Radar-Observer Endorsement for Operators of Uninspected Towing Vessels

SUMMARY: The Coast Guard amends its rules to require a Radar-Observer

endorsement. This final rule requires radar-training for licensed

masters, mates, and operators of radar-equipped uninspected towing

vessels 8 meters (approximately 26 feet) or more in length, toward the

endorsement. The rule is necessary to ensure that radar-equipped towing

vessels are manned by mariners with the qualifications, skills, and

knowledge to operate the radar equipment on board.

DATES: This final rule is effective on March 11, 1997.

ADDRESSES: Unless otherwise indicated, documents referred to 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 9:30 a.m. and 2 p.m., Monday through Friday, except

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

FOR FURTHER INFORMATION CONTACT: Lieutenant Commander Donald J. Darcy,

Project Manager, Division of Maritime Personnel Qualifications (G-MSO-

1), telephone (202) 267-0221, between 7 a.m. and 4 p.m., Monday through

Friday, except Federal holidays.

SUPPLEMENTARY INFORMATION:

Regulatory History

On April 4, 1994, a public hearing was held concerning this

rulemaking. On October 26, 1994, the Coast Guard published an interim

rule in the Federal Register (59 FR 53754) that required training and

an endorsement for personnel receiving original licenses, or renewing

or upgrading licenses, on or after February 15, 1995. In response to

comments from members of the regulated public indicating difficulties

in obtaining the required training in the time allowed, on February 14,

1995, the Coast Guard published a second document in the Federal

Register (60 FR 8308) which reopened the comment period and postponed

the compliance date to June 1, 1995. No public hearing was requested,

and none was held. Public comments submitted, as well as further

evaluation of the interim rule by the Coast Guard, revealed issues

requiring additional clarification. Therefore, on May 3, 1996, the

Coast Guard published a third document in the Federal Register (61 FR

19859) which reopened the comment period for the second time and

invited comments on specific items. This time the comment period closed

on July 2, 1996; but the compliance date of the interim rule remained

June 1, 1995.

Background and Purpose

The derailment of the Amtrak Sunset Limited, a passenger train, on

September 22, 1993, with extensive injury and loss of life, resulted in

a study entitled ``Review of Marine Safety Issues Related to

Uninspected Towing Vessels''. The study cited a number of

recommendations for improving safety in the towing industry. One of the

recommendations was to require Radar-Observer training and endorsements

for operators of radar-equipped uninspected towing vessels 8 meters

(approximately 26 feet) or more in length. That recommendation was

approved by the Coast Guard, which, on October 26, 1994 (59 FR 53754),

published an interim rule establishing requirements for radar training.

The interim rule constituted part of a comprehensive initiative by the

Coast Guard to improve navigational safety for towing vessels. It also

added topics to the list of subjects taught in approved radar-training

courses that must be completed for a Radar-Observer endorsement. It

first became effective on November 25, 1994. However, to provide a

reasonable opportunity for affected persons to complete the training

and obtain the required endorsements, 46 CFR 15.815(c) requires the

endorsements only for those licenses issued on and after June 1, 1995.

(It compelled persons holding valid licenses issued before June 1,

1995, to undergo basic Radar-Operation training, and to obtain

certificates of completion for that training before June 1, 1995.)

Without an endorsement (or a certificate of completion), no person may

serve after June 1, 1995, as a master, mate, or operator of a radar-

equipped towing vessel, 8 meters (approximately 26 feet) or more in

length. The comment period for the interim rule, as twice extended,

closed on July 2, 1996.

This final rule, like the interim rule, applies to all operators of

radar-equipped towing vessels 8 meters (approximately 26 feet) or more

in length operating in the navigable waters of the United States,

except for towing vessels engaged solely in assistance towing.

The changes to Sec. 15.815 accomplished by the interim rule went

into effect on June 1, 1995, and have already been published in the

Code of Federal Regulations. They therefore need not be restated in

this final rule, and are not; but this rule adopts them as final.

Discussion of Comments and Changes

The Coast Guard embarked on this rulemaking to establish a baseline

of documented training and competency in the towing industry. It has

carefully considered the expense and inconvenience this rule places on

industry and mariners, and has determined that this training is

necessary to ensure that vessels equipped with radar are manned by

mariners with the skills and knowledge to use and interpret radar data.

At the close of the comment period, on July 2, 1996, the Coast

Guard had received comments from 780 interested parties regarding this

rulemaking.

Among the comments were 595 form letters expressing concern that

under this rulemaking some Operators of Uninspected Towing Vessels

(OUTVs) would have to obtain training on radar equipment that was not

required on towing vessels. Section 15.815(c), as amended in the

interim rule (CGD 94-041 [60 FR 8309], February 14, 1995), requires

operators of towing vessels of 8 meters (approximately 26 feet) or more

in length, if equipped with radar, to meet the Radar-Operation and

Radar-Observer requirements. The CG notes that under a separate

rulemaking, published on July 3, 1996, (CGD 94-020 [61 FR 35064]),

towing vessels of 12 meters (approximately 39 feet) or more in length

are required to be equipped with radar. Therefore, operators of towing

vessels of 12 meters (approximately 39 feet) or more in length are

required to meet the Radar-Operation and Radar-Observer requirements

because those vessels are required to be fitted with radar. However,

operators of towing vessels of 8 to 12 meters in length, are required

to meet the Radar-Operation and Radar-Observer requirements only if the

vessel is fitted with radar.

Also among the comments were 160 letters that expressed concern

that mariners who already have extensive experience operating towing

vessels on oceans in domestic trade, using navigational equipment,

would nonetheless have to attend training under the treaty known as

STCW (for Standards of Training, Certification and

[[Page 11299]]

Watchkeeping for Seafarers). The Coast Guard has developed this

rulemaking to work in harmony with international law and, where

possible, eliminates requirements that create unwarranted differences

between domestic and international law in general.

Another 12 comments discussed radar as merely a navigational aid,

not to be depended on entirely. The Coast Guard concurs with these

comments. But, like any navigational aid (tool) used by mariners to

navigate their vessels, radar--while it must not be depended on

entirely-- must be used correctly, or it becomes a detriment to safe

navigation.

Another 11 comments questioned the necessity for the 5-day radar-

operator course, and for the refresher course, for operators of

assistance-towing vessels. In addition, one comment complained that the

rule is written so broadly as to include the marine-assistance

industry, since the industry falls under the rules that affect

uninspected towing vessels; it stated that there is a need to

differentiate between vessels providing assistance and those that

provide commercial towing services, and it urged the Coast Guard to

exempt all marine-assistance vessels from the final rule. The Coast

Guard has considered these comments and appreciates the outstanding

safety record the assistance-towing industry has enjoyed, and continues

to exclude towing vessels operated exclusively for this industry from

this final rule. Should an operator choose to engage in simple towing

(where there is no peril to the vessel being towed), this rule, as well

as rules governing equipment and licensing, will become applicable. The

assistance-towing endorsement already is applicable to all licenses

except those for OUTVs and for master or mate authorizing service on

inspected vessels over 200 gross tons. Holders of these licenses may

engage in assistance towing without endorsement on any vessel within

the scope of the license.

Several comments expressed concern for the economic impact on small

entities and on individual mariners. The greatest expense will be to

obtain an original radar endorsement, which normally requires a

training course of 3 to 5 days; however, for some mariners, this rule

may not require this until the year 2000. After mariners have obtained

the original endorsement, they need only a 4-hour course for the

subsequent license renewal. Since the renewal and the endorsement are

each valid for 5 years, their cost is prorated over 5 years. Neither in

any one year nor in all 5 years is the cost out of line, weighed

against the enhanced safety due to the training. (Please refer to the

full treatment of the impact on Small Entities elsewhere in this

preamble.)

Several comments cited the training as inconvenient, since it will

take away valuable family time that is already limited simply by the

nature of the job. Others cited the financial expense to the family,

because mariners may lose pay during the training period and may incur

additional costs for travel, food, and other necessities. The Coast

Guard notes that, when a mariner enrolls in the 5-day training course

to obtain the original radar endorsement, the training amounts to 1 day

a year. Furthermore, the Coast Guard notes that, for the 4-hour

refresher course in preparation for the license renewal, the training

amounts to less than 1 hour a year.

Another 48 comments requested an extension of the compliance date

for the Radar-Observer endorsement. In response to these and other

comments from members of the regulated public, the Coast Guard amended

the interim rule to change the date on which the Radar-Observer

endorsement or the Radar-Operation certificate would become effective,

from February 15, 1995, to June 1, 1995.

One comment stated that simulator training should not be a

predicate of designation as a radar observer. The Coast Guard has

considered this comment and has determined that simulator training will

remain a part of this rulemaking since a simulator presents several

scenarios in a controlled environment, in a shorter time; this allows

for a demonstration of proficiency using radar equipment much earlier

than usual.

One comment stated that the training requirement imposed by this

rulemaking is unnecessary because use of radar is necessary in the

execution of the job and because, therefore, many mariners have had

years of experience as radar observers--with great success, as

evidenced by the outstanding safety record of the industry. The comment

requested that this experience equate to training. The Coast Guard

agrees that experience is certainly an asset, but has determined that

it is not a replacement for training, and notes that the success

claimed for the assistance-towing industry is not supported by

statistics for the entire commercial-towing industry: statistics

indicate that this training is necessary for the commercial-towing

industry.

Still other comments suggested that a Coast Guard representative

visit vessels and view their operations and then determine whether they

meet the intent of the rule. As mentioned earlier, the Coast Guard has

determined that use of a simulator is the best and most economical

method for testing proficiency, since it presents several scenarios in

a safe and controlled environment, in a shorter time, and requires a

demonstration of radar skills.

Eleven comments suggested that Radar-Observer training be a

requirement only for newly licensed operators, since, having had no

previous experience, they will probably benefit most from it. The Coast

Guard agrees that newly licensed operators may benefit most from this

training, yet is of the opinion that this training will sharpen the

skills of all operators of towing vessels except for towing vessels

engaged solely in assistance-towing.

Two comments suggested that the Coast Guard allow qualified

companies to conduct required training and certification on board their

towing vessels. This final rule does allow qualified companies (i.e.,

those with Coast Guard-approved courses) to conduct training. (As

stated in the interim rule, only the Radar-Operation course may be

conducted by individuals, companies, or other organizations without

prior Coast Guard approval.)

Several comments suggested that persons who already hold valid

licenses and have successfully completed all requirements towards the

Radar-Observer endorsement be allowed to extend the renewal date of the

endorsement to coincide with the month of the renewal date of the

license, reducing time and expense. The Coast Guard has accepted this

suggestion [46 CFR 10.480(k)] and will allow synchronization of the

renewal dates of the endorsement and the license. It has determined

that adopting this suggestion will not pose a safety risk and will

reduce economic and administrative burdens on the mariners and the

Coast Guard. (Completion of the Radar-Observer training still has to

precede the renewal of the license by 2 years or less, and extending

the validity of the endorsement is necessary only once to synchronize

the renewals.

One comment suggested that the Coast Guard give serious

consideration to a radar requirement for uninspected charter vessels

equipped with radar, since a high percentage of operators of these

vessels do not know how to perform the basic collision-avoidance and

blind-navigation techniques greatly needed in restricted visibility,

which is common whether in the Northeast or on the West Coast. The

Coast Guard has considered this suggestion and has determined that,

while this comment has considerable merit, it lies outside the scope of

this rulemaking.

[[Page 11300]]

One comment questioned whether an OUTV towing a passenger-barge

should have to attend training for proficiency in rapid radar plotting

when this training offers no practical utility for any operator of

typical inland or coastwise vessels, very few of which are equipped

with large radars and plotting boards. The Coast Guard has considered

this comment and has determined that operation of a passenger-barge

entails both a passenger-vessel license and a towing endorsement, since

the barge both carries passengers on board and is being towed.

Three comments suggested that the Coast Guard develop a set of

rules for river radar distinct from the set for blue-water radar. The

interim rule, the relevant parts of which this final rule adopts as

final, has separate requirements [46 CFR 10.305(b)(3) and (6)] for

unlimited, inland and Gulf Intracoastal Waterway (GIWW), and river

routes.

Another comment suggested that the Coast Guard require towing

vessels over a certain tonnage (or horsepower) to be equipped with

radar and for operators to hold certificates of training in the

operation of that radar. The Coast Guard has already issued a final

rule requiring radar on towing vessels of 12 meters (about 39 feet) or

more in length [61 FR 35064 (July 3, 1996)].

Five comments suggested that this rule apply only to vessels above

a threshold of 12 meters (about 39 feet) or more in length, rather than

to those above 8 meters (about 26 feet) or more in length. The rule on

equipment, cited in the previous paragraph, does apply to the higher

threshold vessel 12 meters (about 39 feet) or more in length. But the

Coast Guard maintains that, if radar is installed on board, the

operator must possess the skills and knowledge to use and interpret the

data for the radar to be of any value as a navigational aid.

Two comments stated that this rule could deter mariners with

navigational skills from wanting to promote themselves into the pilot

house because of the added cost, time, and fear of failing the test.

These concerns may affect mariners' ability to continue earning a

living, since failing the test would cost them their jobs if their

employers did not have some other kind of job available. The intent of

this rule is not to deter mariners with navigational skills from

advancing into the pilot house; rather, it is to ensure before they

navigate a vessel they possess these skills and knowledge to interpret

the data, and not just that they accrue deck time. While, in the past,

holding a licensed position in the pilot house did not require

training, and may have reduced worries of unemployment for the mariner,

this training however provides assurance to the public that vessels are

under the command of qualified personnel. The Coast Guard holds that

the benefits far outweigh the discernible costs, and that the rule as a

whole provides the entire towing industry some assurance of checks and

balances on both domestic and international waterways.

One comment suggested that the Coast Guard print a manual on radar

operation and, upon renewal of a license, require the taking of a test

based on the information addressed in the manual. The studies and

reports used to formulate this rulemaking emphasize demonstrating skill

as well as knowledge of radar equipment, rather than relying solely on

a mariner's ability to pass a test. Therefore, the Coast Guard favors

practical demonstration as well as testing, to determine a mariners'

proficiency in radar operation.

One comment stated that the rule was confusing and required

interpretation and even translation. The Coast Guard realizes the

difficulty for some mariners in understanding many sections of this

rule and has changed it where clarity was in question

[Secs. 10.305(c)(1)(ii)(C), (1)(iii)(A), and (3)(iii)(E)].

Several comments addressed Secs. 10.305(c) (2)(iii) and (3)(iii),

which require licensed personnel to know, and to show that they know,

how to plot course, speed, and closest point of approach on inland

waters and on rivers. Many comments noted that course plotting is

seldom performed on inland waters or on rivers, because of the time and

attention required to plot the course. Several comments explained that,

by the time the course was plotted, the vessel would have passed the

boat or bridge by reason of which it was plotting. Another comment

noted that plotting by radar is impossible on most rivers because the

other vessel is usually obscured from radar view until the last moment.

Likewise, requiring the captain to make intricate calculations and

navigate the vessel at the same time iswill be dangerous because of

continuous course changes at short intervals: dangerous to the

observer, the crew, and other vessels in the area. The Coast Guard

would certainly rather have an operator making passing arrangements on

the radio and looking out the pilot-house windows than staring into a

radar set--under normal visibility. Under reduced visibility, however,

a mariner must use all the navigational aids available including radar.

Therefore, on rivers the rule will instead require [46 CFR 10.305(c)

(2)(iii) and (3)(iii)] the operator to be trained in interpreting, and

to demonstrate how to interpret, the relative course, speed, and

approximate location of another vessel, which may be crossing, meeting,

or overtaking.

One comment stated that the industry needs to raise its standards

and be more pro-active with any training that will help masters, mates,

and other watchstanders in the performance of their duties. The Coast

Guard concurs with this comment.

Four comments recommended that, to avoid confusion, the ``Rivers''

endorsement be expanded to include the GIWW. The Coast Guard has

considered this and similar recommendations from the Towing Safety

Advisory Committee (TSAC), and has determined that this is not

appropriate, since a Rivers endorsement requires a different level of

knowledge and skill. Operation of a vessel on rivers is less subject to

weather than that of a vessel on the GIWW. However, to avoid confusion

the Coast Guard has done something else instead: It has expanded the

inland endorsement to include the GIWW since the required level of

knowledge and skill for inland and the GIWW are compatible, as they

involve similar operational conditions. Accordingly, in this

rulemaking, the endorsement for inland waters is renamed, ``inland

waters and GIWW'' [46 CFR 10.305, 10.306, and 10.480].

One comment suggested that the Coast Guard consider allowing

currently licensed towboat operators who have earned certificates from

Radar-Operation courses to qualify as applicants for original

endorsements. The Coast Guard has determined that licensed towboat

operators who have earned only certificates from Radar-Operation

courses have not attained enough expertise to qualify their holders for

original endorsements. The Coast Guard is increasing the OUTVs'

expertise with radar in three stages. First, as of June 1, 1995, every

operator of an uninspected towing vessel equipped with radar, whose

license was issued before June 1, 1995, had to hold a certificate from

a Radar-Operation course; this represents as little as 4 hours'

instruction. Second, upon renewal of a license as an OUTV on or after

June 1, 1995, every operator has had to hold a certificate from a

Radar-Observer course; this represents as much as 5 days' training (the

precise amount varies with training facilities chosen and route-

endorsements sought). Third, thereafter, upon renewal of the

endorsement--which should by then coincide with that of the license--

every such operator will have to hold a

[[Page 11301]]

renewal certificate; this will represent 4 more hours' instruction.

One comment proposed that the Coast Guard consider allowing

applicants for renewal of the Radar-Observer endorsement the option to

``test out'' of the refresher-training course by passing the final

examination instead of taking the course. A similar comment questioned

why a renewal or upgrade was necessary every 5 years, and argued that

later training would serve only to deplete the income of mariners. The

Coast Guard has considered these comments and has determined, however,

that leniency would undermine the intent of establishing and

maintaining proficiency, and would not provide the mariners any

assurance of their fellows' competence on domestic or international

waters.

One comment suggested that the Coast Guard require all candidates

for first licenses to attend the 5-day Radar-Observer course, which

leads to the Radar-Observer endorsement. The Coast Guard has considered

this comment and has already made this a requirement, in

Sec. 15.815(c).

One comment proposed that, every 30 months, a licensed mariner

certified by the Coast Guard assess the skills of each operator, while

on board the vessel, and according to the findings endorse the

operator's license, certifying proficiency in the interpretation of

radar data--or not. The Coast Guard has considered this proposal, but

notes that it could be cost-prohibitive to assess the operators' skills

in this manner because the time spent on board the vessel assessing the

operator's skills, through a series of exercises, is unpredictable.

However, this rule [46 CFR 10.480(e)] allows administration by the

Coast Guard or a third party of an exam for renewal of Radar-Observer

endorsement.

One comment suggested that the Coast Guard allow companies to

submit a list of personnel competent to be certified by the Coast Guard

as radar observers. The Coast Guard finds this unacceptable because it

leaves too much room for interpretation of competency, and may lead to

its rubber-stamping of personnel.

One comment disputed the Coast Guard's view that training

institutions would be able to train the requisite number of mariners in

the existing Radar-Operation course, and gear up to teach the new

Radar-Observer course, both by February 15, 1995. This request is now

moot--first because the Coast Guard extended the compliance date to

June 1, 1995, and second because, as later events have proved, the

schools have been meeting the double challenge.

One comment questioned why the Coast Guard has chosen to place the

burden of obtaining Radar-Operation training squarely on the shoulders

of the operators rather than on their employers. This training may be a

condition of employment: Failure to obtain the required training may

leave a mariner unqualified and, therefore, unemployable as an operator

of a radar-equipped towing vessel.

One comment questioned why the Coast Guard has never required any

evidence of training other than in first aid and CPR before licensing

an OUTV. A notice of proposed rulemaking [61 FR 31332] in CGD 94-055,

``Licensing and Manning for Officers of Towing Vessels'', whose comment

period stayed open until October 17, 1996, fully addresses this

question. A supplemental notice in CGD 94-055, also with a comment

period, is being developed as described in an earlier notice of intent,

published at 61 FR 66642.

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 non-significant under the Regulatory

Policies and Procedures of the Department of Transportation (DOT) [44

FR 11040; February 26, 1979].

The Coast Guard expects the economic impact of this rule to be so

minimal that a full Regulatory Evaluation under paragraph 10e of the

Regulatory Policies and Procedures of DOT is unnecessary.

This rule will apply to licensed operators of radar-equipped towing

vessels operating in U.S. waters. As of August 1996, there were an

estimated 12,300 licensed operators of uninspected towing vessels

(OUTVs) in the U.S. An estimated 473 new OUTV licenses are issued

annually, and 1,931 OUTV licenses are renewed annually. Although some

OUTVs may operate towing vessels on oceans (domestic-trade waters),

licensed masters and mates crew many of these vessels. Now OUTVs on

oceans have to complete a one-time Radar-Observer course [see 46 CFR

10.464(e)(2)]. This rule will require certain licensed OUTVs to obtain

Radar-Observer endorsements, which must be renewed 5 years after the

month of issuance [see Sec. 10.480(f) in this regulatory text]. Roughly

15,000 masters, mates, active OUTVs, and new OUTVs will each need to

complete a Radar-Observer course sometime during the next 5 years to

comply with 46 CFR 15.815(c). Those completing the Radar-Observer

course will need to renew their endorsements every 5 years to continue

to work on radar-equipped towing vessels. Certificates from Radar-

Operation courses will not be valid with licenses dated after June 1,

1995; Radar-Observer endorsements will be necessary with such licenses.

Persons using Radar-Operation certificates to satisfy Sec. 15.815(c)

will need to complete the Radar-Observer course when they renew or

upgrade their licenses if they intend to continue working on radar-

equipped towing vessels.

Comments on Costs

Several comments to the interim rule suggested that the estimated

cost to comply with the initial requirements was understated. These

comments estimated that the actual cost to receive the initial

endorsement would amount to between $1,000 and $2,000 per operator. One

comment estimated that the cost to receive the radar endorsement would

be $2,500 because there are no courses approved by the Coast Guard in

Pennsylvania. (The Coast Guard has determined that there are indeed no

such courses and that therefore an operator would need to travel to a

nearby State to enroll in a course.) All of the comments on costs have

influenced the following, revised calculations.

Benefits

This rule is the direct result of the recommendations from the

``Railroad--Marine Accident Report'' prepared by the National

Transportation Safety Board (NTSB). The Report noted a lack of

competence in radar navigation and cited this lack of competence as the

probable cause of the derailment of theat Amtrak Sunset Limited. The

Report recommended that the Coast Guard upgrade its licensing standards

to require that persons licensed as OUTVs hold valid inland-waters

Radar-Observer certification if they stand navigational watch on radar-

equipped towing vessels. It also recommended that the Coast Guard

require employers to provide specific evidence of approved training.

The Coast Guard affirmed, in ``Review of Marine Safety Issues Related

to Uninspected Towing Vessels'', that 60 percent of all towing-vessel

casualties are due to human error. The ``Review'', therefore, supports

this rulemaking.

This final rule addresses the findings of the NTSB, which cited a

lack of training for operators and a failure of employer accountability

as two key issues identified in past major marine accidents--

particularly in that of the

[[Page 11302]]

derailment of the Amtrak Sunset Limited caused by the Tug MAUVILLA that

resulted in 47 deaths and 103 injuries. The number of persons at risk

in a major marine casualty typically ranges from about 25 to 2,000 or

more. The training required by this rule has the potential to

significantly decrease the number of deaths and injuries in the marine

industry. If this training decreases the number of deaths even by just

7 people over the next 13 years, the benefit of $18.9 million, which is

based on the willingness by society to pay $2.7 million for the value

of a fatality averted, will exceed the estimated cost of $17.1 million.

One way to reduce the risks associated with human error in

operating a towing vessel is to ensure that mariners maintain the

highest practicable standards of training, certification, and

competency. Although this rule may increase costs to industry, through

upgraded training and certification, the new requirements are intended

to increase potential benefits by reducing towing-vessel accidents and,

with them, deaths and injuries.

Costs

The costs, which accrue from the date of this final rule, depend on

the types of courses taken, the average fees for the courses, and the

expenses for travel, meals, and lodging (where applicable). The

following are general premises: (1) Although the interim rule went into

effect on June 1, 1995, costs are calculated from the effective date of

this final rule; (2) the average course length is 5 days, whether for

an unlimited license, for a license for inland waters and GIWW, or for

a license for rivers, and is long enough to meet the new requirements

for those operators who will be taking the Radar-Observer course for

the very first time; (3) courses are conveniently offered near most

port cities, so extensive travel will be necessary for few operators;

(4) operators usually work on a rotational schedule, allowing them to

arrange for enrollment in a course without interfering with their

normal work schedule; (5) 30 percent of those affected by this rule

will incur additional miscellaneous expenses involving travel and

lodging while the remaining 70 percent will incur minimal expenses,

given the convenience of course locations; (6) the typical towboat

operator started his career in 1983, has served 12 years, and will

serve for 18 more years, a total of 30 years; and (7) recurring costs

for renewals run from year 2000 through year 2013, the last year of

those 30, while recurring costs for new OUTVs run from year 1995.

The Radar-Observer courses and corresponding endorsements vary

depending on route: unlimited, inland and GIWW, and rivers. The Coast

Guard sampled various institutions that offer these courses and found

that course lengths varied depending on route, from 3 to 8 days. The

Coast Guard used a length of 5 days for this rule.

The costs to obtain the original Radar-Observer endorsement and to

renew it every 5 years are as follows:

Original Radar-Observer Course

Average Cost................................................... $480

Meals and Lodgings............................................. 500

Travel

Local...................................................... 50

Distant.................................................... 350

Total Cost (with distant travel)........................... 1,330

Total Cost (with local travel)............................. 530

Renewal Course (4 hours, including exam)

Average Cost................................................... $125

Meals and Lodgings............................................. 100

Travel

Local...................................................... 50

Distant.................................................... 350

Total Cost (with distant travel)........................... 575

Total Cost (with local travel)............................. 175

An optional refresher course is available to operators who need to

review advances or changes in radar technology. The average cost of

this course is $260; however, as previously stated, this course is not

a requirement to renew an OUTV Radar-Observer endorsement.

The following calculations rest on the seven general premises

established previously and on information obtained from suppliers of

courses, meals and lodging, and travel:

Original Radar-Observer Course

1. Affected OUTVs already serving (12,300) x Cost (5-day

Course):

8,610 (with local travel) x $530....................... $4,563,300

3,690 (with distant travel) x $1,330................... 4,907,000

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

Total.................................................. 9,471,000

New OUTVs issued annually (473) x Cost (5-day Course)

331 OUTVs (with local travel) x $530................... $175,430

142 OUTVs (with distant travel) x $1,330............... 188,860

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

Total.................................................. 364,290

Renewal Course

OUTVs renewed annually (1,931) x Cost (4-Hour Exam):

1,352 renewals (with local travel) x $175.............. $236,600

579 renewals (with distant travel) x $575.............. 332,925

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

Total.................................................. $569,525

The principal costs began to accrue over the 5 years from June 1,

1995, when OUTVs began renewing their licenses and receiving their

first radar endorsement. The cost that current OUTVs will incur to

receive the initial Radar-Observer endorsement comes to around

$9,471,000 in all, or $1,894,200 annually. The cost that new OUTVs will

incur, shown as a recurring cost, comes to around $364,290 annually

until year 2000. After then, recurring costs, which comprise 5-year

renewals and new OUTVs altogether, come to around $933,815 ($364,290 +

$569,525) annually. Costs of this rule are calculated to years 2013 and

2025 to reflect 30 years of service performed by OUTVs who started

their terms in 1983 and 1995, respectively. The total costs to year

2013 are estimated to be $17,093,615. Costs to industry over 30 years

are estimated to be $30,120,845. The present values of the recurring

costs to years 2013 and 2025 are $17,093,615 and $30,120,845,

respectively. This reflects a 7-percent discount to 1997 of the

projected stream of costs of this rule in accordance with current

guidance from the Office of Management and Budget.

Small Entities

Under the Regulatory Flexibility Act [5 U.S.C. 601 et seq.] the

Coast Guard must consider whether this final rule 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 field; (2) governmental jurisdictions with

populations of less than 50,000; and (3) ``small-business concern[s]''

as defined by section 3 of the Small Business Act [15 U.S.C. 632(a)].

Pursuant to 15 U.S.C. 632(a) the standard industrial classification-

codes and size-standards are set forth in the table following 13 CFR

121.601.

This rule places its burden on individual OUTVs, not on their

employers, who may, though they need not, relieve the OUTVs of it. The

Coast Guard expects that, of the employers who will assume this

responsibility, few if any will be small entities. Additionally,

sufficient flexibility and alternatives were built into this

rulemaking, when the interim rule was initially published on October

26, 1994, to accommodate small entities; these included a phase-in

period of up to 5

[[Page 11303]]

years, during which a Radar-Operation certificate would be accepted,

and the exemption for operators of assistance-towing vessels. The

effective date of June 1, 1995, provided enough notice to OUTVs that

those whose licenses expired after June 1, 1995, could renew them in

advance; in effect, OUTVs could extend the renewal date and meet the

new requirements by distributing the initial cost over 2 to 5 years.

Therefore, the Coast Guard certifies under the Regulatory

Flexibility Act [5 U.S.C. 601 et seq.] that this rule will not have a

significant economic impact on a substantial number of small entities.

Collection of Information

This final rule contains no collection-of-information requirements

under the Paperwork Reduction Act [44 U.S.C. 3501 et seq.].

Federalism

The Coast Guard has analyzed this final rule under the principles

and criteria contained in Executive Order 12612 and has determined that

the rule does not have sufficient implications for federalism to

warrant the preparation of a Federalism Assessment.

Environment

The Coast Guard has considered the environmental impact of this

final rule and concluded that, under paragraph 2.B.2 of Commandant

Instruction M16475.1B, this rule is categorically excluded from further

environmental documentation. The rule is a matter of training,

qualifying, licensing, and disciplining of maritime personnel within

the meaning of subparagraph 2.B.2.e(34)(c) of Commandant Instruction

M16475.1B that clearly has no environmental impact. A Determination of

Categorical Exclusion is available in the docket for inspection or

copying where indicated under ADDRESSES.

List of Subjects in 46 CFR Part 10

Fees, Reporting and recordkeeping requirements, Schools, Seamen.

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

CFR part 10 as follows:

PART 10--LICENSING OF MARITIME PERSONNEL

1. The authority citation for part 10 continues to read as follows:

Authority: 31 U.S.C. 9701, 46 U.S.C. 2101, 2103, 7101, 7106,

7107; 49 CFR 1.45, 1.46; section 10.107 is also issued under the

authority of 44 U.S.C. 3507.

2. Section 10.305 is revised to read as follows:

Sec. 10.305 Radar-Observer certificates and qualifying courses.

(a) A student who takes an approved course of training, which

includes passing both a radar-theory examination and a practical

demonstration on a simulator, and who meets the requirements of this

section is entitled to an appropriate Radar-Observer certificate--

(1) In a form prescribed by the school and acceptable to the Coast

Guard; and

(2) Signed by the head of the school.

(b) The following Radar-Observer certificates are issued under this

section:

(1) Radar Observer (Unlimited).

(2) Radar Observer (Inland Waters and Gulf-Intracoastal Waterway

[GIWW]).

(3) Radar Observer (Rivers).

(4) Radar Observer (Unlimited: Renewal).

(5) Radar Observer (Inland Waters and GIWW: Renewal).

(6) Radar Observer (Rivers: Renewal).

(c) A school with an approved Radar-Observer course may issue a

certificate listed in paragraph (b) of this section after the student

has successfully completed the appropriate curriculum as follows:

(1) Radar Observer (Unlimited). Classroom instruction--including

demonstration and practical exercises using simulators--and

examination, in the following subjects:

(i) Fundamentals of radar:

(A) How radar works.

(B) Factors affecting the performance and accuracy of marine radar.

(C) Purposes and functions of the main components that constitute a

typical marine-radar system.

(ii) Operation and use of radar:

(A) Purpose and adjustment of controls.

(B) Detection of malfunctions, false and indirect echoes, and other

radar phenomena.

(C) Effects of sea return, weather, and other environmental

conditions.

(D) Limitations of radar resulting from design factors.

(E) Safety precautions associated with use and maintenance of

marine radar.

(F) Measurement of ranges and bearings.

(G) Effect of size, shape, composition, and distance of vessels and

terrestrial targets on echo.

(iii) Interpretation and analysis of radar information:

(A) Radar navigation (including visual techniques)--determining

positions, and detecting changes in the relative motion, of other

vessels.

(B) Collision-avoidance, including visual techniques, appropriate

to the circumstances and the equipment in use.

(C) Determining the course and speed of another vessel.

(D) Determining the time and distance of closest point of approach

of a crossing, meeting, overtaking, or overtaken vessel.

(E) Detecting changes of course or speed of another vessel after

its initial course and speed have been established.

(F) Applying the Navigational Rules, Chapters 30 and 34 of Title 33

U.S. Code [Commandant Instruction M16672.2C, as amended, or

equivalent], and other factors to consider when determining changes of

course or speed of a vessel to prevent collisions on the basis of radar

observation.

(G) Use of radar in maintaining situational awareness.

(iv) Plotting (by any graphically-correct method):

(A) Principles and methods of plotting relative and true motion.

(B) Practical-plotting problems.

(2) Radar Observer (Inland Waters and GIWW). Classroom

instruction--with emphasis on situations and problems encountered on

inland waters and the GIWW, including demonstration and practical

exercises using simulators--and examination, in the following subjects:

(i) Fundamentals of radar:

(A) How radar works.

(B) Factors affecting the performance and accuracy of marine radar.

(C) Purpose and functions of the main components that constitute a

typical marine-radar system.

(ii) Operation and use of radar:

(A) Purpose and adjustment of controls.

(B) Detection of malfunctions, false and indirect echoes, and other

radar phenomena.

(C) Effects of sea return, weather, and other environmental

conditions.

(D) Limitations of radar resulting from design factors.

(E) Safety precautions associated with use and maintenance of

marine radar.

(F) Measurement of ranges and bearings.

(G) Effect of size, shape, composition, and distance of vessels and

terrestrial targets on echo.

(iii) Interpretation and analysis of radar information:

(A) Radar navigation (including visual techniques)--determining

positions, and detecting changes in the relative motion, of other

vessels.

(B) Collision-avoidance, including visual techniques, appropriate

to the circumstances and the equipment in use.

(C) Determining the course and speed of another vessel.

(D) Determining the time and distance of closest point of approach

of a

[[Page 11304]]

crossing, meeting, overtaking, or overtaken vessel.

(E) Detecting changes of course or speed of another vessel after

its initial course and speed have been established.

(F) Applying the Navigational Rules, and other factors to consider

when determining changes of course or speed of a vessel to prevent

collisions on the basis of radar observation.

(G) Use of radar in maintaining situational awareness.

(3) Radar Observer (Rivers). Classroom instruction--with emphasis

on situations and problems encountered on rivers, including

demonstration and practical exercises using simulators--and

examination, in the following subjects:

(i) Fundamentals of radar:

(A) How radar works.

(B) Factors affecting the performance and accuracy of marine radar.

(C) Purpose and functions of the main components that constitute a

typical marine-radar system.

(ii) Operation and use of radar:

(A) Purpose and adjustment of controls.

(B) Detection of malfunctions, false and indirect echoes, and other

radar phenomena.

(C) Effects of sea return, weather, and other environmental

conditions.

(D) Limitations of radar resulting from design factors.

(E) Safety precautions associated with use and maintenance of

marine radar.

(F) Measurement of ranges and bearings, recognizing limited use of

radar bearings in curving, narrow channels.

(G) Effect of size, shape, composition, and distance of vessels and

terrestrial targets on echo.

(iii) Interpretation and analysis of radar information:

(A) Radar navigation (including visual techniques)-- determining

positions, and detecting changes in the relative motion, of other

vessels.

(B) Collision-avoidance, including visual techniques, appropriate

to the circumstances and the equipment in use.

(C) Applying the Navigational Rules, and other factors to consider

when determining changes of course or speed of a vessel to prevent

collisions on the basis of radar observation.

(D) Use of radar in maintaining situational awareness.

(4) Radar Observer (Unlimited: Renewal). Classroom instruction--

including demonstration and practical exercises using simulators--and

examination, in the following subjects:

(i) Interpretation and analysis of radar information:

(A) Radar navigation (including visual techniques)--determining

positions, and detecting changes in the relative motion, of other

vessels.

(B) Collision-avoidance, including visual techniques, appropriate

to the circumstances and the equipment in use.

(C) Determining the course and speed of another vessel.

(D) Determining the time and distance of closest point of approach

of a crossing, meeting, overtaking, or overtaken vessel.

(E) Detecting changes of course or speed of another vessel after

its initial course and speed have been established.

(F) Applying the Navigational Rules, and other factors to consider

when determining changes of course or speed of a vessel to prevent

collisions on the basis of radar observation.

(G) Use of radar in maintaining situational awareness.

(ii) Plotting (by any graphically-correct method):

(A) Principles and methods of plotting relative and true motion.

(B) Practical-plotting problems.

(5) Radar Observer (Inland Waters and GIWW: Renewal). Classroom

instruction--including demonstration and practical exercises using

simulators--and examination, in the interpretation and analysis of

radar information, including:

(i) Radar navigation (including visual techniques--determining

positions, and detecting changes in the relative motion, of other

vessels.

(ii) Collision-avoidance, including visual techniques, appropriate

to the circumstances and the equipment in use.

(iii) Determining the course and speed of another vessel.

(iv) Determining the time and distance of closest point of approach

of a crossing, meeting, overtaking, or overtaken vessel.

(v) Detecting changes of course or speed of another vessel after

its initial course and speed have been established.

(vi) Applying the Navigational Rules, and other factors to consider

when determining changes of course or speed of a vessel to prevent

collisions on the basis of radar observation.

(vii) Use of radar in maintaining situational awareness.

(6) Radar Observer (Rivers: Renewal). Classroom instruction--

including demonstration and practical exercises using simulators--and

examination, in the interpretation and analysis of radar information,

including:

(i) Radar navigation (including visual techniques)-- determining

positions, and detecting changes in the relative motion, of other

vessels.

(ii) Collision-avoidance, including visual techniques, appropriate

to the circumstances and the equipment in use.

(iii) Applying the Navigational Rules, and other factors to

consider when determining changes of course or speed of a vessel to

prevent collisions on the basis of radar observation.

(iv) Use of radar in maintaining situational awareness.

3. Section 10.306 is revised to read as follows:

Sec. 10.306 Radar-Operation course and certificate.

(a) A certificate of training from a Radar-Operation course may, as

provided by 46 CFR 15.815(c)(2), suffice instead of a Radar-Observer

endorsement. It is valid until the holder's license is renewed or

upgraded, or expires, whichever occurs first.

(b) Each Radar-Operation course must contain at least 4 hours of

instruction on the following subjects:

(1) Fundamentals of radar:

(i) How radar works.

(ii) Factors affecting the performance and accuracy of marine

radar.

(iii) Purpose and functions of the main components that constitute

a typical marine-radar system.

(2) Operation and use of radar:

(i) Purpose and adjustment of controls.

(ii) Detection of malfunctions, false and indirect echoes, and

other radar phenomena.

(iii) Effects of sea return, weather, and other environmental

conditions.

(iv) Limitations of radar resulting from design factors.

(v) Safety precautions associated with use and maintenance of

marine radar.

(vi) Measurement of ranges and bearings.

(vii) Effect of size, shape, composition, and distance of vessels

and terrestrial targets on echo.

(3) Interpretation and analysis of radar information:

(i) Radar navigation--determining the position and direction of

movements of a vessel.

(ii) Collision-avoidance, including visual techniques, appropriate

to the circumstances and the equipment in use.

(iii) Applying the Navigational Rules, Chapters 30 and 34 of Title

33 U.S. Code [Commandant Instruction M16672.2C or equivalent, as

amended], and other factors to consider when determining changes of

course or speed of a vessel to prevent collisions on the basis of radar

observation.

(c) Each Radar-Operation course must be conducted by a person who

possesses

[[Page 11305]]

the knowledge and skills taught in the course, with at least one year

of experience in their practical application, except that--

(1) A marine instructor or company official may substitute a

currently valid certificate from an approved Radar-Observer course

(Unlimited, or Inland Waters and GIWW) for the one year of experience;

and

(2) An instructor of any approved Radar-Observer course may teach a

Radar-Operation course without further seagoing experience.

(d) When a holder of the Radar-Operation certificate seeks a Radar-

Observer endorsement, he or she is an applicant for an original

endorsement rather than for renewal of an endorsement.

4. Section 10.480 is revised to read as follows:

Sec. 10.480 Radar observer.

(a) This section contains the requirements that an applicant must

meet to qualify as a radar observer. (Part 15 of this chapter specifies

who must qualify as a radar observer.)

(b) If an applicant meets the requirements of this section, one of

the following Radar-Observer endorsements will be added to his or her

deck officer's license:

(1) Radar Observer (Unlimited).

(2) Radar Observer (Inland Waters and GIWW).

(3) Radar Observer (Rivers).

(c) Endorsement as Radar Observer (Unlimited) is valid on all

waters. Endorsement as Radar Observer (Inland Waters and GIWW) is valid

only for those waters other than the Great Lakes covered by the Inland

Navigational Rules. Endorsement as Radar Observer (Rivers) is valid

only on any river, canal, or similar body of water designated by the

OCMI, but not beyond the boundary line.

(d) Except as provided by paragraphs (e) and (f) of this section,

each applicant for a Radar-Observer endorsement or for renewal of an

endorsement must complete the appropriate course approved by the Coast

Guard, receive the appropriate certificate of training, and present the

certificate to the OCMI.

(e) An applicant who possesses a Radar-Observer endorsement,

resides in a remote geographic area, and can substantiate to the

satisfaction of the OCMI that the applicant's absence will disrupt

normal movement of commerce, or that the applicant cannot attend an

approved Radar-Observer renewal course, may have his or her endorsement

renewed upon successful completion of an examination administered by

the Coast Guard, or by a third party acceptable to the Coast Guard.

(f) Except as provided by paragraph (k) of this section, a Radar-

Observer endorsement issued under this section is valid for 5 years

after the month of issuance of the certificate of training from a

course approved by the Coast Guard. It is not terminated by the

issuance of a new license during these 5 years.

(g) The month and year of the expiration of the Radar-Observer

endorsement are printed on the license.

(h) A Radar-Observer endorsement may be renewed at any time.

(i) An applicant for renewal of a license that does not need a

Radar-Observer endorsement may renew the license without meeting the

requirements for the endorsement.

(j) An applicant seeking to raise the grade of a license or

increase its scope, where the increased grade or scope requires a

Radar-Observer certificate, may use an expired certificate to fulfill

that requirement.

(k) The renewal date of a Radar-Observer endorsement may be

extended beyond the normal 5-year duration to coincide with the renewal

date of the license to which it pertains. This extension may not exceed

2 years and will be necessary only once, to synchronize the two renewal

dates.

Dated: March 3, 1997.

J. C. Card,

Rear Admiral, U.S. Coast Guard, Assistant Commandant for Marine Safety

and Environmental Protection.

[FR Doc. 97-5987 Filed 3-10-97; 8:45 am]

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