shore, or aground. When referring to a mobile offshore drilling unit (MODU), underway means that the MODU is not in an on-location or laid-up status and includes that period of time when the MODU is deploying or recovering its mooring system.
Undocumented vessel
means a vessel not required to have a certificate of documentation issued under the laws of the United States.
Unlimited
means an annotation on an MMC authorizing service on vessels of any tonnage or any propulsion power.
Vessel personnel with designated security duties
means a person, excluding the designated security officer (
e.g.,
Company Security Officer (CSO), as defined in 33 CFR chapter I, subchapter H, and Vessel Security Officer (VSO)), having specific security duties and responsibilities in accordance with the ship security plan.
Vessel Security Officer (VSO)
means a person onboard the vessel accountable to the Master and designated by the Company as responsible for security of the vessel, including implementation and maintenance of the Vessel's Security Plan, and for liaison with the Facility Security Officer and the vessel's Company Security Officer.
Western Rivers
means—
(1) The Mississippi River;
(2) The Mississippi River's tributaries, South Pass, and Southwest Pass, to the navigational demarcation lines dividing the high seas from harbors, rivers, and other inland waters of the United States;
(3) The Port Allen-Morgan City Alternate Route;
(4) That part of the Atchafalaya River above its junction with the Port Allen-Morgan City Alternate Route including the Old River and the Red River; and
(5) Those waters specified in 33 CFR 89.25.
Year
means 360 days for the purpose of complying with the service requirements of this subchapter.
6. Revise § 10.109 to read as follows:
§ 10.109
Classification of endorsements.
(a)
National officer endorsements.
The following national officer endorsements are established in part 11 of this subchapter. The endorsements indicate that an individual holding a valid MMC with this endorsement is qualified to serve in that capacity and the endorsement has been issued under the requirements contained in part 11 of this subchapter:
(1) Master.
(2) Chief Mate.
(3) Second Mate.
(4) Third Mate.
(5) Mate.
(6) Master of Towing Vessels.
(7) Master of Towing Vessels-Limited.
(8) Mate (Pilot) of Towing Vessels.
(9) Apprentice Mate of Towing Vessels.
(10) Apprentice Mate of Towing Vessels-Limited.
(11) Assistance Towing.
(12) Offshore Installation Manager (OIM).
(13) Barge Supervisor (BS).
(14) Ballast Control Operator (BCO).
(15) Operator of Uninspected Passenger Vessels (OUPV).
(16) Master of Uninspected Fishing Industry Vessels.
(17) Mate of Uninspected Fishing Industry Vessels.
(18) Master-OSV.
(19) Chief Mate-OSV.
(20) Mate-OSV.
(21) Chief Engineer.
(22) Chief Engineer-Limited.
(23) First Assistant Engineer.
(24) Second Assistant Engineer.
(25) Third Assistant Engineer.
(26) Assistant Engineer-Limited.
(27) Designated Duty Engineer (DDE).
(28) Chief Engineer-OSV.
(29) Assistant Engineer-OSV.
(30) Chief Engineer-MODU.
(31) Assistant Engineer-MODU.
(32) Chief Engineer Uninspected Fishing Industry Vessels.
(33) Assistant Engineer Uninspected Fishing Industry Vessels.
(34) Radio Officer.
(35) First-Class Pilot.
(36) Chief Purser.
(37) Purser.
(38) Senior Assistant Purser.
(39) Junior Assistant Purser.
(40) Medical Doctor.
(41) Professional Nurse.
(42) Marine Physician Assistant.
(43) Medical Technician.
(44) High-Speed Craft Type Rating (HSC).
(45) Radar Observer.
(b)
National rating endorsements.
The following national rating endorsements are established in part 12 of this subchapter. The endorsements indicate that an individual holding a valid MMC with this endorsement is qualified to serve in that capacity and the endorsement has been issued under the requirements contained in part 12 of this subchapter:
(1) Able Seafarer:
(i) Unlimited;
(ii) Limited;
(iii) Special;
(iv) Offshore Supply Vessel (OSV);
(v) Sail; and
(vi) Fishing Industry.
(2) Ordinary Seafarer.
(3) Qualified Member of the Engine Department (QMED), including the following specialty endorsements:
(i) Oiler;
(ii) Boiler Technician;
(iii) Junior Engineer;
(iv) Pump Technician/Machinist; and
(v) Electrician/Refrigerating Engineer.
(4) Lifeboat Operator.
(5) Lifeboat Operator-Limited.
(6) Wiper.
(7) Steward's Department.
(8) Steward's Department Food Handler (F.H.)
(9) Cadet (Deck or Engine).
(10) Student Observer.
(11) Apprentice Engineer.
(12) Apprentice Mate.
(c)
Tank Vessel Endorsements.
The following ratings are established in part 13 of this subchapter. The national endorsements indicate that an individual holding a valid MMC with this endorsement is qualified to serve in that capacity and the endorsement has been issued under the requirements contained in part 13 of this subchapter:
(1) Tank Vessel-PIC.
(2) Tank Barge-PIC.
(3) Restricted Tank Vessel-PIC.
(4) Restricted Tank Barge-PIC.
(5) Tank Vessel-Assistant.
(6) Tank Vessel-Engineer.
(d)
STCW endorsements.
The following STCW endorsements are issued according to the STCW Convention, the STCW Code, and parts 11, 12, and 13 of this subchapter. The endorsements indicate that an individual holding a valid MMC with this endorsement is qualified to serve in that capacity and the endorsement has been issued under the requirements contained in parts 11, 12 or 13 of this subchapter as well as the STCW Convention and STCW Code (incorporated by reference, see § 10.103):
(1) Master.
(2) Chief Mate.
(3) Officer in Charge of a Navigational Watch (OICNW).
(4) Chief Engineer Officer.
(5) Second Engineer Officer.
(6) Officer In Charge of an Engineering Watch in a manned engineroom or Designated Duty Engineer in a periodically unmanned engineroom (OICEW).
(7) Electro-technical Officer (ETO).
(8) Rating Forming Part of a Navigational Watch (RFPNW).
(9) Able Seafarer-Deck.
(10) Rating Forming Part of an Engineering Watch in a manned engineroom or designated to perform duties in a periodically unmanned engineroom (RFPEW).
(11) Able Seafarer-Engine.
(12) Electro-technical Rating (ETR).
(13) Basic Training (BT).
(14) Advanced Firefighting.
(15) Proficiency in Survival Craft and Rescue Boats other than Fast Rescue Boats (PSC).
(16) Proficiency in Survival Craft and Rescue Boats other than Fast Rescue Boats-Limited (PSC-Limited).
(17) Proficiency in Fast Rescue Boats.
(18) Person in Charge of Medical Care.
(19) Medical First-aid Provider.
(20) GMDSS At-sea Maintainer.
(21) GMDSS Operator.
(22) Advanced Oil Tanker Cargo Operation.
(23) Advanced Chemical Tanker Cargo Operation.
(24) Advanced Liquefied Gas Tanker Cargo Operation.
(25) Basic Oil and Chemical Tanker Cargo Operation.
(26) Basic Liquefied Gas Tanker Cargo Operation.
(27) Vessel Security Officer (VSO).
(28) Vessel Personnel with Designated Security Duties.
(29) Security Awareness.
(30) High-Speed Craft Type Rating (HSC).
7. Amend § 10.201 by revising the section heading and paragraph (a) to read as follows:
§ 10.201
General characteristics of the Merchant Mariner Credential.
(a) A Merchant Mariner Credential (MMC) is a credential combining the elements of the Merchant Mariner's Document (MMD), Merchant Mariner's License (License), and Certificate of Registry (COR) enumerated in 46 U.S.C. subtitle II part E, as well as the STCW endorsement issued pursuant to the STCW Convention and STCW Code (incorporated by reference, see § 10.103). MMDs, licenses, STCW endorsements, and CORs are no longer issued as separate documents, and all qualifications formerly entered on those separate documents appear in the form of an endorsement(s) on an MMC.
8. Amend § 10.205 by revising the section heading and paragraph (g) to read as follows:
§ 10.205
Validity of a Merchant Mariner Credential.
(g) If a mariner chooses to renew their license, MMD, COR, or STCW endorsement and receive their first MMC, the Coast Guard may also renew all other credentials for which the mariner is qualified.
9. Amend § 10.209 by revising paragraphs (a), (d)(2) and (6), (g), and (i) to read as follows:
§ 10.209
General application procedures.
(a) The applicant for an MMC, whether for an original, renewal, duplicate, raise of grade, or a new endorsement on a previously issued MMC, must establish that they satisfy all the requirements for the MMC and endorsement(s) sought before the Coast Guard will issue the MMC. This section contains the general requirements for all applicants. Additional requirements for duplicates, renewals, new endorsements, and raises of grade appear later in this part.
(d) * * *
(2) The applicant's continuous discharge book, certificate of identification, MMD, MMC, License, STCW endorsement, Certificate of Registry (COR), or, if it has not expired, a photocopy of the credential, including the back and all attachments;
(6) For an endorsement as a Medical Doctor or Professional Nurse as required in § 11.807 of this subchapter, evidence that the applicant holds a currently valid, appropriate license as physician, surgeon, or registered nurse, issued under the authority of a state or territory of the United States, the Commonwealth of Puerto Rico, or the District of Columbia. Any MMC issued will retain any limitation associated with the medical license;
(g) When a new MMC is issued, the mariner must return any previously issued and unexpired MMC, License, MMD, COR, or STCW endorsement to the Coast Guard, unless the new MMC is being issued to replace a lost or stolen credential.
(i) A mariner may obtain a ceremonial license when applying for their credential or Document of Continuity.
10. Amend § 10.221 by revising paragraph (a)(1) to read as follows:
§ 10.221
Citizenship.
(a)(1)
MMCs with officer Endorsements.
Only individuals with valid U.S. citizenship may apply for officer endorsements, except individuals applying for endorsements as Operator of Uninspected Passenger Vessels (OUPV) authorizing service on undocumented vessels in accordance with § 11.201(d) of this subchapter.
11. Amend § 10.223 by revising paragraphs (c)(3)(iii) and (c)(5) to read as follows:
§ 10.223
Modification or removal of limitations or scope.
(c) * * *
(3) * * *
(iii) The mandatory requirements for tank vessel endorsements are contained in part 13 of this subchapter.
(5) Any uncanceled MMD, MMC, License, STCW endorsement, or COR
held by the applicant. If one or more of these credentials are still valid at the time of application, a photocopy, front and back of all pages, and all attachments, will satisfy this requirement. If the applicant submits a photocopy, upon the issuance of the new MMC, the applicant must surrender the old, original credential to the Coast Guard. If requested in writing at the time of submission, the old MMD, MMC, License, COR, or STCW endorsement may be returned to the applicant after cancellation.
12. Amend § 10.225 by revising paragraphs (b)(3)(iii) and (c) to read as follows:
§ 10.225
Requirements for original Merchant Mariner Credentials.
(b) * * *
(3) * * *
(iii) The mandatory requirements for tank vessel endorsements are contained in part 13 of this subchapter.
(c)
Oath.
Every person who receives an original MMC must first take an oath, before an official authorized to give such an oath, that they will faithfully and honestly, according to their best skill and judgment, without concealment or reservation, perform all the duties required by law and obey all lawful orders of superior officers. An oath may be administered by any Coast Guard-designated individual or any person legally permitted to administer oaths in the jurisdiction where the person taking the oath resides. An oath administered at a location other than the Coast Guard must be verified in writing by the administering official and submitted to the same Regional Examination Center (REC) where the applicant applied for their MMC. This oath remains binding for any subsequently issued MMC and endorsements added to the MMC, unless specifically renounced in writing.
13. Amend § 10.227 by revising paragraphs (d)(4), (e), (g)(2)(ii), and (i) to read as follows:
§ 10.227
Requirements for renewal.
(d) * * *
(4) Any uncanceled MMD, MMC, License, STCW endorsement, Certificate of Registry (COR), or Document of Continuity held by the applicant. If one or more of these credentials are still valid at the time of application, a photocopy—front, back, and all attachments—will satisfy this requirement.
(e)
Renewal requirements.
Except as provided in paragraph (e)(8) of this section and § 13.120 of this subchapter, the applicant must meet the following professional requirements for renewal:
(1) The applicant must either—
(i) Present evidence of at least 1 year of sea service during the past 5 years;
(ii) Pass a comprehensive, open-book exercise covering the general subject matter contained in appropriate sections of subpart B of this part;
(iii) Complete an approved refresher training course;
(iv) Provide evidence of employment as a Qualified Instructor or in a position closely related to the operation, construction, or repair of vessels (either deck or engineer as appropriate) for at least 3 years during the past 5 years. An applicant for a deck license or officer endorsement with this type of employment must also demonstrate knowledge on an applicable Rules of the Road open-book exercise; or
(v) Provide evidence of being a Qualified Instructor who has taught a Coast Guard-approved or -accepted course relevant to the endorsement or credential being applied for, at least twice within the past 5 years, therefore meeting the standards needed to receive a course completion certificate for that course.
(2) The qualification requirements for renewal of Radar Observer endorsement as contained in § 11.480 of this subchapter.
(3) Additional qualification requirements for renewal of an officer endorsement as First-Class Pilot as contained in § 11.713 of this subchapter.
(4) An applicant for renewal of a Radio Officer endorsement must, in addition to meeting the requirements of this section, present a copy of a currently valid License as first- or second-class radiotelegraph operator issued by the Federal Communications Commission.
(5) An applicant for renewal of an endorsement as Medical Doctor or Professional Nurse must, in addition to meeting the requirements of this section, present evidence that they hold a currently valid, appropriate license as physician, surgeon, or registered nurse issued under the authority of a State or territory of the United States, the Commonwealth of Puerto Rico, or the District of Columbia. Any such renewal will retain the limitations placed upon the medical License by the issuing body. There are no professional requirements for renewal of an endorsement as Marine Physician Assistant or Medical Technician.
(6) An applicant for renewal of an endorsement as Master or Mate (Pilot) of Towing Vessels, in addition to the other requirements in this paragraph, must also submit satisfactory evidence of—
(i) Having completed a practical demonstration of maneuvering and handling a towing vessel to the satisfaction of a Designated Examiner; or
(ii) Ongoing participation in training and drills during the validity of the License or MMC being renewed.
(7) An applicant seeking to renew a tank vessel endorsement must meet the additional requirements listed in § 13.120 of this subchapter.
(8) There are no professional requirements for renewal for the following endorsements:
(i) Staff officers (all types).
(ii) Ordinary Seafarer.
(iii) Wiper.
(iv) Steward's Department.
(v) Steward's Department Food Handler (F.H.).
(vi) Cadet.
(vii) Student Observer.
(viii) Apprentice Engineer.
(ix) Apprentice Mate (issued under part 12 of this subchapter).
(x) Person in Charge of Medical Care.
(xi) Medical First-aid Provider.
(xii) GMDSS At-sea Maintainer.
(xiii) GMDSS Operator.
(g) * * *
(2) * * *
(ii) An application including a signed statement from the applicant attesting to an awareness of the limited purpose of the Document of Continuity, their inability to serve, and the requirements to obtain an MMC.
(i)
Re-issuance of expired credentials.
(1) If an applicant applies for re-issuance of an endorsement as deck officer, engineer officer, or qualified rating more than 12 months after its expiration, instead of the requirements of paragraph (e) of this section, the applicant must demonstrate continued professional knowledge by completing a course approved for this purpose, or by passing the complete examination for original issue of the endorsement. The examination may be oral-assisted if the expired credential was awarded based on the results of an oral exam. The fees set forth in § 10.219 apply to these examinations. In the case of an expired Radio Officer endorsement, the endorsement may be issued upon presentation of a valid first- or second-class radiotelegraph operator license issued by the Federal Communications Commission.
(2) An endorsement for Chief Purser, Purser, Senior Assistant Purser, Junior Assistant Purser, Medical Technician,
Marine Physician Assistant, Medical Doctor, or Professional Nurse that has been expired for more than 12 months must be renewed in the same way as a current endorsement of that type. There are no additional requirements for re-issuing endorsements for Chief Purser, Purser, Senior Assistant Purser, Junior Assistant Purser, Medical Technician, Marine Physician Assistant, Medical Doctor, or Professional Nurse that have been expired for more than 12 months.
(3) Applicants applying for re-issuance of an endorsement as Master or Mate (Pilot) of Towing Vessels more than 12 months after expiration of the previous endorsement must complete the practical demonstration of maneuvering and handling a towing vessel required under (e)(6)(i) of this section.
(4) Applicants applying for re-issuance of an endorsement as any tank vessel rating more than 12 months after expiration of the previous endorsement must meet the requirements in § 13.117 of this subchapter.
14. Amend § 10.231 by revising paragraphs (c)(3)(iii), (c)(6)(ii), and (d)(2) to read as follows:
§ 10.231
Requirements for raises of grade or new endorsements.
(c) * * *
(3) * * *
(iii) The mandatory requirements for tank vessel endorsements are contained in part 13 of this subchapter.
(6) * * *
(ii) The first endorsement as National Able Seafarer, Lifeboat Operator, Lifeboat Operator-Limited, Qualified Member of the Engine Department (QMED), or a tank vessel endorsement.
(d) * * *
(2) An applicant remains eligible for a raise of grade while on probation as a result of action under part 5 of this chapter. A raise of grade issued to a person on probation will be subject to the same probationary conditions imposed against their other credentials. The offense for which they were placed on probation will be considered on the merits of the case in determining fitness to hold the endorsement applied for. No applicant will be examined for a raise of grade during any period when a suspension without probation or a revocation imposed under part 5 of this chapter is effective against their credential or while an appeal from these actions is pending.
15. Amend § 10.232 by revising paragraphs (a)(1), (a)(2)(iv) and (vii), (a)(6), (d)(1) and (6), and (g) introductory text to read as follows:
§ 10.232
Sea service.
(a) * * *
(1) Sea service may be documented in various forms such as certificates of discharge, pilotage service and billing forms, and service letters or other official documents from marine companies signed by the owner, operator, Master, or Chief Engineer of the vessel. The Coast Guard must be satisfied as to the authenticity and acceptability of all evidence of experience or training presented.
(2) * * *
(iv) The amount and nature (
e.g.,
Chief mate, Assistant Engineer, etc.) of the applicant's experience.
(vii) For those seeking to renew a Radar Observer endorsement, whether the vessel is equipped with radar and if the mariner served in a position that routinely uses radar for navigation and collision avoidance purposes.
(6) An applicant who has been acting as a Pilot may submit a letter from a pilot's association attesting to the applicant's sea service. For those Pilots seeking to renew a Radar Observer endorsement, the association's letter should indicate that the vessels piloted were equipped with radar, and that radar was used by the Pilot for navigation and collision avoidance purposes. Pilots not part of an association may submit other relevant records indicating service, such as billing forms. For a raise-of-grade, Pilots must comply with the requirements of paragraph (a)(2) of this section.
(d) * * *
(1) Sea service as a member of the Armed Forces of the United States will be accepted as required experience for an original, raise of grade, renewal, or increase in scope of all endorsements. In most cases, military sea service will have been performed upon ocean waters; however, inland service, as may be the case on smaller vessels, will be credited in the same manner as conventional evaluations. The applicant must submit an official transcript of sea service or history of assignments as verification of the service claimed when the application is submitted. A DD-214 is not acceptable evidence of sea service. The applicant must also provide the Coast Guard with other necessary information as to tonnage, routes, propulsion power, percentage of time underway, and assigned duties upon the vessels on which he or she served. Such service will be evaluated by the Coast Guard for a determination of its equivalence to sea service acquired on merchant vessels and the appropriate grade, class, and limit of endorsement for which the applicant is eligible. Normally, 60 percent of the total time onboard is considered equivalent underway service; however, the periods of operation of each vessel may be evaluated separately. In order to be eligible for a Master or Chief Engineer unlimited endorsement, the applicant must have acquired military service in the capacity of commanding officer or engineer officer, respectively.
(6) Service gained in a civilian capacity as commanding officer, Master, Mate, engineer, or Pilot, etc., of any vessel owned and operated by the United States, in any service in which a License or officer endorsement as Master, Mate, engineer, or Pilot was not required at the time of such service, will be evaluated by the Coast Guard for a determination of equivalence.
(g)
Closely related service.
The Coast Guard may accept evidence of employment in a position closely related to the operation, construction, or repair of vessels (either deck or engineer as appropriate) as meeting the sea service requirements for renewal under § 10.227(e)(1)(iv). Service as port engineer, port captain, shipyard superintendent, Qualified Instructor, or similar related service may be creditable for service for raise of grade of an engineer or deck officer endorsement; however, it may not be used for obtaining an original management-level endorsement. The service is creditable as follows:
16. Amend § 10.233 by revising the section heading and paragraphs (a) and (b) to read as follows:
§ 10.233
Obligations of the holder of a Merchant Mariner Credential.
(a) The holder of a credential may not voluntarily part with it or place it beyond their personal control by pledging or depositing it with any other person, except as required by regulation or as necessary to safeguard the credential. If the holder violates this section, the Coast Guard may pursue suspension or revocation of the License, MMD, COR, or MMC under the provisions of part 5 of this chapter.
(b) Whenever a mariner loses a credential, they must immediately report the loss to the Coast Guard. The
report must be made in writing, giving the facts incident to its loss.
17. Amend § 10.235 by revising the section heading and paragraphs (c), (d), and (g) through (i) to read as follows:
§ 10.235
Suspension or revocation of Merchant Mariner Credentials.
(c) An applicant who has had a TWIC, credential, or endorsement revoked, and who is applying for a subsequent MMC or endorsement, must state in their application the date of revocation, the serial number of the document revoked, and the type of document or endorsement revoked.
(d) A person whose credential or endorsement has been revoked or suspended without probation may not be issued a replacement credential or endorsement without approval of the Commandant. If a mariner has multiple endorsements and one or more, but not all, of those endorsements are suspended or revoked, they will be issued, without payment of a fee, a replacement MMC reflecting those endorsements for which the mariner remains qualified.
(g) An applicant for renewal or return of a credential with endorsement as Master or Mate (Pilot) of Towing Vessels whose most recent credential has been suspended or revoked by an administrative law judge for incompetence must complete the practical demonstration required under § 10.227(e)(6)(i).
(h) If the Coast Guard is advised by the Transportation Security Administration (TSA) that a mariner has either been denied a TWIC or their TWIC has been revoked, the Coast Guard may initiate suspension and revocation action against the mariner's MMC, License, MMD, and COR under 46 U.S.C. 7702 and 7703. During the subsequent suspension and revocation proceeding, the TSA decision to deny issuance of, or to revoke, a mariner's TWIC will not be subject to review, and the mariner's failure to hold a TWIC will be treated by the Coast Guard as proof that the mariner is not eligible for an MMC, License, MMD or COR.
(i) A mariner who has either been denied issuance of a TWIC or whose TWIC has been revoked for a reason, other than administrative reasons (
e.g.,
being lost or stolen, not functioning, or having a misspelling) will be deemed ineligible for an MMC, License, MMD or COR.
18. Revise § 10.239 to read as follows:
§ 10.239
Quick reference table for MMC requirements.
Table 1 to § 10.239 provides a guide to the requirements for officer endorsements. Provisions in the reference section are controlling.
Note 1 to § 10.239:
For tank vessel endorsements, see table 1 to § 13.129.
Note 2 to § 10.239:
All references within table 1 to this section are within this subchapter.
Table 1 to § 10.239—Quick Reference Table for MMC Requirements
Endorsement category
Minimum age
Citizenship
Medical and physical exam
Experience
Recommendations and character check
Firefighting
Professional exam
Demonstration of professional ability
Recency of service
First aid and CPR
Master, Mates
§ 11.201(e)
Note: exceptions.
U.S., § 10.221(a)(1) § 11.201(d)
§ 10.302(a)
part 11—subpart D
N/A: Note exceptions in § 11.201(g) for original national or STCW endorsements
§ 11.201(h)
§ 11.201(j); § 11.903; § 11.910
Note: § 11.903(b)
N/A
original § 11.201(c)(2)
renewal § 10.227(e)
§ 11.201(i)
Note: exceptions.
Operator of Uninspected Passenger Vessels (OUPV)
§ 11.201(e)
Note: exceptions here and in § 11.201(l)
§ 10.221(a)(1)
§ 11.201(d).
§ 10.302(a)
§ 11.467(c); (d); (e); (f); (g)
N/A: Note exceptions in § 11.201(g) for original national or STCW endorsements
N/A
§§ 11.201(j); 11.903; § 11.910
N/A
original § 11.201(c)(2)
renewal § 10.227(e)
§ 11.201(i):
Note exceptions.
STCW deck officer endorsements
§ 11.201(e)
Note: exceptions.
U.S., § 10.221(a)(1)
§ 11.201(d).
§ 10.302(a)
part 11—subpart C
N/A: Note exceptions in § 11.201(g) for original national or STCW endorsements
§ 11.303
Renewal: § 11.303(b) and (c)
N/A
Master § 11.305; .311; .315; .317
Chief Mate § 11.307; .313
OICNW § 11.309; 11.319; 11.321
original § 11.201 (c)(2)
renewal § 10.227(e)
§ 11.201(i).
Officer on a passenger ship when on an international voyage
N/A
N/A
N/A
N/A
N/A
N/A
N/A
§ 11.1105(a)(1); (2)
§ 11.1105(c)
N/A.
Engineers (original)
§ 11.201(e)
Note: exceptions.
U.S., § 10.221(a)(1) § 11.201(d)
10.302(a)
part 11—subpart E
N/A: Note exceptions in § 11.201(g) for original national or STCW endorsements
§ 11.201(h)
§ 11.201(j); 11.903; § 11.950
Note: § 11.903(b)
N/A
original § 11.201(c)(2)
renewal § 10.227(e)
§ 11.201(i).
STCW Engineering Officer endorsements
§ 11.201(e)
Note: exceptions.
U.S., § 10.221(a)(1) § 11.201(d)
§ 10.302(a)
part 11—subpart C
N/A: Note exceptions in § 11.201(g) for original national or STCW endorsements
§ 11.303
Renewal: § 11.303(b) and (c)
N/A
Chief § 11.325; § 11.331
2nd engineer officer; § 11.327; § 11.333
OICEW/DDE § 11.329
original § 11.201 (c)(2)
renewal § 10.227(e)
§ 11.201(i).
National Designated Duty Engineer (DDE)
§ 11.201(e)
Note: exceptions.
U.S., § 10.221(a)(1)
§ 11.201(d).
§ 10.302(a)
11.524(b)
N/A: Note exceptions in § 11.201(g) for original national or STCW endorsements
§ 11.201(h)(1)(iv)
§ 11.903
N/A
original § 11.201(c)(2)
renewal § 10.227(e)
§ 11.201(i).
Electro-technical Officer
§ 11.201(e)
Note: exceptions.
U.S., § 10.221(a)(1)
§ 11.201(d).
§ 10.302(a)
§ 11.335(a)(1)
note exception in § 11.335(b) & § 11.33 5(c)
N/A: Note exceptions in § 11.201(g) for original national or STCW endorsements
§ 11.335(a)(3)(ii)
N/A
§ 11.335(a)(2), (3)
note exception in § 11.335(b) & (c)
§ 11.335(a)(3)(i).
Pilot
§ 11.201(e)
Note: exceptions.
U.S., § 10.221(a)(1) § 11.201(d)
§ 10.302(a); § 11.709
§ 11.703; § 11.705
N/A: Note exceptions in § 11.201(g) for original national or STCW endorsements
N/A
§ 11.707; § 11.903; § 11.910
§ 11.705
§ 11.705(e), § 11.713
§ 11.201(i).
Towing Vessels
§ 11.201(e)
Note: exceptions.
U.S., § 10.221(a)(1) § 11.201(d)
§ 10.302(a)
part 11—subpart D
N/A: Note exceptions in § 11.201(g) for original national or STCW endorsements
§ 11.201(h)(1)(ii)
§ 11.201(h)(2)(ii)
Note: exceptions
§ 11.201(j); § 11.903; § 11.910
§ 11.464; § 11.465
original § 11.201(c)(2)
renewal § 10.227(e)
§ 11.201(i).
Offshore Supply Vessels (OSV)
§ 11.201(e)
Note: exceptions.
U.S., § 10.221(a)(1) § 11.201(d)
§ 10.302(a)
Master § 11.493
Chief Mate § 11.495
Mate § 11.497
C/E § 11.553
Engineer § 11.555
N/A: Note exceptions in § 11.201(g) for original national or STCW endorsements
§ 11.201(h)
§ 11.201(j);
Master § 11.493
Chief Mate § 11.495
Mate § 11.497
C/E § 11.553; § 11.903
Eng § 11.555; § 11.903
Master § 11.493
Chief Mate § 11.495
Mate § 11.497
C/E § 11.553
Engineer
§ 11.555
original § 11.201(c)(2)
renewal § 10.227(e).
§ 11.201(i).
MODU licenses
§ 11.201(e)
Note: exceptions.
U.S., § 10.221(a)(1)
§ 11.201(d).
§ 10.302(a)
OIM: § 11.470
B.S.: § 11.472
BCO: § 11.474
ChEng: § 11.542
Asst. Eng: § 11.544
N/A: Note exceptions in § 11.201(g) for original national or STCW endorsements
§ 11.201(h):
note exceptions
§ 11.201(j); § 11.903; § 11.920
N/A
original § 11.201(c)(2)
renewal § 10.227(e).
§ 11.201(i).
Uninspected Fishing Industry Vessels
§ 11.201(e)
Note: exceptions
U.S., § 10.221(a)(1)
§ 11.201(d)
§ 10.302(a)
Deck: § 11.462(c); (d);
Engine: § 11.530(c); (d); (e)
N/A: Note exceptions in § 11.201(g) for original national or STCW endorsements
§ 11.201(h)
Note: exceptions
§ 11.201(j); § 11.903; § 11.910
N/A
original § 11.201(c)(2)
renewal § 10.227(e).
§ 11.201(i).
Radio Officer
§ 11.201(e)
Note: exceptions
U.S., § 10.221(a)(1)
§ 11.201(d)
§ 10.302(a)
N/A
N/A: Note exceptions in § 11.201(g) for original national or STCW endorsements
N/A
N/A
§ 11.603
N/A
§ 11.201(i).
GMDSS Operator
N/A
N/A
N/A
N/A
N/A
N/A
N/A
11.604
N/A
N/A.
Officer raises of grade
§ 11.201(e)
Note: exceptions
U.S., § 10.221(a)(1)
§ 11.201(d)
§ 10.302(a)
§ 10.231(c); part 11, subparts D and E
N/A
N/A
§ 10.231(d); § 11.903; § 11.910; § 11.920; § 11.950
part 11, subparts D and E
3 months in past 3 years, § 11.201 (c)(2)
N/A.
Officer renewals
§ 11.201(e)
Note: exceptions
U.S., § 10.221(a)(1)
§ 11.201(d)
§ 10.302(a)
§ 10.227(d) and (e)
Note: exceptions
N/A
N/A
N/A
Towing officers, § 10.227(d) and (e)
1 year in past 5, § 10.227(e) and (f)
Note: alternative.
N/A.
Staff officer
§ 11.201(e)
Note: exceptions
U.S., § 10.221(a)(1)
§ 11.201(d).
§ 10.302(a)
§ 11.807
N/A: Note exceptions in § 11.201(g) for original national or STCW endorsements
N/A
N/A
§ 11.807
N/A
§ 11.201(i).
Staff officer renewals
§ 11.201(e)
Note: exceptions
U.S., § 10.221(a)(1)
§ 11.201(d).
§ 10.302(a)
N/A
N/A
N/A
N/A
N/A
N/A
N/A.
Able Seafarer
§ 12.401(c)(1)
U.S. or alien admitted for permanent residence, § 10.221(a)(2)
§ 10.302(a), § 12.401(c)(2)
§ 12.403
N/A
N/A
§ 12.401(c)(5)
§ 12.401(c)(6) § 12.405
Renewal only, 1 year in past 5, § 10.227(e) and (f)
Note: alternative
N/A.
Able Seafarer-Deck
§ 12.603(a)(1)
U.S. or alien admitted for permanent residence, § 10.221(a)(2)
§ 10.302(a)
§ 12.603(a)(3)
N/A
N/A
N/A
§ 12.603(a)(2) § 12.603(a)(4) § 12.603(a)(5)
Renewal only, 1 year in past 5, § 10.227(e) and (f)
Note: alternative
§ 12.602(a).
Ratings Forming Part of a Navigational Watch (RFPNW)
§ 12.605(a)(1)
U.S. or alien admitted for permanent residence, § 10.221(a)(2)
§ 10.302(a)
§ 12.605(a)(2)
N/A
N/A
N/A
§ 12.605(a)(3)
Renewal only, 1 year in past 5, § 10.227(e) and (f)
Note: alternative
§ 12.602(a).
Qualified Members of Engine Department (QMED)
§ 12.501(c)(1)
U.S. or alien admitted for permanent residence, § 10.221(a)(2)
§ 10.302(a)
§ 12.503
N/A
N/A
§ 12.505
N/A
Renewal only, 1 year in past 5, § 10.227(e) and (f)
Note: alternative
N/A.
Able Seafarer-Engine
§ 12.607(a)(1)
U.S. or alien admitted for permanent residence, § 10.221(a)(2)
§ 10.302(a)
§ 12.607(a)(3)
N/A
N/A
N/A
§ 12.607(a)(2); (4) § 12.607(b); (c)
Renewal only, 1 year in past 5, § 10.227(e) and (f)
Note: alternative
§ 12.602(a).
Ratings Forming Part of an Engineering Watch (RFPEW)
§ 12.609(a)(1)
U.S. or alien admitted for permanent residence, § 10.221(a)(2)
§ 10.302(a)
§ 12.609(a)(2)
N/A
N/A
N/A
§ 12.609(a)(3)
Renewal only, 1 year in past 5, § 10.227(e) and (f)
Note: alternative
§ 12.602(a).
Electro-technical Rating
§ 12.611(a)(1)
U.S. or alien admitted for permanent residence, § 10.221(a)(2)
§ 10.302(a)
§ 12.611(a)(2)
N/A
N/A
N/A
§ 12.611(a)(3); § 12.611(b)
Renewal only, 1 year in past 5, § 10.227(e) and (f)
Note: alternative
§ 12.602(a).
Entry level ratings
N/A
U.S. or alien admitted for permanent residence, § 10.221(a)(2)
§ 12.803; § 12.809
N/A; note exception in § 12.811(a)(2)
Note: Food Handler (F.H.) requirements in table § 10.302(a)
(xiii) § 10.302(a) (xiv)
N/A
N/A
N/A
N/A
N/A
N/A
N/A.
Lifeboat Operator
N/A
U.S. or alien admitted for permanent residence, § 10.221(a)(2)
§ 10.302(a)
§ 12.407(b)(1)
N/A
N/A
§ 12.407(b)(2); (4)
§ 12.407(b)(2); (3)
Renewal only, 1 year in past 5, § 10.227(e) and (f)
Note: alternative
N/A.
Lifeboat Operator-Limited
N/A
U.S. or alien admitted for permanent residence, § 10.221(a)(2)
§ 10.302(a)
§ 12.409(b)(1)
N/A
N/A
§ 12.409(b)(2); (4)
§ 12.409(b)(2); (3)
Renewal only, 1 year in past 5, § 10.227(e) and (f)
Note: alternative
N/A.
Proficiency in Fast Rescue Boats
§ 12.617(a)(1)
U.S. or alien admitted for permanent residence, § 10.221(a)(2)
N/A
N/A
N/A
N/A
N/A
§ 12.617(a)(2); (3); (4)
Renewal only, 1 year in past 5, § 10.227(e) and (f)
Note: alternative
Renewal § 12.617(b)(2)
§ 12.602(a).
Proficiency in Survival Craft and Rescue Boats other than Fast Rescue Boats
§ 12.613(a)(1)
U.S. or alien admitted for permanent residence, § 10.221(a)(2)
N/A
§ 12.613(a)(2)
N/A
N/A
N/A
§ 12.613(a)(3)
Renewal only, 1 year in past 5, § 10.227(e) and (f)
Note: alternative
Renewal: § 12.613(b)(2)
§ 12.602(a).
Proficiency in Survival Craft and Rescue Boats other than Lifeboats and Fast Rescue Boats-Limited
§ 12.615(a)(1)
U.S. or alien admitted for permanent residence, § 10.221(a)(2)
N/A
§ 12.615(a)(2)
N/A
N/A
N/A
§ 12.615(a)(3)
Renewal only, 1 year in past 5, § 10.227(e) and (f)
Note: alternative.
Renewal: § 12.615(b)(2)
§ 12.602(a).
Assistance Towing endorsement
N/A
N/A
N/A
§ 11.482
N/A
N/A
§ 11.482
§ 11.482
original § 11.201(c)(2)
N/A.
Radar Observer endorsement
N/A
N/A
N/A
N/A
N/A
N/A
N/A
§ 11.480(d); (h)
N/A
N/A.
Vessel Security Officer (VSO)
§ 11.337(a)
U.S. or alien admitted for permanent residence, § 10.221(a)(1) § 10.221(a)(2)
§ 10.302(a)
§ 11.337(a)
N/A: Note exceptions in § 11.201(g) for original national or STCW endorsements
N/A
N/A
§ 11.337(a)
original § 11.201(c)(2)
renewal § 10.227(e).
§ 11.201(i).
High Speed Craft
N/A
U.S. § 10.221(a)(1)
N/A
§ 11.821(b)(1) § 11.821(c)
N/A: Note exceptions in § 11.201(g) for original national or STCW endorsements
N/A
N/A
§ 11.821(b)(2)
Renewal: § 11.821(e)
N/A.
GMDSS at-Sea Maintainer
§ 12.623(a)
N/A
N/A
N/A
N/A
N/A
N/A
§ 12.623(b)
N/A
N/A.
Medical First-aid Provider
N/A
N/A
N/A
§ 12.619(b)
N/A
N/A
N/A
§ 12.619(a)(1); (2)
N/A
§ 12.619(a)(1).
Person in Charge of Medical Care
N/A
N/A
N/A
§ 12.621(b)
N/A
N/A
N/A
§ 12.621(a)(1); (2)
N/A
§ 12.621(a)(1).
Vessel Personnel with Designated Security Duties
§ 12.625(a)(1)
U.S. or alien admitted for permanent residence, § 10.221(a)(2)
§ 12.803
§ 12.625(a)(2)
§ 12.625(a)(1)
N/A
N/A
N/A
§ 12.625(a)(1)
Renewal only, 1 year in past 5, § 10.227(e) and (f)
Note: alternative
N/A.
Security Awareness
§ 12.627(a)(1)
U.S. or alien admitted for permanent residence, § 10.221(a)(2)
§ 12.803
§ 12.627(a)(2)
§ 12.627(a)(1)
N/A
N/A
N/A
§ 12.627(a)(1)
Renewal only, 1 year in past 5, § 10.227(e) and (f)
Note: alternative
N/A.
Ratings serving on passenger ships on international voyages
N/A
N/A
N/A
N/A
N/A
N/A
N/A
§ 12.905(a); (b)
Renewal § 12.905(d)
N/A.
19. Revise § 10.302 paragraph (b) and table 1 to § 10.302(a) to read as follows:
§ 10.302
Medical and physical requirements.
(b) Any required test, exam, or demonstration must have been performed, witnessed, or reviewed by a Licensed Medical Doctor, Licensed Physician Assistant, Licensed Nurse Practitioner, or a Designated Medical Examiner. All licensed medical practitioners must hold a valid license issued in the United States.
Table 1 to § 10.302(
a
)—Medical and Physical Requirements for Mariner Endorsements
1
2
3
4
5
Credential
Vision test
Hearing test
General
medical exam
Demonstration of physical ability
(1) Deck officer, including Pilot
§ 10.305(a)
§ 10.306
§ 10.304(a)
§ 10.304(c)
(2) Engineering officer
§ 10.305(b)
§ 10.306
§ 10.304(a)
§ 10.304(c)
(3) Radio Officer
§ 10.305(b)
§ 10.306
§ 10.304(a)
§ 10.304(c)
(4) OIM, BS, or BCO
§ 10.305(b)
§ 10.306
§ 10.304(a)
§ 10.304(c)
(5) Able Seafarer
§ 10.305(a)
§ 10.306
§ 10.304(a)
§ 10.304(c)
(6) QMED
§ 10.305(b)
§ 10.306
§ 10.304(a)
§ 10.304(c)
(7) Able Seafarer-Deck
§ 10.305(a)
§ 10.306
§ 10.304(a)
§ 10.304(c)
(8) RFPNW
§ 10.305(a)
§ 10.306
§ 10.304(a)
§ 10.304(c)
(9) Able Seafarer-Engine
§ 10.305(b)
§ 10.306
§ 10.304(a)
§ 10.304(c)
(10) RFPEW
§ 10.305(b)
§ 10.306
§ 10.304(a)
§ 10.304(c)
(11) ETR
§ 10.305(b)
§ 10.306
§ 10.304(a)
§ 10.304(c)
(12) Tank vessel endorsement
§ 10.305(b)
§ 10.306
§ 10.304(a)
§ 10.304(c)
(13) Lifeboat Operator and PSC
§ 10.305(b)
§ 10.306
§ 10.304(a)
§ 10.304(c)
(14) Lifeboat Operator-Limited and PSC-Limited
§ 10.305(b)
§ 10.306
§ 10.304(a)
§ 10.304(c)
(15) Fast Rescue Boat
§ 10.305(b)
§ 10.306
§ 10.304(a)
§ 10.304(c)
(16) Food Handler serving on vessels to which STCW does not apply
§ 10.304(b)
(17) Food Handler serving on vessels to which STCW applies
§ 10.304(b)
§ 10.304(c)
(18) Ratings, including entry level, serving on vessels to which STCW applies, other than those listed above
§ 10.304(c)
(19) Ratings, including entry level, serving on vessels to which STCW does not apply, other than those listed above
(20) VSO
§ 10.305(a)
§ 10.306
§ 10.304(a)
§ 10.304(c)
§ 10.304
[Amended]
20. Amend § 10.304 in paragraph (b) by removing the word “handlers” and, in its place, adding the word “Handlers.”
21. Amend § 10.305 by revising the heading to paragraph (b) and paragraphs (c) through (e) to read as follows:
§ 10.305
Vision requirements.
(b)
Engineering, Radio Officer, tank vessel endorsement, and MODU standard.
(c)
Vision waiver.
Any applicant whose uncorrected vision does not meet the 20/200 standard and is correctable to listed standards above may be granted a medical waiver in accordance with § 10.303. If a vision waiver is granted, a limitation will be placed on the medical certificate indicating the mariner may not serve under the authority of the endorsement unless corrective lenses are worn and spare lenses are carried onboard a vessel. Waivers are not normally granted to an applicant whose corrected vision in the better eye is not at least 20/40 for deck officers or 20/50 for engineer officers.
(d)
Vision operational limitation.
If corrective lenses are required in order to meet the vision standards above, a mariner may not serve under the authority of the endorsement unless corrective lenses are worn and spare lenses are carried onboard a vessel. This operational limitation will be placed on their medical certificate.
(e)
Loss of vision.
A mariner having lost vision in one eye must wait 6 months from the date of the vision loss before submitting any application, and must provide a statement of demonstrated ability on their medical examination.
22. Revise § 10.403 to read as follows:
§ 10.403
General Standards.
(a) Each school with an approved course must—
(1) Have a well-maintained facility that accommodates the students in a safe and comfortable environment conducive to learning;
(2) Have the necessary equipment, including simulators where appropriate, sufficient for the number of students to be accommodated, and support the objectives of the course;
(3) Administer training entirely in the English language unless specifically approved to be presented in another language;
(4) Administer written examinations to each student appropriate for the course material and the knowledge requirements of the position or endorsement for which the student is being trained. For a course approved to substitute for a Coast Guard-administered examination, the courses must be of such a degree of difficulty that a student who successfully completes them would most likely pass, on the first attempt, an examination prepared by the Coast Guard;
(5) Require each student to successfully demonstrate practical skills appropriate for the course material and equal to the level of endorsement for which the course is approved; and
(6) Keep physical or electronic copies of the following records for at least 5 years after the end of each student's completion or disenrollment from a course or program:
(i) A copy of each student's examination scores;
(ii) A copy of each examination or, in the case of a practical test, a report of such test;
(iii) A record of each student's classroom attendance, which includes their full name, Coast Guard-issued
Mariner Reference Number, or date of birth and place of birth if they do not have a Mariner Reference Number;
(iv) A copy of each student's course completion certificate or program completion certificate, as appropriate;
(v) A summary of changes or modification to the last course submittal;
(vi) A list of all locations at which the training course was presented and the number of times it was presented at each location;
(vii) The name(s) of the instructor(s) who taught the course, which does not include lab assistants or other non-teaching assistants;
(viii) The number of students who
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