Five-Year Term of Validity for Certificates of Registry and Merchant Mariner's Documents; Final Rule DEPARTMENT OF TRANSPORTATION

SUMMARY: This rulemaking establishes Coast Guard regulations which

implement the provisions of the Oil Pollution Act of 1990 (OPA 90) that

require certificates of registry (CORs) and merchant mariner's

documents (MMDs) to be renewed every 5 years. A 5-year renewal period

allows the Coast Guard to ensure that vessel personnel continue to be

qualified to safely serve aboard a vessel. This rulemaking includes

requirements for renewing CORs and MMDs, a schedule for renewing

existing CORs and MMDs, and the associated user fees.

EFFECTIVE DATE: This rule is effective October 27, 1994, except for 46

CFR 10.811 and 46 CFR 12.02-29 which are effective January 1, 1995.

ADDRESSES: Unless otherwise indicated, documents referenced in this

preamble are available for inspection or copying at the office of the

Executive Secretary, Marine Safety Council (G-LRA/3406), U.S. Coast

Guard Headquarters, 2100 Second Street SW., room 3406, Washington, DC

20593-0001 between 8 a.m. and 3 p.m., Monday through Friday, except

Federal holidays. The telephone number is (202) 267-1477.

FOR FURTHER INFORMATION CONTACT: Mrs. Justine Bunnell, Merchant Vessel

Personnel Division (G-MVP-1), Office of Marine Safety, Security, and

Environmental Protection, (202) 267-0238.

SUPPLEMENTARY INFORMATION:

Drafting Information

The principal persons involved in drafting this document are Mr.

James W. Cratty, Project Manager, and Ms. Jacqueline L. Sullivan,

Project Counsel, OPA 90 Staff.

Regulatory History

On September 16, 1993, the Coast Guard published a notice of

proposed rulemaking (NPRM) entitled Five-Year Term of Validity for

Certificates of Registry and Merchant Mariner's Documents in the

Federal Register (58 FR 48572). The 60-day comment period closed on

November 15, 1993. The NPRM discussed the background and statutory

requirements of section 4102 (b) and (c) of OPA 90 which amended 46

U.S.C. 7107 and 7302. It also discussed the requirements of the Omnibus

Budget Reconciliation Act of 1990 which amended 46 U.S.C. 2110. The

Coast Guard received 13 letters commenting on the proposal from

mariners, unions, and marine industry representatives. A public hearing

was not requested, and one was not held.

After careful review of these comments and the NPRM, the Coast

Guard has finalized the requirements for renewal of Certificates of

Registry and Merchant Mariner's Documents. The Coast Guard finds that

the regulations provide the maximum flexibility practicable in

establishing requirements for a 5-year term of validity for CORs and

MMDs.

Background and Purpose

The Coast Guard issues certificates of registry (CORs) under the

authority of 46 U.S.C. chapters 71 and 75. CORs are issued to provide

registry of staff officers for service in positions such as purser,

medical doctor, and professional nurse. The Coast Guard issues merchant

mariner's documents (MMDs) under the authority of 46 U.S.C. chapters 73

and 75. MMDs authorize individuals to work in different capacities on

deck, and in the engine and steward's departments, on seagoing vessels

over 100 gross tons. MMDs, with an appropriate endorsement, also

identify qualified tankermen.

Section 4102(b) of the Oil Pollution Act of 1990 (OPA 90) (Pub. L.

101-380) amended 46 U.S.C. 7107 by limiting the term of a COR to 5

years. Section 4102(c) of OPA 90 amended 46 U.S.C. 7302 by establishing

the same limited term for MMDs. The Conference Report on OPA 90 (H.R.

Conf. Rep. No. 101-653) explains that a 5-year renewal period will

allow the Coast Guard to ensure that vessel personnel continue to be

qualified to operate a vessel safely.

Section 4102(d) of OPA 90 limits the term of validity of all

existing CORs and MMDs and provides for staggered expirations over a 5-

year span. The statutory language provides that CORs and MMDs issued

before August 18, 1990 expire on the day they would have expired if

they had been issued for a term of 5 years and been renewed at the end

of each succeeding 5-year period. This avoids the problems that would

have been encountered if all CORs and MMDs expired at the same time. If

this language is interpreted so that the 5-year period began on August

18, 1990, the date OPA 90 was enacted, documents would have expired at

a time when no review and renewal procedures were in place. Mariners

with such an expired document could not continue working, placing a

tremendous burden on both individual mariners and the maritime

industry. The Coast Guard interprets the statutory language to include

an additional 5-year renewal cycle to avoid such a harsh result. The

Coast Guard has modified the tables in 46 CFR 10.811 and 12.02-29 to

commence the mandatory 5-year renewal period beginning on January 1,

1995. This will allow merchant mariners sufficient time to comply with

the regulation's requirements.

Pending the development of these proposed procedures for renewal of

CORs and MMDs, the Coast Guard has been issuing CORs and MMDs that are

valid for a period of 5 years since March 1991.

The Omnibus Budget Reconciliation Act of 1990 amended 46 U.S.C.

2110 to require the Coast Guard to establish and collect user fees for

services it provides under subtitle II of 46 U.S.C., including the

issuance and renewal of CORs and MMDs.

Sections 4101 (a) and (b) of OPA 90 amend 46 U.S.C. 7101 and 7302,

respectively, to require every person who applies for the issuance or

renewal of a license, COR, or MMD to have a chemical test for dangerous

drugs. On March 4, 1994, the Coast Guard published an NPRM in the

Federal Register entitled ``Chemical Testing for Dangerous Drugs of

Applicants for Issuance or Renewal of Licenses, Certificates of

Registry, or Merchant Mariner's Documents'' (59 FR 10544) (CGD 91-223).

The Coast Guard originally intended to merge the chemical testing

requirements and the regulations for terms of validity into one final

rule. However, the Coast Guard has decided to publish these rules

separately in order to facilitate public participation.

As required by OPA 90, the Coast Guard is also developing a

rulemaking which addresses how review of information in the National

Driver Register and a criminal record review will become part of the

license, COR, and MMD renewal process (CGD 91-212).

Discussion of Comments and Changes

Thirteen letters were received in response to the NPRM. The Coast

Guard has reviewed all of the comments and, in some instances, revised

the proposed regulations as appropriate. The comments have been grouped

by issue, and are discussed as follows.

1. User Fees

Several comments objected to the proposed Coast Guard user fees for

renewals of MMDs and CORs. As stated in the NPRM, the Omnibus Budget

Reconciliation Act of 1990 amended 46 U.S.C. 2110 to require the Coast

Guard to establish and collect user fees for services it provides under

46 U.S.C., subtitle II. The Coast Guard has no discretion in the

decision to establish fees for these services. The fee amounts for

issuance of CORs and MMDs and for issuance and renewal of licenses were

set by a final rule entitled ``User Fees for Marine Licensing,

Certification of Registry and Merchant Mariner Documentation'' (58 FR

15228; March 19, 1993) (CGD 91-002). These rules became effective April

19, 1993. At that time, CORs and MMDs were not being renewed so that

rule did not establish fee amounts for COR and MMD renewals. Therefore,

fee amounts for COR and MMD renewals are set in this final rule.

The regulatory evaluation in this final rule discusses the fee

amounts. For a summary of how the fee amounts were set, see the

``Regulatory Evaluation'' section of this rule.

2. Concurrent Renewals

One comment suggested a reduced fee for mariners who renew more

than one merchant mariner credential at the same time. This approach

was outlined in the NPRM and remains unchanged in the final rule. The

Coast Guard encourages concurrent renewal of merchant mariner

credentials whenever possible. However, all renewal requirements for

each license, COR, or MMD must be met.

Renewal Evaluation Fees. When CORs or MMDs are renewed in

conjunction with the renewal of a license, the Coast Guard will charge

only the license renewal evaluation fee, since the evaluation for a

license encompasses all factors considered in evaluating applicants for

MMDs. When CORs or MMDs are renewed in conjunction with one another,

but not in conjunction with a license, the Coast Guard will charge only

the MMD renewal evaluation fee, if applicable, since there is no COR

renewal evaluation fee.

Renewal Exercise Fees. When an MMD is renewed concurrently with a

license and the applicant must take an open-book exercise for each

renewal, the applicant need only pay the license exercise fee. If a

license and MMD are renewed concurrently and the only open-book

exercise is for an MMD, then the applicant will pay the MMD exercise

fee.

Renewal Issuance Fees. It should be noted that a separate issuance

fee will always be charged for each license, COR or MMD issued,

regardless of whether the credential(s) are issued concurrently or

individually.

3. Physical Requirements

The Merchant Marine Personnel Advisory Committee recommended to the

Coast Guard that individuals holding MMDs with qualified ratings be

required to undergo physical examinations when renewing MMDs. The Coast

Guard has included such a requirement in this rulemaking.

Two comments addressed the physical requirements for renewal of

MMDs with endorsements. The comments stated that the physical standards

for renewal of MMDs with endorsements should not be the same as the

physical standards for the original issuance of MMDs with endorsements.

In response to these comments, the Coast Guard revised the physical

examination section for MMD renewal, making it consistent with the

physical examination section for license renewal. The physical

examination for renewal of a license does not require the applicant to

be tested for color sensitivity; however, the physical examination for

original issuance of a license does require a color sensitivity test.

This is the only difference in physical requirements between original

issuance and renewal of licenses. The Coast Guard has revised the

physical examination section for renewal of MMDs with endorsements to

no longer require a color sensitivity test.

It should be noted that while the examination requirements are

slightly different, the medical standards the Coast Guard applies to

determine if a mariner is qualified for a license or document are the

same regardless of whether the license or document is an original or a

renewal. The Coast Guard believes that these standards are the minimum

necessary to ensure safe service under a license or document and are

therefore appropriate for both originals and renewals.

4. Professional Requirements

One comment suggested that individuals holding MMDs with qualified

ratings, who serve as officials for unions in positions closely related

to the training and servicing of active seamen should be required to

show only 1 year of employment to meet the professional requirements

for renewing an MMD. The professional requirements are intended to

ensure that mariners maintain their professional knowledge and keep

abreast of current technology. The NPRM proposed 3 years of employment

in a position closely related to the operation, construction, or repair

of vessels (either deck or engineer, as appropriate) as a substitute

for 1 year of sea service. The Coast Guard believes that 1 year in a

position of closely related maritime service, including training and

servicing of active seamen, does not provide experience equivalent to 1

year of actual sea service. Therefore, the final rule retains the 3

year time requirement for all forms of closely related service.

One comment expressed concern about using an open-book

``examination'' as a substitute for sea service when renewing an MMD

with an endorsement. The open-book renewal exercise will provide a

means for those individuals who are not actively sailing or involved in

the industry to maintain a working familiarity with the skills

necessary to work in the industry. The renewal exercise contains

general subject matter pertaining to the various endorsement(s) of the

MMD and requires a 90 percent passing grade. The Coast Guard has

concluded that this is an acceptable means of ensuring that endorsement

holders continue to maintain their professional knowledge.

5. Continuity Endorsement

In response to several comments, the Coast Guard has included in

the final rule a provision to renew MMDs ``For Continuity Purposes

Only.'' This provision follows the same procedures as the renewal

policy for license holders. Individuals renewing MMDs with qualified

ratings who cannot meet the professional or physical requirements will

have the endorsement ``Continuity only; service under document

prohibited'' placed on the MMD. Holders with this continuity

endorsement may have the service prohibition rescinded at any time by

satisfying the renewal requirements not previously met and paying the

appropriate renewal fees.

6. Other Comments

Another comment addressed the renewal of Continuous Discharge Books

(CDB) which the Coast Guard issues to merchant mariners for a

chronological record of seagoing employment. Regulations listed in 46

CFR 12.02 cover issuing additional CDBs. Because OPA 90 does not

address CDBs and because CDBs alone do not allow employment on a

merchant ship, no change to the regulations is required.

Another comment stated that the NPRM did not address the grace

period provision for MMD expiration dates determined by Table 12.02-29.

The grace period explained under Sec. 12.02-27(e) applies to all MMD

expiration dates including MMD expiration dates specified in Table

12.02-29. For example, an MMD issued on January 1, 1966, would expire

on January 1, 1996 under Table 12.02-29. The holder of that MMD will

have a 12 month period of grace, running until January 1, 1997, in

which he or she may renew the document.

One comment pointed out that the description of the procedures for

renewal of MMDs by mail was not detailed enough. The Coast Guard has

provided additional detail in Sec. 12.02-27(e)(3) of the regulations.

Additional Changes

To correct minor errors and to reflect renewal requirements for

certificates of registry, the Coast Guard is updating the table in 46

CFR 10.203. Additionally, numerous non-substantive editorial changes

have been made to the final rule in order to improve its clarity, and

to ensure that the public understands the requirements set forth.

Regulatory Evaluation

This final rule is not a significant regulatory action under

section 3(f) of Executive Order 12866 and does not require an

assessment of potential costs and benefits under section 6(a)(3) of

that order. It has not been reviewed by the Office of Management and

Budget under that order. It is not significant under the regulatory

policies and procedures of the Department of Transportation (DOT) (44

FR 11040; February 26, 1979).

A final Regulatory Evaluation under paragraph 10e of the regulatory

policies and procedures of DOT has been prepared and is available in

the docket for inspection or copying where indicated under ADDRESSES.

The Evaluation is summarized as follows.

1. Government/Coast Guard cost. Government and Coast Guard costs

attributable to implementing renewal requirements for merchant mariner

credentials will be primarily incurred by the 17 Coast Guard Regional

Examination Centers (RECs). Cost incurring activities will consist of

evaluating renewal applications, administering examinations, and

issuing renewed CORs and MMDs. Projections of costs and impacts for

renewal of CORs and MMDs are based upon a calculation of the current

merchant marine licensing and documentation program costs. Data used in

this calculation included: information from a workload analysis study;

hourly standard rates provided in the Coast Guard Standard Rate

Instruction (COMDTINST 7310); and the Coast Guard Staffing Standards

Manual (COMDTINST M5312.11A).

The Coast Guard calculates the projected personnel and associated

infrastructure costs for COR and MMD renewal activities to be

approximately $1.23 million annually, which will be offset by

approximately $1.16 million annually in user fees. User fee receipts

will be deposited in the general fund of the U.S. Treasury as

offsetting receipts of the Department of Transportation and ascribed to

Coast Guard activities.

2. Costs to the public. The Coast Guard estimates a total pool of

1,500 active staff officers and 88,500 active MMD holders who may seek

renewal of CORs or MMDs respectively. One-fifth of the total pool is

expected to renew each year, resulting in 300 COR and 17,700 MMD

renewals annually. Because the renewal process occurs once every 5

years, total costs can be divided by 5 to determine an annualized cost.

Costs incurred by merchant mariners seeking renewal of CORs or MMDs

will consist of user fees, photographs for MMDs, physical examinations,

and time spent in the renewal process itself. This aggregate cost

represents the highest average amount a mariner may expect to pay.

However, variations in fees and renewal requirements will result in

significantly lower costs for many mariners. The cost estimates are as

follows:

------------------------------------------------------------------------

Total cost Annualized

------------------------------------------------------------------------

Individual Mariner........................ = $278.84 $55.77

Whole Pool Impact......................... = 25,095,600 5,019,120

------------------------------------------------------------------------

3. Benefits. Direct and societal benefits resulting from periodic

renewal of CORs and MMDs may be substantial. The renewal process will

eventually include three additional regulatory initiatives to implement

OPA 90, and to ensure continuing qualification of merchant mariners.

These initiatives are: (1) criminal record reviews, (2) national driver

register checks, and (3) chemical drug testing.

Licensed, certificated, or documented merchant mariners play

crucial and responsible roles in the safe operation of vessels, and

they have important responsibilities during vessel emergencies. It is

imperative that merchant mariners know that they are going to sea with

a competent crew and that other vessels are operated by equally

competent mariners. This rule will protect employees, employers, the

marine environment, and the general public. Some of the direct benefits

will include the following:

a. Employment protections and preferences, identification, proof of

citizenship, proof of physical and other competency qualifications.

Merchant mariners get employment benefits and know that shipmates to

whom they entrust their lives at sea are qualified; and

b. Potentially fewer personal injuries.

In addition, society may benefit indirectly through potentially

fewer groundings, accidents, losses of property, and releases of oil

and hazardous materials into the marine environment. There is

insufficient historical data to quantify the benefits of the

regulations. However, should this program manage to save even two lives

per year at $2.6 million per statistical life saved (which recent

research shows is a reasonable estimate of people's willingness-to-pay

for safety), its benefits would exceed its cost. If maritime accidents

were reduced even by a small percentage, savings would accrue to the

maritime industry through lower repair and medical costs and to the

public through environmental protection.

Small Entities

Under the Regulatory Flexibility Act (5 U.S.C. 601 et seq.), the

Coast Guard must consider whether this proposal, if adopted, will have

a significant economic impact on a substantial number of small

entities. ``Small entities'' may include (1) small businesses and not-

for-profit organizations that are independently owned and operated and

are not dominant in their fields and (2) governmental jurisdictions

with populations of less than 50,000.

Individual applicants are responsible for payment of issuance and

renewal fees of CORs and MMDs to the Coast Guard. However, some firms

in the maritime industry now voluntarily pay their employees' fees for

obtaining CORs and MMDs. Some firms may choose to pay part or all of

their employees' additional fees which will result from this

rulemaking. However, the regulations do not require firms to pay for

document issuance or document renewal fees for any applicant in whom

the final rule vests responsibility. Consequently, small entities--for

example, the 355 inland barge operators with fleets of 10 or fewer

barges--are not, and will not be required to incur costs for applicant

renewals of CORs and MMDs. Because it expects the impact of this

proposal to be minimal, the Coast Guard certifies under 5 U.S.C. 605(b)

that this proposal, if adopted, will not have a significant economic

impact on a substantial number of small entities.

Collection of Information

This rule contains collection-of-information requirements. The

Coast Guard has submitted the requirements to the Office of Management

and Budget (OMB) for review under section 3504(h) of the Paperwork

Reduction Act (44 U.S.C. 3501 et seq.), and OMB has approved them. The

section numbers are 10.209 and 12.02-27 and the corresponding OMB

Control Number is 2115-0514.

Federalism

The Coast Guard has analyzed these regulations under the principles

and criteria contained in Executive Order 12612 and has determined that

the regulations do not have sufficient federalism implications to

warrant the preparation of a Federalism Assessment.

Environment

The Coast Guard considered the environmental impact of these

regulations and concluded that, under section 2.B.2 of Commandant

Instruction M16475.1B, the regulations are categorically excluded from

further environmental documentation. Section 2.B.2.1 of that

instruction excludes administrative actions and procedural regulations

and policies which clearly do not have any environmental impact. A

Categorical Exclusion Determination is available in the docket for

inspection or copying where indicated under ADDRESSES.

List of Subjects

46 CFR Part 10

Fees, Reporting and recordkeeping requirements, Schools, Seamen.

46 CFR Part 12

Fees, Reporting and recordkeeping requirements, Seamen.

For the reasons set out in the preamble, the Coast Guard amends 46

CFR parts 10 and 12 as follows:

PART 10--LICENSING OF MARITIME PERSONNEL

1. The authority citation for part 10 is revised to read as

follows:

Authority: 31 U.S.C. 9701; 46 U.S.C. 2103, 7101, 7106, 7107; 49

CFR 1.45, 1.46; Section 10.107 also issued under the authority of 44

U.S.C. 3507.

2. Section 10.109 is amended by adding paragraph (d)(3) to read as

follows:

Sec. 10.109 Fees.

* * * * *

(d) * * *

(3) For renewal of a Certificate of Registry:

(i) For evaluation for renewal of a certificate of registry, no

fee.

(ii) For issuance of a renewed certificate of registry, $35.

* * * * *

3. Section 10.202 is amended by revising the section heading and

paragraphs (a), (b), and (c) to read as follows:

Sec. 10.202 Issuance of licenses and certificates of registry.

(a) Applications for original licenses, original certificates of

registry, raises of grade, extensions of route, or endorsements must be

current and up-to-date with respect to service and the physical

examination, as appropriate. Physical examinations and approved

applications are valid for 12 months.

(b) Any person who is found qualified under the requirements set

forth in this part is issued an appropriate license or certificate of

registry valid for a term of 5 years from date of issuance. Any license

or certificate of registry which is renewed or upgraded prior to its

expiration date automatically becomes void upon issuance of the

replacement license or certificate of registry.

(c) A license or certificate of registry is not valid until signed

by the applicant and the OCMI (or the OCMI's designated

representative).

* * * * *

4. Section 10.203 is revised to read as follows:

Sec. 10.203 Quick reference table for license and certificate of

registry requirements.

Table 10.203 provides a guide to the requirements for various

licenses and certificates of registry. Provisions in the reference

section are controlling.

Table 10.203

------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

Recommendations

License category Minimum age Citizenship Physical required Experience and character Firefighting Professional exam Recency of First aid and CPR

requirement requirements check certificate requirements Service requirements

------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

Masters/mates and 21; 10.201(f); Yes, 10.201(e); Yes, 10.205(d); Yes, 10.205(e); Yes, 10.205(f)... Yes, 10.205(g); Yes, 10.205(i), Yes, 3 months Yes, in

operators or Note: exceptions. Note: exception. Note: (d)(2). subpart D. Note: exceptions. 10.910; Note: past 36 months, 10.205(h).

uninspected 10.903(b). 10.202(e).

passenger vessels

(original license).

Engineers (original 21;10.201(f); Yes............... Yes, 10.205(d); 10.205(e); Yes, 10.205(f);.. Yes, 10.205(g)... Yes, 10.205(i) Yes, 3 months in Yes, 10.205(h).

license). Note: exceptions. Note: (d)(3). subpart E. 10.950. past 36 months,

10.202(e).

All raises of grade 21; 10.201(f); Yes............... 10.207(e); Note: 10.207(c); N/A.............. Yes, Note: 10.207(d). Yes, 3 months in N/A.

Note: exceptions. (e)(1). subparts D & E. 10.207(f). 10.910. 10.920. past 36 months

10.950. 10.202(e).

License renewals... N/A............... Yes............... 10.209(d)........ 10.209(c)........ N/A.............. N/A.............. 10.209(c)........ 10.209(c)........ N/A.

COR renewals....... N/A............... Yes............... No............... 10.209(c)(5)..... N/A.............. N/A.............. N/A.............. N/A.............. N/A.

Pilot.............. 21................ Yes............... Yes, 10.709...... 10.703, Yes, 10.205(f)... N/A.............. 10.707, 10.910... Yes, 10.703, Yes, 10.205(h).

10.706(a), 10.705(e),

10.715. 10.713.

Uninspected fishing 21; 10.201(f); Yes............... Yes, 10.205(d); Deck: 10.462, Yes, 10.205(f)... Yes, 10.205(g)... Yes, 10.205(i). Yes, 3 months in Yes, 10.205(h).

industry vessels. Note: exceptions. Note: (d)(2) or Eng: 10530, 10.910. past 36 months

(d)(3). 10.205(f). 10.950(oral). 10.202(e).

Uninspected towing Operator:21; 2/c Yes............... Yes, 10.205(d); 10.464........... Yes, 10.205(f)... Yes, 10.205(g) Yes, 10.205(i). Yes, 3 months in Yes, 10.205(h).

vessels. operator: 19. Note: (d)(2). oceans. 10.910. past 36 months,

10.202(e).

Radio officer...... 19................ Yes............... Yes, 10.205(d); 10.603........... Yes, 10.205(f)... N/A.............. N/A.............. N/A.............. Yes, 10.205(h).

Note: (d)(3).

Staff officer...... 21................ Yes............... No............... 10.807........... Yes, 10.205(f)... N/A.............. N/A.............. N/A.............. N/A.

Offshore 21; 10201(f); Yes............... Yes, 10.205(d); Deck: 10.468, Yes, 10.205(f)... Yes, 10.205(g)... Yes, 10.205(i). Yes, 3 months in Yes, 10.205(h).

installation Note: exceptions. Note: (d)(3). Eng: 10.540. 10.920. past 36 months,

manager, barge 10.202(e).

supervisor,

ballast control

operator.

------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

5. Section 10.209 is revised to read as follows:

Sec. 10.209 Requirements for renewal of licenses and certificates of

registry.

(a) General. Except as provided in paragraph (g) of this section,

an applicant for renewal of a license or certificate of registry shall

establish possession of all of the necessary qualifications before the

license or certificate of registry is issued.

(1) Each application must be on a Coast Guard furnished form and be

accompanied by the evaluation fee set out in Sec. 10.109. An approved

application is valid for 12 months.

(2) The applicant may apply in person at any Regional Examination

Center listed in Sec. 10.105 or may renew the license or certificate of

registry by mail under paragraph (e)(3) of this section.

(3) The applicant shall submit the original or a photocopy of the

license or certificate of registry to be renewed. A photocopy will

include the back and all attachments. If requested, the old license or

certificate of registry will be returned to the applicant.

(b) Fitness. No license or certificate of registry will be renewed

if it has been suspended without probation or revoked as a result of

action under part 5 of this chapter, or facts that would render a

renewal improper have come to the attention of the Coast Guard.

(c) Professional requirements. (1) In order to renew a license as

master, mate, engineer, pilot, or operator, the applicant shall:

(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 I of this

part;

(iii) Complete an approved refresher training course; or

(iv) Present evidence of employment 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 with this type of employment must also

demonstrate knowledge on an applicable Rules of the Road exercise.

(2) The qualification requirements for renewal of radar observer

endorsement are in Sec. 10.480.

(3) Additional qualification requirements for renewal of a license

as pilot are contained in Sec. 10.713.

(4) An applicant for renewal of a radio officer's license shall, in

addition to meeting the requirements of paragraphs (a) and (b) of this

section, present a currently valid license as first- or second-class

radiotelegraph operator issued by the Federal Communications

Commission. This license will be returned to the applicant.

(5) An applicant for renewal of a medical doctor or professional

nurse certificate of registry shall, in addition to meeting the

requirements of paragraphs (a) and (b) of this section, present

evidence that he or she 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.

(d) Physical requirements. (1) An applicant for renewal of a

license shall submit a certification by a licensed physician or

physician assistant that he or she is in good health and has no

physical impairment or medical condition which would render him or her

incompetent to perform the ordinary duties of that license. This

certification must address visual acuity and hearing in addition to

general physical condition and must have been completed within 12

months of the date of application.

(2) If the OCMI has reason to believe that an applicant for renewal

of a license suffers from some physical impairment or medical condition

which would render the applicant incompetent to perform the ordinary

duties of that license, the applicant may be required to submit the

results of an examination by a licensed physician or physician

assistant that meets the requirements for original license.

(3) An applicant who has lost the sight of one eye may obtain a

renewal of license, provided that the applicant is qualified in all

other respects and that the visual acuity in the one remaining eye

passes the test required under Sec. 10.205(d).

(4) Physical examinations are not required for renewal of

certificates of registry.

(e) Special circumstances--(1) Period of grace. Except as provided

herein, a license may not be renewed more than 12 months after it has

expired. To obtain a reissuance of the license, an applicant must

comply with the requirements of paragraph (f) of this section. When an

applicant's license expires during a time of service with the Armed

Forces and there is no reasonable opportunity for renewal, including by

mail, this period may be extended. The period of military service

following the date of license expiration which precluded renewal may be

added to the 12 month period of grace. The 12 month period of grace,

and any extension, do not affect the expiration date of the license. A

license is not valid for use after the expiration date.

(2) Renewal in advance. A license or certificate of registry may

not be renewed more than 12 months before expiration unless it is being

renewed in conjunction with a merchant mariner's document which is

either due for renewal or being endorsed, or unless the OCMI is

satisfied that special circumstances exist to justify renewal.

(3) Renewal by mail. (i) Applications for renewal by mail of

licenses or certificates of registry may be sent to the Coast Guard

office that issued the license or certificate of registry or holds the

applicant's file. The following documents must be submitted:

(A) A properly completed application on a Coast Guard furnished

form and the evaluation fee required by Sec. 10.109.

(B) The expired license or certificate of registry to be renewed;

or, if it has not expired, a photocopy of the license or certificate,

including the back and all attachments.

(C) A certification from a licensed physician or physician

assistant in accordance with paragraph (d) of this section for the

renewal of a license.

(D) If the applicant desires to renew a license with a radar

observer endorsement, either the radar observer certificate or a

certified copy.

(E) Evidence of, or acceptable substitute for, sea service for the

renewal of a license.

(F) For a certificate of registry as a medical doctor or

professional nurse, evidence that he or she 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.

(ii) The open-book exercise, if required, may be administered

through the mail.

(iii) Upon receipt of the renewed license or certificate of

registry, the applicant shall sign it in order to validate the license

or certificate.

(4) Concurrent renewal of licenses, certificates of registry, and

merchant mariner's documents. An applicant for concurrent renewal of

more than one merchant mariner credential shall satisfy the individual

renewal requirements and pay the applicable fees required by

Secs. 10.109 and 12.02-18 of this chapter for each license, certificate

of registry, or merchant mariner's document being renewed.

(f) Reissuance of expired license or certificate of registry. (1)

Whenever an applicant applies for reissuance of a license more than 12

months after expiration, in lieu of the requirements of paragraph (c)

of this section, the applicant shall demonstrate continued professional

knowledge by completing a course approved for this purpose, or by

passing the complete examination for that license. The examination may

be oral-assisted if the expired license was awarded on an oral exam.

The fees listed in Sec. 10.109 apply to these examinations. In the case

of an expired radio officer's license, the license may be issued upon

presentation of a valid first- or second-class radiotelegraph operator

license issued by the Federal Communications Commission.

(2) A certificate of registry that has been expired for more than

12 months shall be renewed in the same way as a current certificate of

registry. There are no additional requirements for reissuing

certificates of registry that have been expired for more than 12

months.

(g) Inactive license renewal. (1) Applicants for renewal of

licenses who are unwilling or otherwise unable to meet the requirements

of paragraphs (c) or (d) of this section may renew their licenses, with

the following restrictive endorsement placed on the back of the

license: ``License renewed for continuity purposes only; service under

the authority of this license is prohibited.'' Holders of licenses with

this continuity endorsement may have the prohibition rescinded at any

time by satisfying the renewal requirements in paragraphs (c) and (d)

of this section.

(2) Applications for renewal of a license with the continuity

endorsement must include:

(i) The license to be renewed, or, if it is unexpired, a photocopy

of the license including the back and all attachments; and,

(ii) A signed statement from the applicant attesting to an

awareness of the restriction to be placed on the renewed license, and

of the requirements for rescinding the continuity endorsement.

6. Section 10.805 is amended by adding paragraph (f) to read as

follows:

Sec. 10.805 General requirements.

* * * * *

(f) A certificate of registry is valid for a term of 5 years from

the date of issuance. Procedures for renewing certificates of registry

are found in Sec. 10.209. The expiration date of a certificate of

registry issued without an expiration date shall be determined in

accordance with Sec. 10.811.

7. Section 10.811 and Table 10.811 are added to read as follows:

Sec. 10.811 Expiration of existing certificates of registry.

The expiration year of a certificate of registry issued without an

expiration date is calculated by adding 5-year increments to the

issuance date of the certificate of registry, up to first applicable

year falling between 1995 and 1999, inclusive. The day and month of

expiration are the same as that of issuance. Table 10.811 is provided

as an aid for calculating the expiration date of a certificate of

registry issued without an expiration date. A certificate of registry

is not valid for use after the expiration date calculated under this

section, but may be renewed in accordance with the requirements of

Sec. 10.209.

Table 10.811.--Expiration of Certificates of Registry Issued With No

Expiration Date\1\

------------------------------------------------------------------------

Expiration year

-------------------------------------------------------------------------

1999 1998 1997 1996 1995

------------------------------------------------------------------------

Issue Year

------------------------------------------------------------------------

1994......... 1993 1992 1991 1990

1989......... 1988 1987 1986 1985

1984......... 1983 1982 1981 1980

1979......... 1978 1977 1976 1975

1974......... 1973 1972 1971 1970

1969......... 1968 1967 1966 1965

1964......... 1963 1962 1961 1960

1959......... 1958 1957 1956 1955

1954......... 1953 1952 1951 1950

1949......... 1948 1947 1946 1945

1944......... 1943 1942 1941 1940

1930......... 1938 1937 ............. ............

------------------------------------------------------------------------

\1\Find the year in which the certificate of registry was issued (Issue

Year), then move up the column to find the Expiration Year. Month and

day of expiration correspond to the month and day of issue.

PART 12--CERTIFICATION OF SEAMEN

8. The authority citation for part 12 is revised to read as

follows:

Authority: 31 U.S.C. 9701; 46 U.S.C. 2103, 2110, 7301, 7302; 49

CFR 1.46.

9. Section 12.02-9 is amended by adding paragraph (e) to read as

follows:

Sec. 12.02-9 Application for documents.

* * * * *

(e) Approved applications are valid for 12 months.

10. Section 12.02-15 is revised to read as follows:

Sec. 12.02-15 Oath requirement.

Applicants for a merchant mariner's document for any rating shall

take an oath before an Officer in Charge, Marine Inspection, or other

official authorized to give such oath, or a commissioned officer of the

Coast Guard authorized to administer oaths under 10 U.S.C. 936 or 14

U.S.C. 636, that they will faithfully and honestly perform all the

duties required of them by law and carry out all lawful orders of

superior officers on shipboard. Such an oath remains binding for all

subsequent merchant mariner's documents issued to a person until the

document is surrendered to the Officer in Charge, Marine Inspection.

11. Section 12.02-17 is amended by revising paragraph (b) to read

as follows:

Sec. 12.02-17 Rules for the preparation and issuance of documents.

* * * * *

(b) Upon determining that the applicant satisfactorily meets all

requirements for the document and any endorsements requested, the

Officer in Charge, Marine Inspection, shall issue the appropriate

document to the applicant. A merchant mariner's document is valid for a

term of 5 years from the date of issuance. Any document which is

renewed or reissued prior to its expiration date automatically becomes

void upon issuance of the replacement document.

* * * * *

12. Section 12.02-18 is amended by adding paragraph (a)(7) to read

as follows:

Sec. 12.02-18 Fees.

(a) * * *

(7) For renewal of a merchant mariner's document:

(i) For evaluation for renewal of a merchant mariner's document

endorsed with a qualified rating, $45.

(ii) For evaluation for renewal of a merchant mariner's document

when submitted with a license where a renewal evaluation fee already

applies, no fee.

(iii) For evaluation for renewal of a merchant mariner's document

without qualified rating endorsement, no fee.

(iv) For administration of open-book exercises required by

Sec. 12.02-27, $40.

(v) For administration of MMD open-book exercises when required in

addition to license open-book exercises for concurrent renewal of these

documents, only the license exercise fee in Sec. 10.109(c)(2) will

apply.

(vi) For issuance of a renewal of a merchant mariner's document

including those issued for continuity purposes only, $35.

* * * * *

13. Section 12.02-27 is added to read as follows:

Sec. 12.02-27 Requirements for renewal of a merchant mariner's

document.

(a) General. Except as provided in paragraph (g) of this section,

an applicant for renewal of a merchant mariner's document shall

establish possession of all of the necessary qualifications before a

merchant mariner's document is issued.

(1) Each application must be on a Coast Guard furnished form and

accompanied by the evaluation fee established in Sec. 12.02-18. An

approved application is valid for 12 months.

(2) The applicant may apply in person at any Regional Examination

Center listed in Sec. 12.01-7 or may renew the merchant mariner's

document by mail under paragraph (e)(3) of this section.

(3) The applicant shall submit the original or a photocopy of the

merchant mariner's document to be renewed. A photocopy must include the

front and back of the merchant mariner's document. If requested, the

old document will be returned to the applicant.

(4) The expiration date of a merchant mariner's document that was

issued without an expiration date is determined in accordance with

Sec. 12.02-29.

(5) Each applicant shall comply with Sec. 12.02-09(b)(1) of this

part.

(b) Fitness. No merchant mariner's document will be renewed if it

has been suspended without probation or revoked as a result of action

under part 5 of this chapter, or facts which would render a renewal

improper have come to the attention of the Coast Guard.

(c) Professional requirements. (1) In order to renew a merchant

mariner's document endorsed with a qualified rating, the applicant

shall comply with one of the following:

(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 required by this part for the applicable endorsement or

pass an open-book license exercise that covers the same subject matter

required for the MMD endorsement;

(iii) Complete an approved refresher training course; or,

(iv) Present evidence of employment in a position closely related

to the operation, construction, or repair of vessels (either deck or

engineer as appropriate for the endorsement) for at least 3 years

during the past 5 years.

(2) There are no professional requirements for renewal of a

merchant mariner's document that is not endorsed with any qualified

ratings.

(d) Physical requirements. (1) An applicant for renewal of a

merchant mariner's document endorsed with a qualified rating other than

lifeboatman, shall submit a certification by a licensed physician or

physician assistant that he or she is in good health and has no

physical impairment or medical condition which would render him or her

incompetent to perform the ordinary duties of that qualified rating(s).

This certification must address visual acuity and hearing in addition

to general physical condition, and must have been completed within the

previous 12 months.

(2) If the Officer in Charge, Marine Inspection has reason to

believe that an applicant suffers from some physical impairment or

medical condition which would render the applicant incompetent to

perform the duties of the qualified rating(s) (other than lifeboatman),

the applicant may be required to submit the results of an examination

by a licensed physician or physician assistant that meets the

requirements for originally obtaining the rating(s).

(3) An applicant who has lost sight in one eye may renew a merchant

mariner's document with qualified ratings, provided the applicant is

qualified in all other respects and that the visual acuity in the

remaining eye passes the test required in Sec. 10.205(d) of this

chapter.

(e) Special circumstances--(1) Reissuance after expiration, Period

of grace. Except as provided in this paragraph, a merchant mariner's

document may not be renewed more than 12 months after it has expired.

To obtain a reissuance of a merchant mariner's document expired more

than 12 months, an applicant shall comply with the requirements of

paragraph (f) of this section. When an applicant's merchant mariner's

document expires during a time of service with the Armed Forces and

there is no reasonable opportunity for renewal, including by mail, this

12-month period of grace may be extended. The period of military

service following the date of merchant mariner's document expiration

which precluded renewal may be added to the 12 month period of grace.

The 12 month period of grace, and any extension, do not affect the

expiration date of the document. A merchant mariner's document, and any

endorsements that it contains, are not valid for use after the

expiration date.

(2) Renewal in advance. A merchant mariner's document may not be

renewed more that 12 months before expiration unless it is being

renewed in conjunction with a license or certificate of registry which

is either due for renewal or being upgraded, or unless the Officer in

Charge, Marine Inspection is satisfied that special circumstances exist

to justify renewal.

(3) Renewal by mail. (i) Applications for renewal of merchant

mariner's documents by mail may be sent to any Coast Guard Regional

Examination Center. The following documents must be submitted:

(A) A properly completed application on a Coast Guard furnished

form, and the evaluation fee required by Sec. 12.02-18.

(B) The document to be renewed, or, if it has not expired, a

photocopy of the document, including the back.

(C) A certification from a licensed physician or physician

assistant in accordance with paragraph (d) of this section.

(D) Evidence of, or acceptable substitute for, sea service in

accordance with paragraph (c) of this section.

(ii) The open-book exercise, if required, may be administered

through the mail.

(4) Concurrent renewal of merchant mariner's documents, and

licenses, or certificates of registry. An applicant for concurrent

renewal of more than one merchant mariner credential shall satisfy the

individual renewal requirements and pay the applicable fees required by

Secs. 12.02-18 and 10.109 of this chapter for each merchant mariner's

document, license, or certificate of registry being renewed.

(f) Reissuance of expired merchant mariner's documents. (1)

Whenever an applicant applies for reissuance of a merchant mariner's

document endorsed with qualified rating(s) more than 12 months after

expiration, in lieu of the requirements of paragraph (c) of this

section the applicant shall demonstrate continued professional

knowledge for each qualified rating for which reissuance is sought by

completing a course approved for this purpose or, by passing the

complete examination for each rating, or by passing the examination for

a related license required by Sec. 10.209(f)(1) of this chapter. The

fees listed in Secs. 12.02-18 and 10.109 apply to these examinations.

(2) A merchant mariner's document without any qualified rating

endorsements that has been expired more than 12 months shall be

reissued in the same manner as a current merchant mariner's document.

There are no additional requirements for reissuing merchant mariner's

documents without qualified ratings that have been expired more than 12

months.

(g) Inactive document renewal. (1) Applicants for renewal of

merchant mariner's documents that are endorsed with qualified ratings,

who are unwilling or otherwise unable to meet the requirements of

paragraphs (c) or (d) of this section may renew the merchant mariner's

document, with the following restrictive endorsement placed on the

document: ``Continuity only; service under document prohibited.''

Holders of merchant mariner's documents with this continuity

endorsement may have the prohibition rescinded at any time by

satisfying the renewal requirements in paragraphs (c) and (d) of this

section.

(2) Applications for renewal of a document with the continuity

endorsement must include:

(i) The document to be renewed, or, if it is unexpired, a photocopy

of the document including the back and,

(ii) A signed statement from the applicant attesting to an

awareness of the restriction to be placed on the renewed document and

of the requirements for rescinding the continuity endorsement.

14. Section 12.02-29 and Table 12.02-29 are added to read as

follows:

Sec. 12.02-29 Expiration of existing merchant mariner's documents.

The expiration year of a merchant mariner's document issued without

an expiration date is calculated by adding 5-year increments to the

issuance date of the document, up to the first applicable year falling

between 1995 and 1999, inclusive. The day and month of expiration are

the same as that of issuance. Table 12.02-29 is provided as an aid for

calculating the expiration date of a document issued without an

expiration date. A merchant mariner's document is not valid for use

after the expiration date calculated under this section, but may be

renewed in accordance with the requirements of Sec. 12.02-27.

Table 12.02-29.--Expiration of Merchant Mariner's Documents Issued With

No Expiration Date\1\

------------------------------------------------------------------------

Expiration year

-------------------------------------------------------------------------

1999 1998 1997 1996 1995

------------------------------------------------------------------------

Issue Year

------------------------------------------------------------------------

1994......... 1993 1992 1991 1990

1989......... 1988 1987 1986 1985

1984......... 1983 1982 1981 1980

1979......... 1978 1977 1976 1975

1974......... 1973 1972 1971 1970

1969......... 1968 1967 1966 1965

1964......... 1963 1962 1961 1960

1959......... 1958 1957 1956 1955

1954......... 1953 1952 1951 1950

1949......... 1948 1947 1946 1945

1944......... 1943 1942 1941 1940

1939......... 1938 1937 ............. ............

------------------------------------------------------------------------

\1\Find the year in which the merchant mariner's document was issued

(Issue Year), then move up the column to find the Expiration Year.

Month and day of expiration correspond to the month and day of issue.

Dated: September 19, 1994.

J.F. McGowan,

Captain, U.S. Coast Guard, Acting Chief, Office of Marine Safety,

Security and Environmental Protection.

[FR Doc. 94-23655 Filed 9-26-94; 8:45 am]

BILLING CODE 4910-14-P