Document ID: USCG-2020-0069-0011
Agency: uscg
Document Type: Rule
Title: Pilots’ Medical Certificate Validity Period
Posted Date: 2022-11-04T04:00Z

[Federal Register Volume 87, Number 213 (Friday, November 4, 2022)]
[Rules and Regulations]
[Pages 66575-66591]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-23339]

=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF HOMELAND SECURITY

Coast Guard

46 CFR Parts 10, 11, and 15

[Docket No. USCG-2020-0069]
RIN 1625-AC63

Pilots' Medical Certificate Validity Period

AGENCY: Coast Guard, DHS.

ACTION: Final rule.

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

SUMMARY: The Coast Guard is issuing this final rule to extend the 
maximum validity period of merchant mariner medical certificates issued 
to first-class pilots, and masters or mates serving as pilot, from 2 
years to 5 years. We are issuing this rule in response to federal 
advisory committee recommendations and a petition for rulemaking. This 
rule will reduce the frequency of medical certificate application 
submissions to the Coast Guard. The rule maintains the requirement for 
pilots to complete annual physicals and provides the Coast Guard 
opportunity to review the medical examinations of pilots who may become 
medically unqualified between medical certificate applications; 
therefore, the rule does not compromise safety.

DATES: This final rule is effective February 1, 2023.

ADDRESSES: To view documents mentioned in this preamble as being 
available in the docket, go to https://www.regulations.gov, type USCG-
2020-0069 in the search box and click ``Search.'' Next, in the Document 
Type column, select ``Supporting & Related Material.''

FOR FURTHER INFORMATION CONTACT: For information about this document 
call or email Eric Malzkuhn, U.S. Coast Guard Office of Merchant 
Mariner Credentialing; telephone 202-372-1425, email 
[email protected].

SUPPLEMENTARY INFORMATION:

Table of Contents for Preamble

I. Abbreviations
II. Purpose, Basis, and Regulatory History
III. Background
IV. Discussion of Comments and Changes From Proposed Rule
V. Discussion of the Rule
    A. 46 CFR 10.301: Pilot Medical Certificate Period of Validity
    B. 46 CFR 11.709: Annual Physical Examination Requirements for 
Pilots of Vessels of 1,600 GRT or More
    C. 46 CFR 15.401: Employment and Service Restrictions Within the 
Pilot Credential
    D. 46 CFR 15.812, Table 1 to Sec.  15.812(e)(1): Masters or 
Mates Serving as Pilot on Vessels of 1,600 GRT or More
VI. Regulatory Analyses
    A. Regulatory Planning and Review
    B. Small Entities
    C. Assistance for Small Entities
    D. Collection of Information
    E. Federalism
    F. Unfunded Mandates
    G. Taking of Private Property
    H. Civil Justice Reform
    I. Protection of Children
    J. Indian Tribal Governments
    K. Energy Effects
    L. Technical Standards
    M. Environment

I. Abbreviations

BLS Bureau of Labor Statistics
CFR Code of Federal Regulations
DHS Department of Homeland Security
FCP First-class pilot
FR Federal Register
GRT Gross registered tons
GS General service
GSA General Services Administration
MMC Merchant Mariner Credential
MMLD Merchant Mariner Licensing and Documentation database
MMD Merchant Mariner's Document
MPH Miles per hour
NMC National Maritime Center
NPRM Notice of proposed rulemaking
OMB Office of Management and Budget
REC Regional Examination Center
Sec.  Section
STCW Code Standards of Training, Certification, and Watchkeeping for 
Seafarers, 1978, as amended
STCW Convention International Convention on Standards of Training, 
Certification and Watchkeeping for Seafarers
STCW final rule ``Implementation of the Amendments to the 
International Convention on Standards of Training, Certification and 
Watchkeeping for Seafarers, 1978, and Changes to National 
Endorsements'' final rule
U.S.C. United States Code
USPS U.S. Postal Service

II. Purpose, Basis, and Regulatory History

    The purpose of this rule is to extend the maximum validity period 
of merchant mariner medical certificates issued to first-class pilots 
(FCPs), and masters or mates serving as pilot, from 2 years to 5 years, 
which will reduce the frequency that they must submit a medical 
certificate application to the Coast Guard. Reducing the frequency of 
medical certificate applications will reduce the administrative burden 
on the mariner submitting the application and on the Coast Guard when 
processing the application and issuing the medical certificate. First-
class pilots, and masters and mates serving as pilot on vessels of 
1,600 gross registered tons or more, will be required to submit the 
results of their annual physical examinations to the Coast Guard 
between medical certificate applications if the mariner (1) does not 
meet the physical ability requirements; (2) has a condition that does 
not meet the medical, vision, or hearing requirements; (3) is deemed 
``not recommended'' by a medical practitioner for a medical 
certificate; or (4) if the results are requested by the Coast Guard. We 
are delaying the

[[Page 66576]]

effective date of this final rule several months after publication in 
the Federal Register because the Coast Guard needs additional time to 
fully implement the necessary changes to the Merchant Mariner Licensing 
and Documentation database used by the National Maritime Center to 
issue Merchant Mariner Credentials and maintain records of U.S. 
merchant mariners.
    The legal basis of this rule is Title 46 of the United States Code 
(U.S.C.), Section 7101(c), which authorizes the Coast Guard to issue 
licenses to pilots who are found qualified as to physical fitness and 
other qualifications in Section 7101(c). Title 46 U.S.C. Section 
7101(e)(2) further specifies that an individual may only be issued a 
license as pilot if they are found to be of sound health and have no 
physical limitations that would hinder or prevent them in the 
performance of a pilot's duties. Section 7101(e)(3) also requires each 
pilot serving on vessels 1,600 gross registered tons (GRT) or greater 
to have a thorough physical examination each year while holding the 
license. The Secretary of the Department of Homeland Security (DHS) has 
delegated these statutory authorities to the Coast Guard through DHS 
Delegation No. 00170.1(92)(e), Revision No. 01.2, which generally 
authorizes the Coast Guard to determine and establish the experience 
and professional qualifications required for the issuance of 
credentials. Additionally, 14 U.S.C. 102(3) grants the Coast Guard 
broad authority to issue and enforce regulations for the promotion of 
safety of life and property on waters subject to the jurisdiction of 
the United States.
    On August 27, 2021, the Coast Guard published a notice of proposed 
rulemaking (NPRM) titled ``Pilots' Medical Certificate Validity 
Period'' (volume 86 of the Federal Register (FR) at page 48090), 
requesting comments on extending the pilot medical certificate validity 
period to 5 years and adding specific reporting requirements for the 
interim years. The Coast Guard received six comment submissions to the 
docket. A detailed description of the background and discussion of the 
proposed changes can be found in that NPRM.

III. Background

    The Coast Guard issues Merchant Mariner Credentials (MMCs) and 
medical certificates to qualified mariners who meet the requirements in 
Title 46 of the Code of Federal Regulations (CFR), subchapter B, parts 
10 through 13. The requirements for medical certification are described 
in 46 CFR part 10, subpart C. According to Sec.  10.301, a medical 
certificate will be issued for various periods of time based upon the 
endorsements the mariner holds. Under this final rule, the maximum 
validity period of the medical certificate for mariners serving as an 
FCP, or masters or mates serving as pilot under 46 CFR 15.812, for 
which the maximum validity period of the medical certificate had been 2 
years, will now have a maximum validity period of 5 years. The validity 
period of the medical certificate will remain 5 years for mariners 
serving on national MMC endorsements, and will remain 2 years for 
mariners engaged on vessels to which the International Convention on 
Standards of Training, Certification and Watchkeeping for Seafarers 
(STCW Convention) applies. Mariners may not be employed in a position 
requiring an MMC unless they hold a valid medical certificate, as 
described in Sec.  15.401(c).
    In accordance with Sec.  11.709, FCPs, and masters or mates serving 
as pilot on vessels of 1,600 GRT or more, are required to have an 
annual physical examination that meets the medical and physical 
requirements described in part 10 subpart C. This annual physical 
examination requirement for pilots serving on vessels of 1,600 GRT or 
more has been in place since the enactment of the Port and Tanker 
Safety Act of 1978 (Pub. L. 95-474) and is codified in 46 U.S.C. 
7101(e)(3). This annual physical examination is a statutory requirement 
and will still be required after this rulemaking.
    In July 2017, the Coast Guard tasked the Merchant Marine Personnel 
Advisory Committee, the Merchant Mariner Medical Advisory Committee, 
and the Great Lakes Pilotage Advisory Committee with identifying 
regulations, guidance, or information collections that that were 
outdated, ineffective, or exceeded benefits and imposed administrative 
burdens or costs on the maritime industry (see 82 FR 32511, 82 FR 
32513, and 82 FR 34909).
    The advisory committees concluded that the 2-year maximum validity 
period of the medical certificate for FCPs poses a burden on mariners 
and suggested the Coast Guard extend the period of validity to 5 years. 
Additionally, in July 2018, the Coast Guard received a petition for 
rulemaking from the American Pilots Association requesting that we 
change the maximum period of validity of the medical certificate from 2 
years to 5 years for FCPs and masters or mates serving as pilot. You 
can view the American Pilots' Association's petition for rulemaking and 
our response by searching the docket number ``USCG-2018-0709'' on 
https://www.regulations.gov.

IV. Discussion of Comments and Changes From Proposed Rule

    In response to the August 27, 2021 NPRM (86 FR 48090), the Coast 
Guard received six comment submissions to the docket. Three comments 
expressed support for the proposed rule, two comments disagreed with 
the proposed rule, and the final comment neither expressed support nor 
disagreement with the proposed rule. We summarize the comments below. 
In situations where multiple commenters raised similar issues, we 
attempt to provide one response.
    At the end of this section, we also discuss three clarifying 
changes to the regulatory text from what was proposed in the NPRM.
    A comment from a towing company supported the Coast Guard's 
proposed rule, stating that it would consolidate all phases of the 
process to renew an MMC and make the process, as a whole, less 
burdensome. The commenter also expressed belief that the overall risk 
of a marine incident occurring on navigable waters due to a pilot's or 
master's medical condition to be relatively low.
    A comment from the American Pilots Association supported the 
changes in the proposed rule, including the reporting requirements. The 
American Pilots Association concurred with our statement in the NPRM 
that this change would not compromise or decrease navigational safety. 
The American Pilots Association asserted that these changes would 
actually increase safety because of the new requirement that pilots 
must submit the results of their annual physical examination to the 
Coast Guard for review if the medical practitioner determines that they 
no longer meet the medical and physical standards of 46 CFR, part 10, 
subpart C.
    Another comment simply stated that they agreed with the NPRM.
    Two comments from mariners disagreed with the proposed rule. Both 
raised concerns that the proposed rule would decrease safety because 
pilots would receive less medical scrutiny at a time when aging pilots 
are more likely to develop physical ailments and limitations. One of 
these comments suggested that the proposed rule would mean that the 
Coast Guard would have less opportunity to remove an endorsement or 
review further medical proof of ability to act in the capacity of 
shipboard pilot. This same comment also pointed out that the actual 
physical examination is only a few hours long and should be considered 
part of the requirements of the job. The other comment disagreeing with 
the NPRM

[[Page 66577]]

suggested that it would be better to require a stress test from a 
board-certified cardiologist for those mariners seeking to hold a first 
class pilot endorsement.
    The Coast Guard disagrees that the rule would decrease safety and 
that we should add a stress test for FCPs. We expect the final rule 
will not decrease safety because it maintains the current medical and 
physical requirements for FCPs and for masters and mates serving as 
pilot. Specifically, the final rule maintains the provisions of 46 CFR 
11.709 requiring an annual physical examination for FCPs and those 
serving as pilot. Each annual physical examination must meet the 
requirements of 46 CFR part 10 subpart C by ensuring that the mariner 
has no conditions that pose a significant risk of sudden incapacitation 
or debilitating complication, and by documenting any condition 
requiring medication that impairs cognitive ability, judgment, or 
reaction time. The examination must also document the individual's 
ability to meet the physical ability requirements of 46 CFR 10.304(c), 
the vision requirements of 46 CFR 10.305, and the hearing requirements 
of 46 CFR 10.306. Therefore, this final rule will continue to provide 
an opportunity to identify individuals who no longer meet the medical 
standards of 46 CFR part 10 subpart C.
    The Coast Guard also expects the final rule to maintain the same 
level of safety on navigable waters because the rule will require FCPs 
and those serving as pilot to submit the results of their annual 
physical examinations to the Coast Guard no later than 30 calendar days 
after completion of the physical examination if the mariner does not 
meet the physical ability requirements or the medical, vision, or 
hearing requirements; if the mariner is deemed ``not recommended'' by a 
medical practitioner for a medical certificate; or within 30 days upon 
request by the Coast Guard. If the results of an examination are 
requested by the Coast Guard, the mariner must submit the results no 
later than 30 days after the date of the request. This will allow the 
Coast Guard the opportunity to review the examination to determine 
whether the individual is physically and medically fit to pilot a 
vessel.
    Furthermore, the Coast Guard expects the final rule to maintain the 
same level of safety on navigable waters because it retains the 
provisions of revised 46 CFR 11.709(c), which declares, in part, that 
an individual's FCP endorsement becomes invalid if the person does not 
meet the physical examination and reporting requirements in this 
section. Individuals may not operate under the authority of an invalid 
endorsement, and those who do may be subject to enforcement action, up 
to and including suspension and revocation under Sec.  10.235. 
Additionally, the revised provision in Sec.  11.709(d) states that 
masters and mates may not serve as pilot on vessels 1600 GRT or more if 
they do not comply with the physical examination and reporting 
requirements.
    Lastly, Coast Guard expects that the final rule will maintain the 
same level of safety on navigable waters because it does not extend the 
medical certificate validity period for individuals who have medical 
conditions that warrant time-limited medical certificates; nor does it 
remove reporting requirements for individuals with medical waivers.
    With regard to the comment that all FCPs should be required to 
undergo stress testing by a cardiologist, changing the components of 
the physical examination requirements for FCPs and masters and mates is 
outside the scope of this rulemaking. It is important to note that the 
Coast Guard did not propose any changes to the components of the 
physical examination requirements for FCPs and masters and mates. The 
Coast Guard believes that the current physical examination requirements 
are sufficient for pilots at this time and would not propose changes to 
the physical examination requirements without information to support 
such a proposal. No changes to the physical examination requirements 
would be made without first issuing a proposed rulemaking and following 
notice-and-comment procedures.
    The sixth comment submission we received was from an instructor who 
stated that their students reviewed the NPRM while studying regulatory 
policy and took a vote, with the majority supporting the proposed 
changes.
    There are three clarifying changes to the regulatory text of this 
final rule from the NPRM.
    The first change is separating the two general physical examination 
reporting requirements that, in the NPRM, were combined in Sec.  
11.709(b). In the final rule, we are placing the 5-year physical exam 
submission requirement into new paragraph (b)(1), and the four 
supplemental reporting requirements into paragraph (b)(2). The four 
reporting requirements, for when the mariner does not meet the medical 
requirements or when requested by the Coast Guard, will be in (b)(2)(i) 
through (b)(2)(iv). Separating the reporting requirements into 
subparagraphs will make it clearer to the reader that there are 
multiple reporting requirements.
    The second clarifying edit is in Sec.  11.709(b)(2)(iii), regarding 
when the examining medical practitioner documents that the individual 
is not recommended for a medical certificate or needs further review by 
the Coast Guard. This edit clarifies that the recommendation should be 
recorded on form CG-719K, the ``Application for Medical Certificate.''
    The third clarifying change is in Sec.  11.709(b)(2)(iv). This edit 
clarifies that the physical examination results must be submitted to 
the Coast Guard no later than 30 days from the date of the request, and 
not within 30 days of completion of the physical examination, as stated 
in the proposed rule. Because submission within 30 days of completion 
of the physical examination would not have been applicable in all cases 
where the Coast Guard requests the results, we clarified that the 
mariner must submit the results of an examination no later than 30 days 
after the request.
    A detailed description of the regulatory changes implemented by 
this final rule follows.

V. Discussion of the Rule

    This rule increases the 2-year maximum period of validity of the 
medical certificate for FCPs and masters or mates serving as pilot to a 
5-year maximum period of validity. FCPs and masters or mates serving as 
pilot will be required to submit the results of a physical examination, 
recorded on form CG-719K, the ``Application for Medical Certificate,'' 
every 5 years to the Coast Guard. The following provides a section-by-
section discussion of the changes.

A. 46 CFR 10.301: Pilot Medical Certificate Period of Validity

    The Coast Guard is amending 46 CFR 10.301, which contains the 
general requirements for meeting the medical and physical standards for 
the issuance of medical certificates to mariners. We are extending the 
2-year maximum period of validity of the medical certificate for FCPs, 
and those serving as pilot, by deleting Sec.  10.301(b)(2), which 
contains the 2-year maximum provision. This section will state that 
pilots will be issued a medical certificate with a maximum validity 
period of 5 years.
    The standard maximum periods of validity for medical certificates 
in Sec.  10.301(b)(1) for all persons employed or engaged onboard 
vessels to which the STCW Convention applies remains 2 years. With this 
final rule, the standard maximum period of validity for medical 
certificates in Sec.  10.301(b) for national endorsements (including 
FCPs and

[[Page 66578]]

mariners serving as pilot) will be 5 years. FCPs and masters or mates 
serving as pilot will generally only have to submit a medical 
certificate application to the Coast Guard every 5 years. Pilots 
holding a medical certificate with a 2-year validity period will be 
issued a medical certificate with 5-year maximum period of validity at 
their next medical certificate issuance, unless the certificate is 
time-limited due to a medical condition. This change reduces the 
administrative burden on FCPs, masters and mates serving as pilot, and 
the Coast Guard.
    This rule does not change the regulations in Sec.  10.303 regarding 
medical waivers, limitations, and restrictions for not meeting the 
medical and physical requirements of Sec.  10.302. If the medical or 
physical standards are not met, the Coast Guard may grant waivers with 
conditions, such as operational limitations or restrictions on the 
medical certificate. Certain conditions, such as a need for more 
frequent monitoring of the mariner's medical condition, may result in 
the issuance of a time-limited medical certificate that would be valid 
for a shorter period than the maximum period of 5 years.
    The medical certificate maximum validity period of 5 years will 
apply to all pilots (excluding pilots with time limited medical 
certificates due to medical condition), regardless of the tonnage of 
the vessel they are serving on. The Coast Guard believes that this 
increase in the validity period will not compromise maritime safety, as 
the rule does not relax the annual physical examination requirement for 
FCPs or masters and mates serving as pilot. Instead, we expect that the 
rule will support greater transparency regarding a pilot's medical 
fitness because it includes a new requirement that pilots must submit 
the results of their annual examination to the Coast Guard for review 
if the medical practitioner determines that they no longer meet the 
medical and physical standards of 46 CFR, part 10, subpart C.
    Prior to this final rule taking effect, FCPs and masters or mates 
serving as pilot exclusively on vessels of less than 1,600 GRT were 
issued medical certificates with a maximum validity period of 2 years, 
and were required to submit the physical examination results with their 
application for a new medical certificate every 2 years. These mariners 
are not subject to the annual physical examination requirement in Sec.  
11.709 and are not subject to the new submission requirements in Sec.  
11.709 of this rule. Pilots, masters, and mates who serve as pilot only 
on vessels less than 1,600 GRT will be issued medical certificates with 
a maximum validity period of 5 years and will submit the results of a 
physical examination to the Coast Guard every 5 years when applying for 
a new medical certificate.
    In the rule titled ``Implementation of the Amendments to the 
International Convention on Standards of Training, Certification and 
Watchkeeping for Seafarers, 1978, and Changes to National 
Endorsements,'' (78 FR 77796, Dec. 24, 2013)(STCW final rule), which 
took effect on March 24, 2014, an error was made in Table 15.812(e)(1) 
indicating that mariners serving as pilot on vessels less than 1,600 
GRT were required to complete an annual physical examination. The 
supporting text in Sec.  15.812 remained accurate and did not require 
these mariners to complete the annual physical examination. This rule 
corrects the table by removing the requirement for an annual physical 
examination. Masters and mates serving as pilots on vessels less than 
1,600 GRT were not required to take an annual physical examination 
either before or after the STCW final rule.
    Lastly, paragraph Sec.  10.301(b) is dedicated to establishing 
periods of validity, and Sec.  10.301(b)(4) is not related to periods 
of validity. Therefore, in this rule, Sec.  10.301(b)(4) is 
redesignated into its own paragraph in Sec.  10.301(c). As a result, 
current Sec.  10.301(c) is redesignated as Sec.  10.301(d).

B. 46 CFR 11.709: Annual Physical Examination Requirements for Pilots 
of Vessels of 1,600 GRT or More

    Section 11.709 contains the requirement for pilots of vessels 1,600 
GRT or more to undergo an annual physical examination. This section 
specifies when the annual physical examinations must be conducted, how 
the examination results are recorded, and how often the examination 
results are reported to the Coast Guard.
    To ensure consistency with 46 U.S.C. 7101(e)(3), we clarify the 
applicability of this section by including masters or mates serving as 
pilot on vessels of 1,600 GRT or more, under Sec.  15.812, in the 
introductory text of Sec.  11.709(b). Adding these mariners to Sec.  
11.709(b) clarifies the applicability of the annual physical 
examination requirements.
    Paragraph (b) of this section currently states that the examination 
results are to be reported to the Coast Guard every other year to 
coincide with the current 2-year maximum period of validity of medical 
certificates. Because this rule extends the pilot's medical certificate 
to a 5-year maximum period of validity, we are also removing the every-
other-year submission requirement of form CG-719K for pilots. This rule 
revises the section to state that the physical examination results must 
be submitted on form CG-719K to the Coast Guard every 5 years, in 
accordance with the medical certificate application requirements in 
Sec. Sec.  10.301 and 10.304. In practice, pilots who meet the medical 
and physical standards in 46 CFR part 10 will generally be required to 
report the results of the annual examination to the Coast Guard only 
when applying for a medical certificate, every 5 years.
    The Coast Guard recognizes that when medical certificates remain 
valid for 5 years, as opposed to 2 years, there is a higher risk that 
someone could have a valid medical certificate for a significant period 
after developing a disqualifying medical condition. In order to reduce 
the risk created by extending the validity period of the medical 
certificate, this rule requires FCPs and masters or mates who serve as 
pilot on vessels of 1,600 GRT or more to submit their annual physical 
examination results to the Coast Guard no later than 30 days after 
completion of the physical examination if any of the following 
circumstances occur: (1) the examining medical practitioner documents 
that the individual does not meet the physical ability requirements 
described in Sec.  10.304(c); (2) the examining medical practitioner 
documents that the individual has a condition that does not meet the 
general medical examination requirements described in Sec.  10.304(a), 
the vision requirements described in Sec.  10.305, or the hearing 
requirements described in Sec.  10.306; (3) the examining medical 
practitioner documents that the individual is not recommended for a 
medical certificate or needs further review by the Coast Guard; or (4) 
if the Coast Guard requests the results. If the Coast Guard requests 
the results, they should be submitted no later than 30 calendar days 
after the request.
    We are requiring self-submission of medical examinations to the 
Coast Guard when the examined pilot does not meet the requirements for 
physical abilities, general medical examination, vision, or hearing, or 
is not recommended for a medical certificate, so that the Coast Guard 
can further review the results of the medical examination. As part of 
the review, the Coast Guard may request additional information in the 
interest of mariner safety and full performance of the pilot's duties.
    Service on vessels may be arduous, and imposes unique physical and 
medical demands on pilots. The submission requirements support our 
statutory responsibility under 46 U.S.C. 7101 to ensure that pilots are 
physically

[[Page 66579]]

and medically fit to pilot a vessel. The public safety risks associated 
with the medical and physical condition of pilots on vessels are 
important considerations for the safe operation of vessels and the 
safety and well-being of the crew. As stated in Sec.  11.709(b), the 
pilot's annual physical examination will continue to be recorded on 
form CG-719K, which documents physical ability, medical conditions, and 
hearing and vision requirements. Form CG-719K also documents whether a 
mariner is ``not recommended,'' which could prompt a submission under 
the requirements in Sec.  11.709(b)(2)(i)-(iii). If a pilot or a master 
or mate serving as pilot on a vessel 1,600 GRT or more is ``not 
recommended'' on their Form CG-719K and fails to report their physical 
examination results as required under Sec.  11.709(b), they may not 
serve as pilot on a vessel 1,600 GRT or more until they come into 
compliance and the Coast Guard makes a determination on whether they 
are fit to serve under the provisions in 46 CFR subchapter B. The 
annual physical examination documentation and scope are unchanged and 
remain the same under this rule.
    Moreover, the Coast Guard can request the results of the physical 
examination as part of marine casualty investigations, where more 
frequent monitoring of a medical condition is specified in a waiver, 
and in other cases that prompt further review.
    As stated in Sec.  11.701(d), the Coast Guard only issues FCP 
endorsements for tonnages of 1,600 GRT or more. Therefore, all FCPs 
serving under the authority of their FCP endorsement will continue to 
be required to undergo the statutorily required annual physical 
examinations and will be subject to the submission requirements in 
Sec.  11.709.
    In Sec.  11.709, we also move the text specifying that each annual 
physical examination must meet the requirements in 46 CFR, part 10, 
subpart C, and be recorded on form CG-719K, from existing paragraph (c) 
into paragraph (b). We move this requirement into paragraph (b) so that 
all information regarding annual physical examination requirements is 
in the same paragraph.
    In conjunction with moving paragraph (c) into paragraph (b), this 
rule redesignates current Sec.  11.709(d) as Sec.  11.709(c), without 
change.
    Finally, this rule adds a new paragraph 11.709(d) to clarify that 
masters or mates serving as pilot on vessels of 1,600 GRT or more under 
Sec.  15.812 may not serve on these vessels if they do not meet the 
annual physical examination and submission requirements specified in 
Sec.  11.709(b). New paragraph (d) does not change any of the current 
requirements or consequences for masters or mates serving as pilot on 
vessels of 1,600 GRT or more, but reiterates the annual physical 
examination requirements for masters or mates serving as pilot already 
required in Sec.  15.812. Masters or mates serving as pilot on vessels 
of 1,600 GRT or more who do not comply with the physical examination or 
reporting requirements in Sec.  11.709(b) may still operate under the 
authority of their master or mate endorsement, but cannot pilot a 
vessel of 1,600 GRT or more until they come into compliance and the 
Coast Guard makes a determination on whether they are fit to serve 
under the provisions of 46 CFR 15.812 and 46 CFR subchapter B.

C. 46 CFR 15.401: Employment and Service Restrictions Within the 
Credential

    This rule also aligns the employment requirements in Sec.  15.401 
with the 5-year maximum period of validity of medical certificates for 
FCPs or masters or mates serving as pilot so that it reflects the 
change made in Sec.  10.301(b). Section 15.401(c) states that a person 
may not employ or engage an individual in a position required to hold 
an MMC unless that individual maintains a current medical certificate. 
This section currently lists the maximum validity period of the medical 
certificate as 2 years for FCPs and masters or mates serving as a 
pilot. This rule amends this section to say that the maximum validity 
period of the medical certificate for FCPs and masters or mates serving 
as pilot is 5 years.
    Additionally, throughout Sec.  15.401, this rule removes obsolete 
terminology referring to licenses, certificates of registry, and 
Merchant Mariner's Documents (MMDs). The Coast Guard ceased issuing 
licenses, certificates of registry, and MMDs in 2009 when we 
transitioned to the streamlined MMC with the ``Consolidation of 
Merchant Mariner Qualification Credentials'' final rule (see 74 FR 
11195, March 16, 2009). All credentialed mariners now hold an MMC.
    We also revise Sec.  15.401(c)(1) by removing the outdated 
grandfathering clause, ``[a]fter January 1, 2017,'' because the 
referenced date has passed and the section is now applicable to all 
medical certificates issued to individuals serving on vessels where the 
STCW Convention applies.

D. 46 CFR 15.812, Table 1 to Sec.  15.812(e)(1): Masters or Mates 
Serving as Pilot on Vessels of 1,600 GRT or More

    This rule includes a correction to Table 1 to Sec.  15.812(e)(1). 
Section 15.812(b)(2) contains the requirements for masters or mates to 
serve as pilot on vessels of not more than 1,600 GRT. There is no 
requirement in paragraph (b)(2) of this section for these masters and 
mates serving on vessels less than 1,600 GRT to undergo an annual 
physical examination. This is consistent with Sec.  11.709(a), which 
stipulates that the annual physical examination requirement only 
applies to individuals who pilot a vessel of 1,600 GRT or more. 
However, in Table 1 to Sec.  15.812(e)(1), ``Quick Reference Table for 
Federal Pilotage Requirements for U.S.-Inspected, Self-Propelled 
Vessels, Not Sailing on Register,'' the requirement for a master or 
mate serving as pilot on vessels not more than 1,600 GRT to have an 
annual physical examination was added in error. This error was 
incorporated into the table with the implementation of the STCW final 
rule, which took effect on March 24, 2014. We are removing the 
erroneous annual physical examination requirement in Table 1, under the 
third column, ``Non-designated areas of pilotage waters (between the 3-
mile limit and start of traditional pilotage routes).'' This correction 
aligns the table with the corresponding regulatory text in section 
Sec.  15.812(b)(2), as well as the applicability of the annual physical 
examination requirements in Sec.  11.709(a). This correction does not 
change the requirements for these mariners, because the Coast Guard has 
not required masters or mates serving as a pilot on vessels of less 
than 1,600 GRT to complete an annual physical examination.

VI. Regulatory Analyses

    The Coast Guard received six comment submissions during the 60-day 
comment period that ended on October 26, 2021. We received no public 
comments on the estimated benefits and costs; therefore, the 
methodology employed in the regulatory analyses in the NPRM remains 
unchanged.
    We developed this rule after considering numerous statutes and 
Executive orders related to rulemaking. Below we summarize our analyses 
based on these statutes or Executive orders.

A. Regulatory Planning and Review

    Executive Orders 12866 (Regulatory Planning and Review) and 13563 
(Improving Regulation and Regulatory

[[Page 66580]]

Review) direct agencies to assess the costs and benefits of available 
regulatory alternatives and, if regulation is necessary, to select 
regulatory approaches that maximize net benefits (including potential 
economic, environmental, public health and safety effects, distributive 
impacts, and equity). Executive Order 13563 emphasizes the importance 
of quantifying both costs and benefits, of reducing costs, of 
harmonizing rules, and of promoting flexibility.
    The Office of Management and Budget (OMB) has not designated this 
rule a significant regulatory action under section 3(f) of Executive 
Order 12866. A regulatory analysis follows.
Summary of Affected Population, Costs Savings, and Benefits
    This rule extends the maximum validity period of merchant mariner 
medical certificates issued to FCPs and masters or mates serving as 
pilot from 2 years to 5 years. This rule reduces the frequency of 
medical certification application submissions to the Coast Guard. FCPs 
and masters and mates who serve as pilot on vessels of 1,600 GRT or 
more will be required to submit the results of their annual physical 
examinations to the Coast Guard between medical certificate 
applications if the mariner: (1) does not meet the physical ability 
requirements; (2) has a condition that does not meet the medical, 
vision, or hearing requirements; (3) is deemed ``not recommended'' by a 
medical practitioner for a medical certificate; or (4) is so requested 
by the Coast Guard.

 Table 1--Summary of the Affected Population, Cost Savings, and Benefits
                              for This Rule
------------------------------------------------------------------------
                Category                             Summary
------------------------------------------------------------------------
Applicability..........................  Amend 46 CFR 10.301 and 15.401
                                          to extend the maximum period
                                          of validity of merchant
                                          mariner medical certificates
                                          issued to FCPs, and masters or
                                          mates serving as pilot, from 2
                                          years to 5 years.
                                         Amend 46 CFR 11.709 by
                                          modifying the medical
                                          certificate application
                                          submission requirement for
                                          FCPs, as well as masters and
                                          mates who serve as pilot on
                                          vessels of 1,600 GRT or more,
                                          from 2 years to 5 years.
Affected Population....................  There are currently 3,897
                                          mariners who hold MMC
                                          endorsements as FCPs, as of
                                          June 1, 2020. This number does
                                          not include masters or mates
                                          who could serve as pilot.
                                         The affected population for
                                          this rule is 95 percent of
                                          that population, or 3,702
                                          mariners (net affected
                                          population).
Benefits...............................  Fewer medical certificate
                                          applications will reduce the
                                          National Maritime Center's
                                          (NMC's) workload and generate
                                          cost savings to the government
                                          and to mariners.
                                         There could be unquantified
                                          benefits for some pilots due
                                          to a decrease in the
                                          likelihood of a lapse in
                                          medical certification from
                                          less frequent medical
                                          certificate application
                                          submissions. A lapse in
                                          medical certification can have
                                          significant costs for
                                          individual pilots and for
                                          employers, because pilots may
                                          not work under the authority
                                          of their credential without a
                                          valid medical certificate.
Cost savings (in $2020, 7% discount      Industry cost savings: $20,908
 rate) *.                                 annualized and $146,847 over a
                                          10-year period of analysis.
                                         Government cost savings:
                                          $15,756 annualized and
                                          $110,664 over a 10-year period
                                          of analysis.
                                         Total cost savings to industry
                                          and government: $36,664
                                          annualized and $257,511 over a
                                          10-year period of analysis.
------------------------------------------------------------------------
* Totals may not sum due to rounding.

Affected Population
    The Merchant Mariner Licensing and Documentation database (MMLD) is 
used by the NMC to issue MMCs and maintain records of U.S. merchant 
mariners. Based on data obtained from the MMLD, we determined that a 
total of 3,897 mariners hold MMC endorsements as FCPs. This rule will 
not impact FCPs holding medical certificates issued with waivers 
requiring more frequent reporting of medical examination results to the 
Coast Guard. Based on data from the MMLD, this group currently consists 
of 195 mariners, which is 5 percent of the total affected population of 
3,897 mariners. We reduced the total population (3,897 mariners) by 
this number (195) to obtain a net affected population of 3,702 mariners 
who will be impacted by this rule.
    Additionally, we determined that there are 89,713 mariners who hold 
an MMC endorsement as master or mate, without holding an FCP 
endorsement, who could serve as pilot. Because there is no requirement 
to report when a master or mate serves as pilot, we are unable to 
determine how many masters or mates are serving as pilot; therefore, we 
limited the affected population in this analysis to mariners holding 
FCP endorsements and medical certificates without time-limited medical 
waivers. Table 2 presents this population.

              Table 2--Summary of Population by Endorsement
------------------------------------------------------------------------
                                                             Number of
                       Population                            mariners
------------------------------------------------------------------------
Total number of mariners holding an MMC endorsement as             3,897
 FCP and holding a medical certificate with or without
 time-limited medical waivers (total potentially
 affected FCP population)...............................
Those mariners holding an MMC endorsement as FCP and                 195
 holding a medical certificate with time-limited medical
 waivers (unaffected FCP population due to waiver status
 resulting in no change in the period of validity of the
 medical certificate)...................................

[[Page 66581]]

 
Those mariners holding an MMC endorsement as FCP and               3,702
 holding a medical certificate without time-limited
 medical waivers (affected FCP population due to change
 in the period of validity of the medical certificate)..
------------------------------------------------------------------------

Costs and Cost Savings
    This final rule reduces the frequency of mariner medical 
certificate applications to the Coast Guard, resulting in a cost 
savings to both mariners and the government. Industry cost savings are 
the costs avoided by reducing the frequency with which FCPs and masters 
or mates serving as pilot apply for a medical certificate. 
Consequently, fewer applications will reduce the NMC's workload, 
generating cost savings for the government. The total 10-year 
discounted cost savings of this rule will be $257,511, and the 
annualized total cost savings will be approximately $36,664, both 
discounted at 7 percent. This includes the 10-year industry and 
government savings of $146,847 and $110,664 respectively, discounted at 
7 percent.
Turnover Rate
    We did not factor mariner turnover into this analysis. ``Mariner 
turnover'' means the number or percentage of mariners leaving 
employment within a certain period of time, combined with the number or 
percentage of mariners obtaining employment within the same period of 
time. There are two reasons for not factoring in mariner turnover. 
First, the MMC serves as a certificate of mariner identity, service, 
and qualification. In order to serve under the authority of an 
endorsement on an MMC, a mariner must be physically and medically 
qualified for that endorsement, as evidenced by holding a valid medical 
certificate. Medical certification is not an endorsement of 
qualification on an MMC, but, instead, is a separate document 
certifying medical and physical fitness to serve in the capacity of an 
endorsement listed on the MMC.
    The second reason mariner turnover is not factored into this 
analysis is because the FCP endorsement represents a maritime 
qualification that can lead to permanent employment with a pilot 
association. This career path is highly competitive, due to the 
rigorous, time-consuming, and highly specialized training required. As 
presented in table 3, data from the MMLD indicates that the number of 
mariners holding an FCP endorsement has declined at an annual average 
rate of 0.48 percent in the last 11 years. We did not include mariner 
turnover because the Coast Guard believes it will have a negligible 
effect in assessing the costs or cost savings for this regulatory 
analysis. We did not receive any comments related to the impact of 
mariner turnover in response to the NPRM.
Industry Cost Savings
    This final rule amends requirements so that the results of the 
annual physical examinations for pilots, and masters or mates serving 
as pilot, on vessels of 1,600 GRT or more will be submitted to the 
Coast Guard on form CG-719K every 5 years instead of every 2 years, 
unless one of the four conditions noted previously, and listed in Sec.  
11.709(b), is applicable.\1\ Although mariners will still be required 
to complete an annual physical examination, the cost savings to 
industry will include the time savings of the affected population not 
having to submit an application for a merchant mariner medical 
certificate every 2 years, after the second year of the implementation 
of this rule.
---------------------------------------------------------------------------

    \1\ Pilots must still undergo annual physical examinations. 
However, those pilots who are not required to submit the results to 
the Coast Guard during the 5 years will simply maintain personal 
copies.
---------------------------------------------------------------------------

    Mariners may submit medical certificate applications either 
directly to the NMC via email or to a Regional Examination Center (REC) 
via email, fax, or mail. Additionally, applications may be submitted at 
a REC in person. Cost savings to industry will include the time saved 
by mariners by faxing, emailing, mailing, or delivering in-person the 
form CG-719K to the Coast Guard on a less frequent basis. According to 
data obtained from the MMLD, 95 percent of medical certificates issued 
to FCPs, or 3,702 (0.95 x 3,897), are renewed every 2 years. The 
remaining 5 percent are renewed annually, for those pilots with time-
limited certificates due to medical waivers. Since the merchant mariner 
medical certificate for FCPs and masters or mates serving as pilot is 
only valid for 2 years under current regulations, half the total number 
of FCPs and masters or mates serving as pilot are currently applying 
for a new medical certificate each year.
    Current data from the MMLD indicates that 195 mariners from the 
affected population will not benefit directly under this rule. This is 
the number of FCPs and masters or mates serving as pilot who have been 
issued medical certificates with a waiver, which require more frequent 
reporting of the results of their annual physical examinations to the 
Coast Guard. These mariners will still be required to submit the form 
CG-719K to the Coast Guard on an annual basis.
Growth Rate of Affected Population
    We analyzed the number of endorsed FCPs who will experience a 
reduction in burden from only needing to submit their medical 
certificate applications once every 5 years, after the second year of 
the implementation of this rule, as opposed to once every 2 years under 
the regulations that existed prior to this final rule. We then analyzed 
the number of endorsed FCPs to estimate a population growth rate for 
mariners with MMCs who will become newly endorsed as FCPs. Using 11 
years of data from the MMLD, from 2010 to 2020,\2\ which is presented 
in table 3, we found that the number of endorsed FCPs is declining at 
an average rate of 0.48 percent per year. The highest number of 
endorsed FCPs was observed in 2017, while the lowest number of endorsed 
FCPs was observed in 2020.
---------------------------------------------------------------------------

    \2\ Data for each year are complete because the data are 
captured and recorded each July.
---------------------------------------------------------------------------

    We used this estimated annual average decline of 0.48 percent as a 
constant when forecasting the endorsed FCP population for the next 10 
years. This constant rate represents the average decline experienced by 
FCPs throughout a 10-year period of analysis. We applied this 0.48 
percent rate of decline to both the affected population in former 
regulations (the baseline) and the affected population in this final 
rule to determine the number of medical certificate application 
submissions in a given year. Table 3 presents the data from the MMLD 
used to determine the estimated annual rate of decline for the endorsed 
FCP population where t

[[Page 66582]]

denotes the period of time, and t is discrete and positive.

                                        Table 3--Summary of Endorsed FCPs
----------------------------------------------------------------------------------------------------------------
                                                                                    Growth rate (%) (b)t = [(a--
                               Year                                  Endorsed FCPs          a) / a] x 100
                                                                          (a)
----------------------------------------------------------------------------------------------------------------
2010..............................................................           4,259  ............................
2011..............................................................           4,292                          0.77
2012..............................................................           4,262                         -0.70
2013..............................................................           4,237                         -0.59
2014..............................................................           4,200                         -0.87
2015..............................................................           4,171                         -0.69
2016..............................................................           4,219                          1.15
2017..............................................................           4,297                          1.85
2018..............................................................           4,263                         -0.79
2019..............................................................           4,217                         -1.08
2020..............................................................           4,055                         -3.84
                                                                   ---------------------------------------------
Avg...............................................................           4,225                         -0.48
Max...............................................................           4,297  ............................
Min...............................................................           4,055  ............................
----------------------------------------------------------------------------------------------------------------

Baseline
    Table 4 illustrates the following discussion of our baseline 
analysis. In order to calculate the cost savings of this rule, and to 
determine our baseline industry costs, we first estimated the number of 
endorsed FCPs who will be applying for a merchant mariner medical 
certificate in any given year for the next 10 years, excluding those 
with medical waivers. To obtain this number, we took the total number 
of endorsed FCPs holding a medical certificate with or without time-
limited medical waivers, 3,897, as shown in table 2. We then subtracted 
the number of endorsed FCPs who submit medical certificate applications 
on an annual basis due to time-limited restrictions, 195. We obtained a 
population of 3,702 endorsed FCPs who will submit their medical 
certificate applications every 5 years under the rule. We then divided 
this number (3,702) by 2, which is the application rate of FCPs who are 
currently issued medical certificates (1 application every 2 years) to 
obtain an annual estimate of 1,851 medical certificates issued (3,702 / 
2). However, the number of endorsed FCPs has decreased over time, at an 
average annual rate of 0.48 percent from 2011-2020. We incorporated 
this average annual rate of decline in order to obtain the expected 
number of endorsed FCPs in a 10-year period of analysis. Column (d) in 
table 4, ``Pre-NPRM Regulation Medical Certificate Applications With 
Decline,'' captures the affected population after applying the annual 
average rate of decline in column (b) and the application rate in 
column (c). The equation for column (d) is represented as (d) t = (c) t 
+ ([1 + (b)] t ) for all t. Table 4 presents the number of medical 
certificate applications under the baseline analysis.

                   Table 4--Baseline Analysis of FCPs Mariner Medical Certificate Applications
----------------------------------------------------------------------------------------------------------------
                                                                      Pre NPRM
                                                                     regulation
                                                                      medical        Pre-NPRM regulation medical
              Year                 Population      Growth (%)       certificate       certificate  applications
                                                                  applications not          with decline
                                                                   incorporating
                                                                       growth
                                            (a)             (b)     (c)  = (a) / 2  (d)  = (c)  x ( [1 + (b)]  )
                                                                                                       for all t
----------------------------------------------------------------------------------------------------------------
1..............................           3,702           -0.48              1,851                         1,842
2..............................  ..............  ..............              1,851                         1,833
3..............................  ..............  ..............              1,851                         1,825
4..............................  ..............  ..............              1,851                         1,816
5..............................  ..............  ..............              1,851                         1,807
6..............................  ..............  ..............              1,851                         1,799
7..............................  ..............  ..............              1,851                         1,790
8..............................  ..............  ..............              1,851                         1,781
9..............................  ..............  ..............              1,851                         1,773
10.............................  ..............  ..............              1,851                         1,764
                                --------------------------------------------------------------------------------
    Total......................  ..............  ..............             18,511                        18,030
                                --------------------------------------------------------------------------------
    Average....................  ..............  ..............              1,851                         1,803
----------------------------------------------------------------------------------------------------------------

Revised Regulation
    Table 5 illustrates the following discussion of our methodology for 
estimating the number of medical certificate applications for the 
affected population under this rule. This is similar to the previously 
discussed ``Baseline'' section. The population and the estimated rate 
of decline are assumed to be identical under both the baseline scenario 
and the final rule. The difference in the methodology for the final 
rule is reflected in the application frequency for FCPs. We calculated 
this

[[Page 66583]]

by taking the number of FCPs expected to submit a medical certificate 
application in a given year, incorporating the rate of decline, and 
assuming that each eligible remaining FCP will only submit a medical 
certificate application at intervals of 5 years, starting in year 1. 
Column (e) reflects this periodicity; FCPs who submit a medical 
certificate application in year 1 will not have to submit a new medical 
certificate application until year 6. FCPs who submit their medical 
certificate application in year 2 will not have to submit their medical 
certificate application until year 7. After accounting for the yearly 
attrition projected for this analysis, values for column (e) will be 
equivalent to values of column (d) t for t = 1,2,6,7, and 0 for any 
other period. This periodicity holds true for any given 10-year 
interval into the future.
    In contrast, column (f) reflects the reduction in medical 
certificate applications under this rule. For any given period t, the 
reduction in medical certificate applications is calculated as the 
difference between FCPs who otherwise submit a medical certificate 
application every other year under the regulations that existed prior 
to this final rule, column (d), and the number of FCPs who no longer 
have to submit a medical certificate application during years 
3,4,5,8,9,10. Hence, column (f) t = 0 for t = 1,2,6,7, and column (f) t 
= (d) t - (e) t for any other year. Finally, column (g) reflects the 
number of FCPs lost to the industry on a given year due to the 
projected attrition.
Reduction in Merchant Mariner Medical Certificate Applications From 
Baseline to Final Rule
    As reflected in sum of column (f) of table 5, we project an 
aggregate reduction in medical certificate applications of 10,766 over 
a 10-year period following the implementation of this rule. Under this 
final rule, on average, FCPs will not have to submit 1,794 medical 
certificate applications in 3 years out of a given 5-year period 
horizon.

                                             Table 5--Rule Analysis of FCPs Medical Certificate Applications
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                     Final rule
                                                            Prior regulation      Prior rule         regulation       Difference in
                                                   Growth       medical            medical            medical            medical       Population change
                Year                  Population    (%)       certificate        certificate        certificate        certificate      on a given year
                                                              applications    applications with  applications with     applications
                                                             without growth         growth             growth
                                             (a)      (b)     (c)  = (a) / 2  (d)  = (c)  x ([1  (e)  = (d)  for t   (f)  = 0 for t =     (g)  = d  - d
                                                                              + (b)]  ) for all     = 1,2,6,7, and           1,2,6,7,
                                                                                              t           (e)  = 0          otherwise
                                                                                                         otherwise  (f)  = (d)  - (e)
 
--------------------------------------------------------------------------------------------------------------------------------------------------------
1...................................       3,702    -0.48              1,851              1,842              1,842  .................  .................
2...................................  ..........  .......              1,851              1,833              1,833  .................                 -9
3...................................  ..........  .......              1,851              1,825  .................              1,825                 -9
4...................................  ..........  .......              1,851              1,816  .................              1,816                 -9
5...................................  ..........  .......              1,851              1,807  .................              1,807                 -9
6...................................  ..........  .......              1,851              1,799              1,799  .................                 -9
7...................................  ..........  .......              1,851              1,790              1,790  .................                 -9
8...................................  ..........  .......              1,851              1,781  .................              1,781                 -9
9...................................  ..........  .......              1,851              1,773  .................              1,773                 -9
10..................................  ..........  .......              1,851              1,764  .................              1,764                 -8
    Total...........................  ..........  .......             18,511             18,030              7,264             10,766                -78
    Average.........................  ..........  .......              1,851              1,803              1,816              1,794                 -9
--------------------------------------------------------------------------------------------------------------------------------------------------------

Medical Certificate Applications Submitted by Mail--Opportunity Cost of 
Time
    Table 6 illustrates the analysis of cost savings to industry as 
discussed in the following paragraphs. We first determine the number of 
FCPs who will submit a medical certificate application via mail, 
previously estimated by the NMC at 15 percent of the affected 
population. The number of FCPs who no longer have to submit a medical 
application on a given year is reflected on column (f) of table 5. 
Therefore, column (a) of table 6 is the product of reduced FCPs x 15%. 
We then estimate the reduction in hours under the final rule.
    We calculate the reduction in time burden in a given year from FCPs 
who no longer have to submit a medical certificate application. The 
reduction in time burden is calculated as the product of the average 
time per medical certificate application submitted by mail for 
evaluation, and the number of FCPs who no longer have to submit a 
medical certificate application in a given year. The current collection 
of information approval for MMC application forms estimates the total 
time required to fill out and submit the medical certificate 
application by mail to be 18 minutes. Subject matter experts holding 
MMCs, with experience submitting a medical certificate application, 
estimate that, on average, 13 minutes are required to fill out the 
application and the remaining 5 minutes, or 0.083 hours (5 / 60), are 
required to mail the application. Column (f) in table 6 is the product 
of (a) and (b). In order to calculate the government cost savings from 
time saved by NMC employees having fewer medical certificate 
applications to evaluate, we use an estimated loaded hourly wage rate 
of $94.03.\3\ We derive the estimated wage by using the Office of 
Personnel Management's 2020 Salary Table for the locality adjusted 
general service (GS) pay scale for the Washington, DC metropolitan 
area.
---------------------------------------------------------------------------

    \3\ A loaded hourly wage rate is what a company pays per hour to 
employ a person, not the hourly wage an employee receives. The 
loaded hourly wage rate includes the cost of non-wage benefits 
(health insurance, vacation, etc.).
---------------------------------------------------------------------------

    We estimate that the average hourly wage rate for a GS-13 medical 
evaluator at the NMC is $56.57.\4\ To account for employee benefits, we 
use a load factor of 1.66, which we calculate from the Congressional 
Budget Office report, ``Comparing the Compensation of Federal and 
Private-Sector Employees, 2011 to 2015.'' \5\ We obtain this figure 
(the loaded factor) by dividing the total hourly compensation of a 
typical GS-13

[[Page 66584]]

employee, $74.80,\6\ by the hourly wage of a typical GS-13 employee, 
$45.00; \7\ hence, $74.80 / $45.00 = 1.66.\8\ Therefore, we estimate 
the loaded wage rate of a typical GS-13 employee as the product of the 
wage rate and the load factor, or $56.57 x 1.66 = $94.03.
---------------------------------------------------------------------------

    \4\ https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/pdf/2020/DCB_h.pdf.
    \5\ https://www.cbo.gov/system/files/115th-congress-2017-2018/reports/52637-federalprivatepay.pdf.
    \6\ Id, table 4. For this analysis we assumed a GS-13 was a 
federal employee with a Master's degree, as specified in table 2 and 
table 4 of the report.
    \7\ Id, table 2.
    \8\ Totals may not add due to rounding.
---------------------------------------------------------------------------

    We recognize that many mariners holding FCP endorsements are 
compensated at higher wage rates than what is published by the Bureau 
of Labor Statistics (BLS); however, we used the BLS Occupational Series 
due to the lack of official records for FCP wages and salaries.
    In order to calculate the cost of time saved by FCPs submitting 
fewer applications under this rule, we use the loaded hourly wage rate 
per FCP, estimated at $64.90. We obtain an estimated hourly wage rate 
for a mariner of $43.14, using BLS' Occupational Series 53-5021, 
Captains, Mates, and Pilots of Water Vessels (May 2020).\9\ To 
determine the load factor per FCP, we divide the BLS total compensation 
for the transportation and material moving series,\10\ $32.27, by the 
wages and salaries for the same series, which is $21.45. We estimate 
the load factor as 1.50, as $32.27 / $21.45 = 1.50. Therefore, we 
calculate the loaded hourly wage rate by multiplying the hourly wage 
rate by the loaded factor, or $43.14 x 1.50 = $64.90.\11\
---------------------------------------------------------------------------

    \9\ https://www.bls.gov/oes/2020/may/oes535021.htm (see Mean 
Hourly Wage value, National estimates for this occupation box).
    \10\ https://www.bls.gov/news.release/archives/ecec_03192020.pdf, found in table 2.
    \11\ Total may not add due to rounding.
---------------------------------------------------------------------------

    After determining the total reduction in time for FCPs not 
submitting medical certificates in a given year, we estimate the 
aggregate cost of the time for all FCPs to submit their medical 
certificates applications to the Coast Guard by multiplying the loaded 
hourly wage-rate per each endorsed FCP, $64.90, by the total annual 
reduction in time burden. Therefore, the cost-time burden, column (g) 
of table 6, is the product of column (d) and column (f).
Submission Costs
    Mariners may submit medical certificate applications either 
directly to the NMC or to a REC. Whether submitting to the NMC or a 
REC, applications can be submitted by email, fax, or mail. An 
application may also be submitted to a REC in person.
    Using data from the NMC on the submission of medical certificate 
applications, we estimate that approximately 39 percent of medical 
certificate applications are submitted directly to the NMC. Of these 
applications, 89 percent are submitted by email, 6 percent are 
submitted by fax, and 5 percent are submitted by mail. The remaining 61 
percent of medical certificate applications are submitted to RECs, 
where 52 percent of the applications are submitted by email, 1 percent 
are submitted by fax, 22 percent are submitted by mail, and 25 percent 
are submitted in person.\12\ Therefore, of the total medical 
certificate applications submitted to the Coast Guard (to both the NMC 
and RECs), approximately 66 percent are submitted via email, 3 percent 
are submitted via fax, 15 percent are submitted via mail, and 15 
percent are submitted in person.\13\
---------------------------------------------------------------------------

    \12\ Total may not add to 100 percent due to rounding.
    \13\ Total may not add to 100 percent due to rounding.
---------------------------------------------------------------------------

    We estimate the expected cost of mailing applications through the 
U.S. Postal Service (USPS) in any given year as the product of the 
total number of medical certificate applications that will be submitted 
under this rule, the 55-cent cost of mailing an application to the 
Coast Guard through the USPS using a first-class letter postage stamp, 
and the percentage of endorsed FCPs expected to submit their medical 
certificate applications through the mail, approximately 15.4 percent. 
Thus, column (h) of table 6 = (a) x (c). Finally, the undiscounted 
industry cost savings, column (i), is the sum of the cost-time burden, 
column (g), and the USPS cost, column (h).

                         Table 6--Medical Applications Mailing Costs Estimates Over a 10-Year Period of Analysis in $2020 Dollars Using 7- and 3-Percent Discount Rates
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                         Reduction                          Undiscounted
                                                            Mailed     Avg. time     Cost per                             in time    Cost-time  Mail costs    industry
                                                          submission    per form      letter    FCP hourly  Total apps    burden    burden (g)  (USPS) (h)  cost savings  Discounted  Discounted
                          Year                              (a)  =     submission   mailed  (1   wage (d)    received   (hrs.) (f)    = (d) x     = (a)  x   (i)  = (g)       7%          3%
                                                           reduced     (hrs.) (b)    oz.) (c)                 (%) (e)     = (a)  x     (f)          (c)        + (h)
                                                          FCPs x 15%                                                        (b)
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
1                                                                           0.083        $0.55      $64.90          15
2
3                                                                280                                                            23       1,517         154         1,671       1,364       1,529
4                                                                279                                                            23       1,509         154         1,663       1,269       1,478
5                                                                278                                                            23       1,502         153         1,655       1,180       1,428
6
7
8                                                                274                                                            23       1,481         151         1,631         949       1,288
9                                                                272                                                            23       1,474         150         1,624         883       1,244
10                                                               271                                                            23       1,467         149         1,616         821       1,202
                                                        ----------------------------------------------------------------------------------------------------------------------------------------
    Total                                                      1,655                                                           138       8,950         910         9,860       6,467       8,169
    Average                                                      276                                                            23       1,492         152         1,643       1,078       1,361
    Annualization                                                                                                                                                                921         958
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
* Totals may not add due to rounding.

Medical Certificates Applications Submitted in Person--Opportunity Cost 
of Time
    Table 7 illustrates the analysis of cost savings to industry, as 
discussed in the following sections. We first determine the number of 
FCPs who will submit a medical certificate application in person, 
previously estimated by the NMC at 15 percent of the affected 
population. Therefore, column (a), the expected number of medical 
certificate applications submitted in person in a given year = reduced 
FCPs x 15%. We assume that each eligible FCP will commute an average of 
27.6 minutes in each direction \14\ to submit their medical certificate 
application to a REC, for an average total commuting time of 55.2 
minutes, shown in column (c). We assume that FCPs who have a longer 
commute to the REC will submit the applications by mail or email. We 
also assume that FCPs will drive at an

[[Page 66585]]

average speed of approximately 57 miles per hour (MPH) based on 
calculations from data in the Department of Transportation's National 
Traffic Speeds Survey II, Overall Speed Estimates (in MPH) by Road 
Class (Free-Flow) by Year. That survey provided mean speed figures for 
three road classes: limited access (70.5 MPH), major arterial (53.28 
MPH), and minor arterial (47.01 MPH). We took the mean of those values 
to obtain an average speed of 56.93 MPH [(70.5 + 53.28 + 47.01) / 
3].\15\ Considering the estimated average speed, we assume that 55.2 
minutes of commuting time will be traveled in approximately 1 hour 
(55.2 minutes / 57 miles per hour [ap] 0.97 hrs.), reflected in column 
(b).
---------------------------------------------------------------------------

    \14\ https://www.census.gov/newsroom/press-releases/2021/one-way-travel-time-to-work-rises.html.
    \15\ Table 1. Overall Speed Estimates (in MPH) by Road Class 
(Free-Flow) by Year, Fact Sheet, Publication No. DOT HS 811 647, 
August 2012, https://safety.fhwa.dot.gov/speedmgt/data_facts/.
---------------------------------------------------------------------------

    In order to calculate the opportunity cost of having to commute to 
submit a medical certificate application to a REC on a less frequent 
basis, we use the General Services Administration's (GSA's) ``Privately 
Owned Vehicle (POV) Mileage Reimbursement Rates,'' \16\ which is used 
as a proxy for the wear and tear incurred while commuting to a REC. As 
of January 2021, the reimbursement rate is $0.56 per mile, column (d). 
We then estimate the net reduction in time burden hours in column (e).
---------------------------------------------------------------------------

    \16\ https://www.gsa.gov/travel/plan-book/transportation-airfare-pov-etc/privately-owned-vehicle-pov-mileage-reimbursement-rates.
---------------------------------------------------------------------------

    The net reduction in time burden is calculated as the product of 
the average time it will take FCPs to commute to and from a REC, column 
(b), and the number of FCPs who no longer have to submit a medical 
certificate on a given year, column (a). Hence, column (e) = (a) x (b). 
Next we estimate the net reduction in distance (miles avoided) by FCPs 
who no longer have to drive to submit a medical certificate application 
in a given year. The net reduction in distance (miles), column (f), is 
the product of the average miles avoided by FCPs who would otherwise 
commute to and from a REC, column (c), and the aggregate time of 
commuting avoided by FCPs in hours. Finally, we estimate the 
undiscounted cost savings of FCPs who no longer have to submit a 
medical certificate application in person, column (g). This column is 
calculated as the product of GSA's reimbursement rate, column (d), and 
the aggregate distance (miles) avoided by FCPs on a given year, column 
(e). Hence, column (g) = (d) x (f).

                                                     Table 7--Opportunity Cost of Commute Avoided in Terms of Time and Reimbursement Impact
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                         Total time
                                                                          allotted                                      Net reduction    Net reduction     Undiscounted
                                                           In person    for driving   Average time     Reimbursement    in time burden      in time       industry cost
                         Year                           submission (a)    to/ from    commuted per     rate per mile    (hrs.) (e)  =    (minutes) (f)    savings (g)  =  Discounted  Discounted
                                                           = reduced        USCG         FCP (c)        driven (d)        (a)  x (b)      = (c) x (e)       (d) x (f)         7%          3%
                                                          FCPs x 15%     facilities
                                                                         (hrs.) (b)
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
1                                                                             1.000            55.2             $0.56  ...............  ...............  ...............  ..........  ..........
2.....................................................  ..............  ...........  ..............  ................  ...............  ...............  ...............  ..........
3.....................................................             280                                                          280.44           15,481           $8,669      $7,077      $7,933
4.....................................................             279                                                          279.10           15,406            8,628       6,582       7,666
5.....................................................             278                                                          277.77           15,333            8,586       6,122       7,407
6.....................................................  ..............                                                 ...............  ...............  ...............  ..........  ..........
7.....................................................  ..............                                                 ...............  ...............  ...............  ..........  ..........
8.....................................................             274                                                          273.80           15,114            8,464       4,926       6,681
9.....................................................             272                                                          272.49           15,041            8,423       4,582       6,456
10....................................................             271                                                          271.18           14,969            8,383       4,261       6,238
                                                       -----------------------------------------------------------------------------------------------------------------------------------------
    Total.............................................           1,655  ...........  ..............  ................         1,654.77           91,344           51,152      33,549      42,380
    Average...........................................             276  ...........  ..............  ................           275.80           15,224            8,525       5,592       7,063
    Annualization.....................................  ..............  ...........  ..............  ................  ...............  ...............  ...............       4,777       4,968
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
* Totals may not add due to rounding.

Medical Certificate Applications Submitted in Person--Opportunity Cost 
of Time (Compensation)
    Table 8 illustrates an analysis similar to table 7, but in terms of 
the compensation that FCPs will otherwise forgo in order to commute to 
a REC to submit a medical certificate application. Based on data 
provided from each REC, we determined that, considering security 
protocols, a mariner requires an average of 25 minutes to arrive at, 
enter, and then exit a REC, column (c). It requires, on average, an 
additional 5 minutes of wait time to be seen by the legal instruments 
examiner at the customer service counter, column (d), and an additional 
1 minute for the examiner to verify that the medical certificate 
application is complete and filled out properly, column (e). The time 
burden for FCPs is no different than for any other mariner.
    To quantify the savings associated to mariners not using a full 
hour of their time to commute to a REC, column (b), we use the FCP's 
loaded hourly wage rate, estimated at $64.90, column (f). The 
undiscounted cost savings associated to FCPs who no longer have to 
commute to submit a medical certificate application, column (g), is 
calculated as the product of the number of reduced FCPs, column (a), 
the average commuting time to and from a REC, column (b), the average 
time to it takes an FCP to enter and exit a REC, column (c), the 
average time to it takes for an FCP to be seen by a legal instruments 
examiner at the customer service counter, column (d), and the average 
time it takes for the examiner to verify that the medical certificate 
application is complete and filled out properly, column (e). Hence, (g) 
t = (a) t x [(b) + (c) + (d) + (e)] x (f).

[[Page 66586]]

                                    Table 8--Opportunity Cost of Commute Avoided in Terms of Hourly Wage Compensation
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                 Undiscounted
                                                   Avg.      Avg. time    Avg. time                              industry cost
                                  In person     commuting     to enter    to be seen   Avg. time                savings (g)  =
             Year              submission (a)    time to/     and exit     by legal     perform     FCP hourly   (a) x [(b) +    Discounted   Discounted
                                  = reduced     from RECs   RECs (hrs.)  instruments   submission    wage (f)     (c) + (d) +        7%           3%
                                 FCPs x 15%     (hrs.) (b)      (c)        examiner    (hrs.) (e)                 (e)] x (f)
                                                                          (hrs.) (d)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1............................  ..............        1.000        0.417        0.083        0.017       $64.90  ..............  ...........  ...........
2............................  ..............  ...........  ...........  ...........  ...........  ...........  ..............  ...........  ...........
3............................             280  ...........  ...........  ...........  ...........  ...........         $27,605      $22,534      $25,263
4............................             279  ...........  ...........  ...........  ...........  ...........          27,473       20,959       24,409
5............................             278  ...........  ...........  ...........  ...........  ...........          27,341       19,494       23,585
6............................  ..............  ...........  ...........  ...........  ...........  ...........  ..............  ...........  ...........
7............................  ..............  ...........  ...........  ...........  ...........  ...........  ..............  ...........  ...........
8............................             274  ...........  ...........  ...........  ...........  ...........          26,951       15,686       21,275
9............................             272  ...........  ...........  ...........  ...........  ...........          26,822       14,589       20,557
10...........................             271  ...........  ...........  ...........  ...........  ...........          26,693       13,569       19,862
                              --------------------------------------------------------------------------------------------------------------------------
    Total....................           1,655  ...........  ...........  ...........  ...........  ...........         162,885      106,831      134,951
    Average..................             276  ...........  ...........  ...........  ...........  ...........          27,147       17,805       22,492
    Annualization............  ..............  ...........  ...........  ...........  ...........  ...........  ..............      $15,210      $15,820
--------------------------------------------------------------------------------------------------------------------------------------------------------
* Totals may not add due to rounding.

Total Cost Savings to Industry
    Using a 7-percent discount rate, we estimate the annualized cost 
savings for this rule at $20,908 and the 10-year total at $146,847. We 
obtain this value by adding the yearly cost savings associated with the 
number of medical certificate applications not submitted in a given 
period, which is column (i) of table 6, and the number of medical 
certificate applications not delivered to the Coast Guard in a given 
period, which is the sum of column (g) of table 7 and column (g) of 
table 8. We present these industry cost-savings amounts, discounted at 
7 percent and 3 percent, in table 9.

              Table 9--Total Industry Cost Savings Over a 10-Year Period of Analysis in $2020 Dollars Using 7- and 3-Percent Discount Rates
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                  Undiscounted in        Undiscounted
                           Year                             Undiscounted mail    person submission     industry savings    Discounted 7%   Discounted 3%
                                                             submission (a)             (b)                  (c)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1........................................................  ...................  ...................  ...................  ..............  ..............
2........................................................  ...................  ...................  ...................  ..............  ..............
3........................................................               $1,671              $36,274              $37,945         $30,975         $34,725
4........................................................                1,663               36,100               37,763          28,810          33,552
5........................................................                1,655               35,928               37,583          26,796          32,419
6........................................................  ...................  ...................  ...................  ..............  ..............
7........................................................  ...................  ...................  ...................  ..............  ..............
8........................................................                1,631               35,414               37,046          21,561          29,244
9........................................................                1,624               35,245               36,868          20,054          28,256
10.......................................................                1,616               35,076               36,692          18,652          27,302
                                                          ----------------------------------------------------------------------------------------------
    Total................................................                9,860              214,037              223,897         146,847         185,499
    Average..............................................                1,643               35,673               37,316          24,475          30,917
    Annualization........................................  ...................  ...................  ...................          20,908          21,746
--------------------------------------------------------------------------------------------------------------------------------------------------------
* Totals may not add due to rounding.

Government Cost Savings
    Table 10 illustrates the following methodology to calculate the 
cost savings to the government. We first estimate the reduction in 
hours associated with the reduction in medical certificate application 
submissions previously discussed as the product of the reduction in 
medical certificate applications and the estimated time it will take a 
GS-13 employee at the NMC to process an application for a medical 
certificate. Using medical certificate application information records 
obtained from NMC medical evaluation staff, we estimate that the time 
needed to evaluate a medical certificate application is approximately 
10 minutes, or 0.166 hours (10 / 60 = 0.166 hours).
    Using the loaded hourly wage rate of $94.03 for a GS-13 employee, 
we estimate that the government will save $15.67 ($94.03 x 0.17 hour) 
on each application it no longer has to evaluate. The annual reduction 
in the number of medical certificate applications for the rule is the 
product of the number of applications the government will no longer 
have to review and the hours saved by not having to review an 
additional medical application. Therefore, (d) = (a) x 0.166 hrs. On 
average, the government will save 299 hours annually under this final 
rule.
    Next, we estimate the total undiscounted government cost savings in 
a given year. We calculated this by multiplying the estimated loaded 
hourly wage rate for a GS-13 employee, $94.03, by the yearly reduction 
in hours. This captures the difference in the medical certificate 
applications under the former regulations and the final rule. On 
average, the government will save $18,444 annually under this rule, 
discounted at 7 percent, as presented in table 10.

[[Page 66587]]

               Table 10--Government Cost Savings Over a 10-Year Period of Analysis in $2020 Dollars Using 7- and 3-Percent Discount Rates
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                           Reduction in                                    Reduction in    Undiscounted
                                              medical                        Time per       time burden     government
                  Year                      certificate     GS-13 wage      evaluation     (hrs.) (d)  =   cost savings    Discounted 7%   Discounted 3%
                                           applications      rate (b)       (hrs.) (c)       (a) x (c)     (e)  = (b) x
                                               (a)                                                             (d)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1.......................................  ..............          $94.03            0.17  ..............  ..............  ..............  ..............
2.......................................  ..............  ..............  ..............  ..............  ..............  ..............  ..............
3.......................................           1,825  ..............  ..............          304.10         $28,595         $23,342         $26,169
4.......................................           1,816  ..............  ..............          302.65          28,459          21,711          25,285
5.......................................           1,807  ..............  ..............          301.20          28,322          20,193          24,431
6.......................................  ..............  ..............  ..............  ..............  ..............  ..............  ..............
7.......................................  ..............  ..............  ..............  ..............  ..............  ..............  ..............
8.......................................           1,781  ..............  ..............          296.89          27,918          16,248          22,038
9.......................................           1,773  ..............  ..............          295.47          27,784          15,113          21,294
10......................................           1,764  ..............  ..............          294.06          27,651          14,056          20,575
                                         ---------------------------------------------------------------------------------------------------------------
    Total...............................          10,766  ..............  ..............  ..............         168,729         110,664         139,792
    Average.............................           1,794  ..............  ..............  ..............          28,121          18,444          23,299
    Annualization.......................  ..............  ..............  ..............  ..............  ..............          15,756          16,388
--------------------------------------------------------------------------------------------------------------------------------------------------------
* Totals may not add due to rounding.

Total Estimated Cost Savings of This Rule Over a 10-Year Period of 
Analysis
    Over a 10-year period of analysis, the total estimated cost savings 
of this rule to mariners and the government is $257,511, discounted at 
7 percent. The annualized cost savings are $36,664, also discounted at 
7 percent. Table 11 presents the total cost savings of this rule, which 
is the sum of the undiscounted industry savings, column (c) of table 9, 
and the undiscounted government savings, which is column (e) of table 
10. Therefore, the undiscounted total cost savings is the sum of the 
undiscounted industry savings and the undiscounted government savings.

Table 11--Total Estimated Costs Savings of Rule Over a 10-Year Period of Analysis in $2020 Using 7-Percent and 3-
                                             Percent Discount Rates
----------------------------------------------------------------------------------------------------------------
                                                                   Undiscounted
                                   Undiscounted    Undiscounted     total cost
                                   industry cost    government    savings (c)  =
              Year                 savings (a)     cost savings     (a)  + (b)     Discounted 7%   Discounted 3%
                                                       (b)
 
----------------------------------------------------------------------------------------------------------------
1...............................  ..............  ..............  ..............  ..............  ..............
2...............................  ..............  ..............  ..............  ..............  ..............
3...............................         $37,945         $28,595         $66,541         $54,317         $60,894
4...............................          37,763          28,459          66,222          50,520          58,837
5...............................          37,583          28,322          65,905          46,989          56,850
6...............................  ..............  ..............  ..............  ..............  ..............
7...............................  ..............  ..............  ..............  ..............  ..............
8...............................          37,046          27,918          64,963          37,809          51,283
9...............................          36,868          27,784          64,652          35,167          49,551
10..............................          36,692          27,651          64,343          32,709          47,877
                                 -------------------------------------------------------------------------------
    Total.......................         223,897         168,729         392,626         257,511         325,292
    Average.....................          37,316          28,121          65,438          42,918          54,215
    Annualization...............  ..............  ..............  ..............          36,664          38,134
----------------------------------------------------------------------------------------------------------------
* Totals may not add due to rounding.

Benefits
    The cost savings accounted for above, including savings to mariners 
from less frequent submissions of medical certificate applications, are 
quantifiable benefits from this rule. This rule will reduce the NMC's 
workload and generate government cost savings.
Alternatives
    When analyzing alternatives, we considered two factors: the period 
of validity of the medical certificate for FCPs; and the requirement to 
submit physical examination results to the Coast Guard. Prior to this 
final rule, the period of validity of the medical certificate was 2 
years for FCPs, and the submission of physical examination results was 
correspondingly every other year, unless the medical certificate 
contained a waiver requiring more frequent submission of the physical 
examination results.
    Alternative 1. The first alternative we considered in this analysis 
was no change, where FCPs would continue to apply for their medical 
certificates every other year. This alternative would also continue to 
require FCPs to report their physical examination results every other 
year, unless their medical certificate contains a waiver requiring more 
frequent submission. As shown in table 11, we estimate the opportunity 
cost of maintaining a 2-year pilot medical certificate validity period 
at $36,664, annualized at 7 percent; or a total of $257,511 over a 10-
year period of analysis, also discounted at 7 percent. We rejected this 
alternative. Although there would be no additional costs to mariners or 
the government, there would also be no cost savings, and this 
alternative would not lead to an

[[Page 66588]]

increase in safety in the maritime industry.
    Alternative 2. The second alternative we considered was extending 
the maximum period of validity of medical certifications to 5 years 
without interim self-reporting requirements, which require mariners to 
submit the results of their medical examination to the Coast Guard if 
they no longer meet the medical standards. FCPs would only submit the 
results of the physical examination every 5 years with a medical 
certificate application, unless their medical certificate contains a 
waiver and requires more frequent submission. We rejected this 
alternative. The Coast Guard finds the potential for increased risk 
from mariners with underlying health issues operating as FCPs, and not 
self-reporting medical or health conditions that may impact their 
piloting performance and maritime safety, unacceptable. We made this 
determination after considering the unique physical and cognitive 
demands placed on pilots in performing their duties, and maritime 
casualties that were directly related to a FCP's physical ability to 
perform their duties. We considered casualties such as the 2003 Staten 
Island Ferry allision, which resulted in more than $8 million in 
damages and losses, and the 2007 Cosco Busan incident, which resulted 
in more than $70 million in environmental damages and other losses. 
Both casualties were directly attributed to the pilot's inability to 
properly manage the vessel due to underlying medical conditions that 
were not reported to the Coast Guard within the 5-year medical 
certificate validity period. The risk that mariners can develop new 
medical conditions within the 5-year medical certificate validity 
period is mitigated by the self-reporting requirements. Taking into 
account these maritime casualties, and the potential for extraordinary 
damages to the public, the environment, and the maritime industry, the 
Coast Guard does not deem any potential benefit derived from excluding 
the interim self-reporting requirement on behalf of FCPs to be worth 
the risk involved.
    Alternative 3. The third alternative we considered was extending 
the maximum period of validity of the medical certificate to 5 years, 
and requiring FCPs to submit the results of their annual physical 
examinations to the Coast Guard between medical certificate 
applications if the mariner: (1) does not meet the physical ability 
requirements; (2) has a condition that does not meet the medical, 
vision, or hearing requirements; (3) is deemed ``not recommended'' by a 
medical practitioner for a medical certificate; or (4) is so requested 
by the Coast Guard. With this third alternative, FCPs would apply for 
the medical certificates every 5 years and would have to report the 
results of their medical examination between applications only if any 
of the four conditions apply. This alternative mitigates the potential 
for increased safety risks identified under the second alternative, 
resulting from having mariners with underlying medical issues operating 
as FCPs. The potential for risk is increased when the Coast Guard does 
not have the opportunity to review the physical examinations of 
mariners whose medical practitioners have diagnosed them with medical 
conditions that may impact their piloting performance. Therefore, the 
third alternative was chosen in this rule.

B. Small Entities

    Under the Regulatory Flexibility Act, 5 U.S.C. 601-612, we have 
considered whether this rule will have a significant economic impact on 
a substantial number of small entities. The term ``small entities'' 
comprises small businesses, not-for-profit organizations that are 
independently owned and operated and are not dominant in their fields, 
and governmental jurisdictions with populations of less than 50,000.
    This rule will reduce the burden on industry by extending the 
maximum period of validity of merchant mariner medical certificates for 
FCPs and masters and mates serving as pilot from 2 years to 5 years. 
Because the medical certificate application is submitted by the mariner 
and not an employer, the affected mariners will receive the cost 
savings from this rule. Hence, the changes in this rule will affect 
individuals, not businesses or other small entities as defined by the 
Small Business Administration in 13 CFR 121.201.
    Therefore, the Coast Guard certifies under 5 U.S.C. 605(b) that 
this rule will not have a significant economic impact on a substantial 
number of small entities.

C. Assistance for Small Entities

    Under section 213(a) of the Small Business Regulatory Enforcement 
Fairness Act of 1996, Public Law 104-121, we offer to assist small 
entities in understanding this rule so that they can better evaluate 
its effects on them and participate in the rulemaking. The Coast Guard 
will not retaliate against small entities that question or complain 
about this rule or any policy or action of the Coast Guard.
    Small businesses may send comments on the actions of Federal 
employees who enforce, or otherwise determine compliance with, Federal 
regulations to the Small Business and Agriculture Regulatory 
Enforcement Ombudsman and the Regional Small Business Regulatory 
Fairness Boards. The Ombudsman evaluates these actions annually and 
rates each agency's responsiveness to small business. If you wish to 
comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR 
(1-888-734-3247).

D. Collection of Information

    This rule calls for a change to an existing collection of 
information under the Paperwork Reduction Act of 1995, 44 U.S.C. 3501 
3520. As defined in 5 CFR 1320.3(c), ``collection of information'' 
comprises reporting, recordkeeping, monitoring, posting, labeling, and 
other similar actions. The title and description of the information 
collection, a description of those who must collect the information, 
and an estimate of the total annual burden follow. The estimate covers 
the time for reviewing instructions, searching existing sources of 
data, gathering and maintaining the data needed, and completing and 
reviewing the collection.
    The information collection associated with this rule is the 
currently approved collection, OMB Control No. 1625-0040, Application 
for Merchant Mariner Credentials and Medical Certificates, which covers 
all information collected for merchant mariner credentialing. The 
revisions to 46 CFR 10.301 and 15.401 will extend the maximum validity 
period of the mariner medical certificate for FCPs and masters or mates 
serving as pilot from 2 years to 5 years. The change to the maximum 
validity period of the medical certificate for pilots will reduce the 
frequency and burden of response estimates of the current information 
collection request.
    Title: Application for Merchant Mariner Credentials and Medical 
Certificates.
    OMB Control Number: 1625-0040.
    Summary of the Collection of Information: The Coast Guard currently 
collects information from merchant mariners with their applications for 
MMCs and merchant mariner medical certificates. This collection 
includes the following information requests: signature of the applicant 
and supplementary material required to show that the mariner meets the 
mandatory requirements for the credential or medical certificate 
sought; proof of the applicant passing all applicable vision, hearing, 
medical, and physical examinations; negative chemical test for 
dangerous drugs;

[[Page 66589]]

discharges or other documentary evidence of sea service indicating the 
name, tonnage, propulsion mode and power of the vessels, dates of 
service, capacity in which the applicant served, and on what waters; 
and disclosure documentation for narcotics, driving while intoxicated 
or under the influence, or other convictions.
    Need for Information: Title 46 U.S.C. Subtitle II, Part E, 46 CFR 
part 10 subpart B, the STCW Convention and STCW Code, including the 
STCW final rule (78 FR 77796), require MMC and medical certificate 
applicants to apply at one of the Coast Guard's 17 RECs located 
nationwide, or any other location designated by the Coast Guard. MMCs 
are established for individuals who are required to hold a credential 
under Subtitle II. The Coast Guard has the responsibility of issuing 
MMCs and medical certificates to applicants found qualified as to age, 
character, and habits of life, experience, professional qualifications, 
and physical fitness. The instruments contained within OMB Control No. 
1625-0040 serve as a means for the applicant to apply for an MMC and a 
medical certificate.
    Proposed Use of Information: The Coast Guard conducts this 
collection of information solely for the purpose of determining 
eligibility for the issuance of an MMC or medical certificate, in 
accordance with applicable statutes and regulations. This evaluation is 
performed on occasion, meaning as submitted by the respondent when they 
apply for an MMC or medical certificate. In general, applicants for an 
MMC must submit the ``Application for Merchant Mariner Credential,'' 
form CG-719B, every 5 years for renewal, or when seeking a new 
endorsement or raise of grade, and applicants for a medical certificate 
must submit the form CG-719K every 2 years or every 5 years, depending 
upon the type of credential endorsements held and the applicant's 
medical status. The Coast Guard evaluates the collected information to 
determine whether applicants are qualified to serve under the authority 
of the requested credential with respect to their medical fitness, 
their professional qualifications, and their safety and suitability.
    Description of the Respondents: All applicants for an MMC, whether 
original, renewal, duplicate, raise of grade, or a new endorsement on a 
previously issued MMC, are included in this collection. Medical 
certificates are issued with three expiration dates based on the 
endorsement type. The effective expiration date depends upon the 
authority upon which the mariner is currently sailing, which may be on 
a National MMC endorsement, an international STCW endorsement, or a 
pilot endorsement. This rule only changes the maximum validity period 
of the pilot endorsement merchant mariner medical certificate from 2 
years to 5 years, which applies only to FCPs and masters or mates 
serving as pilot.
    Number of Respondents: This rule will reduce the annual number of 
respondents by 7,324 over a 10-year period of analysis. As a result, 
the total annual respondents for this collection will change from 
18,316 to 10,992.
    Frequency of Response: For FCP endorsements, the annual average 
reduction will be 1,794. The responses are annual and will result in a 
reduction in the number of medical certificate submissions of the form 
CG-719K from 54,800 to 44,034 (54,800-10,766 = 44,034).
    Burden of Response: The total hourly burden per response is 
estimated at 18 minutes, or 0.30 hours. This rule will reduce the 
aggregate burden of hours associated with the submission of the medical 
certification applications by extending the validity period from every 
2 years to every 5 years. Therefore, the total annual response time for 
submitting a new medical certificate will decrease by approximately 
3,587 hours (138 hrs. via mail submissions + 1,654 hrs. in person 
submissions + 1,794 government hrs. review). However, the hourly burden 
per response will remain unchanged.
    Estimate of Total Annual Burden: The Coast Guard estimates that the 
total annual burden with the change to the medical certificate validity 
period for FCPs will be 16,286 hours a year, which is a 154-hour 
reduction in burden from the current corresponding collection total of 
16,440 hours.
    As required by 44 U.S.C. 3507(d), we will submit a copy of this 
rule to OMB for its review of the collection of information. You are 
not required to respond to a collection of information unless it 
displays a currently valid OMB control number.

E. Federalism

    A rule has implications for federalism under Executive Order 13132 
(Federalism) if it has a substantial direct effect on States, on the 
relationship between the National Government and the States, or on the 
distribution of power and responsibilities among the various levels of 
government. We have analyzed this rule under Executive Order 13132 and 
have determined that it is consistent with the fundamental federalism 
principles and preemption requirements described in Executive Order 
13132. Our analysis follows.
    It is well settled that States may not regulate in categories 
reserved for regulation by the Coast Guard. It is also well settled 
that all of the categories covered in 46 U.S.C. 3306, 3703, 7101, and 
8101 (design, construction, alteration, repair, maintenance, operation, 
equipping, personnel qualification, and manning of vessels), as well as 
the reporting of casualties and any other category in which Congress 
intended the Coast Guard to be the sole source of a vessel's 
obligations, are within the field foreclosed from regulation by the 
States. See the Supreme Court's decision in United States v. Locke and 
Intertanko v. Locke, 529 U.S. 89, 120 S.Ct. 1135 (2000) (finding that 
the states are foreclosed from regulating tanker vessels). See also Ray 
v. Atlantic Richfield Co., 435 U.S. 151, 157 (1978) (state regulation 
is preempted where ``the scheme of federal regulation may be so 
pervasive as to make reasonable the inference that Congress left no 
room for the States to supplement it [or where] the Act of Congress may 
touch a field in which the federal interest is so dominant that the 
federal system will be assumed to preclude enforcement of state laws on 
the same subject.'' (Citations omitted). Because this rule involves the 
credentialing of mariners under 46 U.S.C. 7101, it relates to personnel 
qualifications and, as a result, is foreclosed from regulation by the 
States. Therefore, because the States may not regulate within these 
categories, this rule is consistent with the fundamental federalism 
principles and preemption requirements described in Executive Order 
13132.

F. Unfunded Mandates

    The Unfunded Mandates Reform Act of 1995, 2 U.S.C. 1531-1538, 
requires Federal agencies to assess the effects of their discretionary 
regulatory actions. In particular, the Act addresses actions that may 
result in the expenditure by a State, local, or tribal government, in 
the aggregate, or by the private sector of $100,000,000 (adjusted for 
inflation) or more in any one year. Although this rule will not result 
in such expenditure, we do discuss the effects of this rule elsewhere 
in this preamble.

G. Taking of Private Property

    This rule will not cause a taking of private property or otherwise 
have taking implications under Executive Order 12630 (Governmental 
Actions and Interference with Constitutionally Protected Property 
Rights).

[[Page 66590]]

H. Civil Justice Reform

    This rule meets applicable standards in sections 3(a) and 3(b)(2) 
of Executive Order 12988 (Civil Justice Reform) to minimize litigation, 
eliminate ambiguity, and reduce burden.

I. Protection of Children

    We have analyzed this rule under Executive Order 13045 (Protection 
of Children from Environmental Health Risks and Safety Risks). This 
rule is not an economically significant rule and will not create an 
environmental risk to health or risk to safety that might 
disproportionately affect children.

J. Indian Tribal Governments

    This rule does not have tribal implications under Executive Order 
13175 (Consultation and Coordination with Indian Tribal Governments), 
because it will not have a substantial direct effect on one or more 
Indian tribes, on the relationship between the Federal Government and 
Indian tribes, or on the distribution of power and responsibilities 
between the Federal Government and Indian tribes.

K. Energy Effects

    We have analyzed this rule under Executive Order 13211 (Actions 
Concerning Regulations That Significantly Affect Energy Supply, 
Distribution, or Use). We have determined that it is not a 
``significant energy action'' under that order because it is not a 
``significant regulatory action'' under Executive Order 12866 and is 
not likely to have a significant adverse effect on the supply, 
distribution, or use of energy.

L. Technical Standards

    The National Technology Transfer and Advancement Act, codified as a 
note to 15 U.S.C. 272, directs agencies to use voluntary consensus 
standards in their regulatory activities unless the agency provides 
Congress, through OMB, with an explanation of why using these standards 
would be inconsistent with applicable law or otherwise impractical. 
Voluntary consensus standards are technical standards (e.g., 
specifications of materials, performance, design, or operation; test 
methods; sampling procedures; and related management systems practices) 
that are developed or adopted by voluntary consensus standards bodies.
    This rule does not use technical standards. Therefore, we did not 
consider the use of voluntary consensus standards.

M. Environment

    We have analyzed this rule under Department of Homeland Security 
Management Directive 023-01, Rev. 1, associated implementing 
instructions, and Environmental Planning COMDTINST 5090.1 (series), 
which guide the Coast Guard in complying with the National 
Environmental Policy Act of 1969 (42 U.S.C. 4321-4370f), and have 
determined that this action is one of a category of actions that do not 
individually or cumulatively have a significant effect on the human 
environment. A Record of Environmental Consideration supporting this 
determination is available in the docket. For instructions on locating 
the docket, see the ADDRESSES section of this preamble.
    This rule is categorically excluded under paragraphs L56 and L54 of 
Appendix A, Table 1 of DHS Instruction Manual 023-01-001-01, Rev 1. 
Paragraph L56 pertains to regulations concerning the training, 
qualifying, licensing, and disciplining of maritime personnel. 
Paragraph L54 pertains to regulations which are editorial or 
procedural. This rule involves amending the maximum period of validity 
of merchant mariner medical certificates from 2 years to 5 years for 
FCPs, and masters or mates serving as pilot on vessels of 1,600 GRT or 
more. Additionally, the rule includes an extension of the annual 
physical examination submission requirement from every other year to 
every 5 years, as long as circumstances do not require more frequent 
submissions of annual physical examination results to ensure maritime 
and public safety.

List of Subjects

46 CFR Part 10

    Penalties, Personally identifiable information, Reporting and 
recordkeeping requirements, Seamen.

46 CFR Part 11

    Penalties, Reporting and recordkeeping requirements, Schools, 
Seamen.

46 CFR Part 15

    Reporting and recordkeeping requirements, Seamen, Vessels.

    For the reasons discussed in the preamble, the Coast Guard amends 
46 CFR parts 10, 11, and 15 as follows:

PART 10--MERCHANT MARINER CREDENTIAL

0
1. The authority citation for part 10 is revised to read as follows:

    Authority: 14 U.S.C. 503; 31 U.S.C. 9701; 46 U.S.C. 2101, 2103, 
2110; 46 U.S.C. chapter 71; 46 U.S.C. chapter 73; 46 U.S.C. chapter 
75; 46 U.S.C. 2104; 46 U.S.C. 7701, 8903, 8904, and 70105; E.O. 
10173; DHS Delegation No. 00170.1, Revision No. 01.2.

Sec.  10.301   [Amended]

0
2. Amend Sec.  10.301 by:
0
a. Removing paragraph (b)(2) and redesignating paragraph (b)(3) as 
(b)(2);
0
b. Redesignating paragraph (c) as paragraph (d);
0
c. Redesignating paragraph (b)(4) as paragraph (c).

PART 11--REQUIREMENTS FOR OFFICER ENDORSEMENTS

0
3. The authority citation for part 11 is revised to read as follows:

    Authority: 14 U.S.C. 503; 31 U.S.C. 9701; 46 U.S.C. 2101, 2103, 
and 2110; 46 U.S.C. chapter 71; 46 U.S.C. 7502, 7505, 7701, 8906, 
and 70105; E.O. 10173; DHS Delegation No. 00170.1, Revision No. 
01.2. Section 11.107 is also issued under the authority of 44 U.S.C. 
3507.

0
4. Amend Sec.  11.709 by:
0
a. Revising paragraph (b);
0
b. Removing paragraph (c);
0
c. Redesignating paragraph (d) as paragraph (c); and
0
d. Adding a new paragraph (d).
    The revisions and additions read as follows:

Sec.  11.709   Annual physical examination requirements.

* * * * *
    (b) Every person holding an MMC endorsement as first-class pilot, 
or a master or mate serving as a pilot under Sec.  15.812 of this 
subchapter, must have a thorough physical examination each year. This 
annual physical examination must be completed by the first day of the 
month following the anniversary of the individual's most recently 
completed Coast Guard-required physical examination. Each annual 
physical examination must meet the requirements specified in 46 CFR, 
part 10, subpart C, and be recorded on the form CG-719K.
    (1) Every five years, in accordance with the medical certificate 
requirements in Sec. Sec.  10.301(b), 10.302(a), and 10.304(d) of this 
chapter, the results of the most recent physical examination must be 
submitted to the Coast Guard.
    (2) The results of the physical examination must also be submitted 
to the Coast Guard no later than 30 calendar days after completion of 
the physical examination in any of the following circumstances:
    (i) The examining medical practitioner documents that the 
individual does not meet the physical

[[Page 66591]]

ability requirements as set forth in Sec.  10.304(c) of this 
subchapter;
    (ii) The examining medical practitioner documents that the 
individual has a condition that does not meet the general medical exam 
requirements described in Sec.  10.304(a), the vision requirements 
described in Sec.  10.305, or the hearing requirements described in 
Sec.  10.306 of this subchapter;
    (iii) The examining medical practitioner documents on a CG-719K 
that the individual is not recommended for a medical certificate or 
needs further review by the Coast Guard as set forth in Sec.  10.301(a) 
of this subchapter; or
    (iv) If the Coast Guard requests the results of an examination, 
they must be submitted no later than 30 calendar days after the date of 
the request.
* * * * *
    (d) A master or mate may not serve as a pilot on a vessel 1,600 GRT 
or more under Sec.  15.812 of this subchapter if the person does not 
meet the physical examination requirements provided in paragraph (b) of 
this section.

PART 15--MANNING REQUIREMENTS

0
5. The authority citation for part 15 is revised to read as follows:

    Authority: 46 U.S.C. 2101, 2103, 3306, 3703, 8101, 8102, 8103, 
8104, 8105, 8301, 8304, 8502, 8503, 8701, 8702, 8901, 8902, 8903, 
8904, 8905(b), 8906 and 9102; and DHS Delegation No. 00170.1, 
Revision No. 01.2.

Sec.  15.401   [Amended]

0
6. Amend Sec.  15.401 by:
0
a. In paragraph (a), remove in the first sentence the words, ``license, 
certificate of registry, Merchant Mariner's Document (MMD),'' and 
remove from the second sentence the words, ``license, certificate of 
registry, MMD, or'';
0
b. In paragraph (c)(1), remove the words, ``After January 1, 2017, 
two'' and add, in its place the word, ``Two'';
0
c. Remove paragraph (c)(2) and redesignate paragraph (c)(3) as 
paragraph (c)(2); and
0
d. In paragraphs (d) and (e), remove wherever they appear the words, 
``MMD or''.

0
7. In Sec.  15.812, amend Table 1 to Sec.  15.812(e)(1), by revising 
the second row to read as follows:

Sec.  15.812   Pilots.

* * * * *

Table 1 to Sec.   15.812(e)(1)--Quick Reference Table for Federal Pilotage Requirements for U.S.-Inspected, Self-
                                   Propelled Vessels, Not Sailing on Register
----------------------------------------------------------------------------------------------------------------
                                           Designated areas of pilotage waters        Non-designated areas of
                                          (routes for which First-Class Pilot's     pilotage waters (between the
                                        licenses or MMC officer endorsements are    3-mile line and the start of
                                                         issued)                    traditional pilotage routes)
----------------------------------------------------------------------------------------------------------------
 
                                                  * * * * * * *
Inspected self-propelled vessels not   First-Class Pilot, or Master or Mate may    Master or Mate may serve as
 more than 1,600 GRT, authorized by     serve as pilot if he or she--               pilot if he or she--
 their COI to proceed beyond the       1. Is at least 21 years old;                1. Is at least 21 years old;
 Boundary Line, or operating on the    2. Maintains current knowledge of the        and
 Great Lakes.                           waters to be navigated; and\1\             2. Maintains current
                                       3. Has four roundtrips over the route.\2\    knowledge of the waters to
                                                                                    be navigated.\1\
 
                                                  * * * * * * *
----------------------------------------------------------------------------------------------------------------
\1\ One roundtrip within the past 60 months.
\2\ If the route is to be traversed during darkness, one of the four roundtrips must be made during darkness.

* * * * *

    Dated: October 21, 2022.
W.R. Arguin,
Rear Admiral, U.S. Coast Guard, Assistant Commandant for Prevention 
Policy.
[FR Doc. 2022-23339 Filed 11-3-22; 8:45 am]
BILLING CODE 9110-04-P