[Federal Register Volume 59, Number 186 (Tuesday, September 27, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-23655]
[[Page Unknown]]
[Federal Register: September 27, 1994]
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Part II
Department of Transportation
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Coast Guard
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46 CFR Parts 10 and 12
Five-Year Term of Validity for Certificates of Registry and Merchant
Mariner's Documents; Final Rule
DEPARTMENT OF TRANSPORTATION
Coast Guard
46 CFR Parts 10 and 12
[CGD 91-211]
RIN 2115-AD92
Five-Year Term of Validity for Certificates of Registry and
Merchant Mariner's Documents
AGENCY: Coast Guard, DOT.
ACTION: Final rule.
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SUMMARY: This rulemaking establishes Coast Guard regulations which
implement the provisions of the Oil Pollution Act of 1990 (OPA 90) that
require certificates of registry (CORs) and merchant mariner's
documents (MMDs) to be renewed every 5 years. A 5-year renewal period
allows the Coast Guard to ensure that vessel personnel continue to be
qualified to safely serve aboard a vessel. This rulemaking includes
requirements for renewing CORs and MMDs, a schedule for renewing
existing CORs and MMDs, and the associated user fees.
EFFECTIVE DATE: This rule is effective October 27, 1994, except for 46
CFR 10.811 and 46 CFR 12.02-29 which are effective January 1, 1995.
ADDRESSES: Unless otherwise indicated, documents referenced in this
preamble are available for inspection or copying at the office of the
Executive Secretary, Marine Safety Council (G-LRA/3406), U.S. Coast
Guard Headquarters, 2100 Second Street SW., room 3406, Washington, DC
20593-0001 between 8 a.m. and 3 p.m., Monday through Friday, except
Federal holidays. The telephone number is (202) 267-1477.
FOR FURTHER INFORMATION CONTACT: Mrs. Justine Bunnell, Merchant Vessel
Personnel Division (G-MVP-1), Office of Marine Safety, Security, and
Environmental Protection, (202) 267-0238.
SUPPLEMENTARY INFORMATION:
Drafting Information
The principal persons involved in drafting this document are Mr.
James W. Cratty, Project Manager, and Ms. Jacqueline L. Sullivan,
Project Counsel, OPA 90 Staff.
Regulatory History
On September 16, 1993, the Coast Guard published a notice of
proposed rulemaking (NPRM) entitled Five-Year Term of Validity for
Certificates of Registry and Merchant Mariner's Documents in the
Federal Register (58 FR 48572). The 60-day comment period closed on
November 15, 1993. The NPRM discussed the background and statutory
requirements of section 4102 (b) and (c) of OPA 90 which amended 46
U.S.C. 7107 and 7302. It also discussed the requirements of the Omnibus
Budget Reconciliation Act of 1990 which amended 46 U.S.C. 2110. The
Coast Guard received 13 letters commenting on the proposal from
mariners, unions, and marine industry representatives. A public hearing
was not requested, and one was not held.
After careful review of these comments and the NPRM, the Coast
Guard has finalized the requirements for renewal of Certificates of
Registry and Merchant Mariner's Documents. The Coast Guard finds that
the regulations provide the maximum flexibility practicable in
establishing requirements for a 5-year term of validity for CORs and
MMDs.
Background and Purpose
The Coast Guard issues certificates of registry (CORs) under the
authority of 46 U.S.C. chapters 71 and 75. CORs are issued to provide
registry of staff officers for service in positions such as purser,
medical doctor, and professional nurse. The Coast Guard issues merchant
mariner's documents (MMDs) under the authority of 46 U.S.C. chapters 73
and 75. MMDs authorize individuals to work in different capacities on
deck, and in the engine and steward's departments, on seagoing vessels
over 100 gross tons. MMDs, with an appropriate endorsement, also
identify qualified tankermen.
Section 4102(b) of the Oil Pollution Act of 1990 (OPA 90) (Pub. L.
101-380) amended 46 U.S.C. 7107 by limiting the term of a COR to 5
years. Section 4102(c) of OPA 90 amended 46 U.S.C. 7302 by establishing
the same limited term for MMDs. The Conference Report on OPA 90 (H.R.
Conf. Rep. No. 101-653) explains that a 5-year renewal period will
allow the Coast Guard to ensure that vessel personnel continue to be
qualified to operate a vessel safely.
Section 4102(d) of OPA 90 limits the term of validity of all
existing CORs and MMDs and provides for staggered expirations over a 5-
year span. The statutory language provides that CORs and MMDs issued
before August 18, 1990 expire on the day they would have expired if
they had been issued for a term of 5 years and been renewed at the end
of each succeeding 5-year period. This avoids the problems that would
have been encountered if all CORs and MMDs expired at the same time. If
this language is interpreted so that the 5-year period began on August
18, 1990, the date OPA 90 was enacted, documents would have expired at
a time when no review and renewal procedures were in place. Mariners
with such an expired document could not continue working, placing a
tremendous burden on both individual mariners and the maritime
industry. The Coast Guard interprets the statutory language to include
an additional 5-year renewal cycle to avoid such a harsh result. The
Coast Guard has modified the tables in 46 CFR 10.811 and 12.02-29 to
commence the mandatory 5-year renewal period beginning on January 1,
1995. This will allow merchant mariners sufficient time to comply with
the regulation's requirements.
Pending the development of these proposed procedures for renewal of
CORs and MMDs, the Coast Guard has been issuing CORs and MMDs that are
valid for a period of 5 years since March 1991.
The Omnibus Budget Reconciliation Act of 1990 amended 46 U.S.C.
2110 to require the Coast Guard to establish and collect user fees for
services it provides under subtitle II of 46 U.S.C., including the
issuance and renewal of CORs and MMDs.
Sections 4101 (a) and (b) of OPA 90 amend 46 U.S.C. 7101 and 7302,
respectively, to require every person who applies for the issuance or
renewal of a license, COR, or MMD to have a chemical test for dangerous
drugs. On March 4, 1994, the Coast Guard published an NPRM in the
Federal Register entitled ``Chemical Testing for Dangerous Drugs of
Applicants for Issuance or Renewal of Licenses, Certificates of
Registry, or Merchant Mariner's Documents'' (59 FR 10544) (CGD 91-223).
The Coast Guard originally intended to merge the chemical testing
requirements and the regulations for terms of validity into one final
rule. However, the Coast Guard has decided to publish these rules
separately in order to facilitate public participation.
As required by OPA 90, the Coast Guard is also developing a
rulemaking which addresses how review of information in the National
Driver Register and a criminal record review will become part of the
license, COR, and MMD renewal process (CGD 91-212).
Discussion of Comments and Changes
Thirteen letters were received in response to the NPRM. The Coast
Guard has reviewed all of the comments and, in some instances, revised
the proposed regulations as appropriate. The comments have been grouped
by issue, and are discussed as follows.
1. User Fees
Several comments objected to the proposed Coast Guard user fees for
renewals of MMDs and CORs. As stated in the NPRM, the Omnibus Budget
Reconciliation Act of 1990 amended 46 U.S.C. 2110 to require the Coast
Guard to establish and collect user fees for services it provides under
46 U.S.C., subtitle II. The Coast Guard has no discretion in the
decision to establish fees for these services. The fee amounts for
issuance of CORs and MMDs and for issuance and renewal of licenses were
set by a final rule entitled ``User Fees for Marine Licensing,
Certification of Registry and Merchant Mariner Documentation'' (58 FR
15228; March 19, 1993) (CGD 91-002). These rules became effective April
19, 1993. At that time, CORs and MMDs were not being renewed so that
rule did not establish fee amounts for COR and MMD renewals. Therefore,
fee amounts for COR and MMD renewals are set in this final rule.
The regulatory evaluation in this final rule discusses the fee
amounts. For a summary of how the fee amounts were set, see the
``Regulatory Evaluation'' section of this rule.
2. Concurrent Renewals
One comment suggested a reduced fee for mariners who renew more
than one merchant mariner credential at the same time. This approach
was outlined in the NPRM and remains unchanged in the final rule. The
Coast Guard encourages concurrent renewal of merchant mariner
credentials whenever possible. However, all renewal requirements for
each license, COR, or MMD must be met.
Renewal Evaluation Fees. When CORs or MMDs are renewed in
conjunction with the renewal of a license, the Coast Guard will charge
only the license renewal evaluation fee, since the evaluation for a
license encompasses all factors considered in evaluating applicants for
MMDs. When CORs or MMDs are renewed in conjunction with one another,
but not in conjunction with a license, the Coast Guard will charge only
the MMD renewal evaluation fee, if applicable, since there is no COR
renewal evaluation fee.
Renewal Exercise Fees. When an MMD is renewed concurrently with a
license and the applicant must take an open-book exercise for each
renewal, the applicant need only pay the license exercise fee. If a
license and MMD are renewed concurrently and the only open-book
exercise is for an MMD, then the applicant will pay the MMD exercise
fee.
Renewal Issuance Fees. It should be noted that a separate issuance
fee will always be charged for each license, COR or MMD issued,
regardless of whether the credential(s) are issued concurrently or
individually.
3. Physical Requirements
The Merchant Marine Personnel Advisory Committee recommended to the
Coast Guard that individuals holding MMDs with qualified ratings be
required to undergo physical examinations when renewing MMDs. The Coast
Guard has included such a requirement in this rulemaking.
Two comments addressed the physical requirements for renewal of
MMDs with endorsements. The comments stated that the physical standards
for renewal of MMDs with endorsements should not be the same as the
physical standards for the original issuance of MMDs with endorsements.
In response to these comments, the Coast Guard revised the physical
examination section for MMD renewal, making it consistent with the
physical examination section for license renewal. The physical
examination for renewal of a license does not require the applicant to
be tested for color sensitivity; however, the physical examination for
original issuance of a license does require a color sensitivity test.
This is the only difference in physical requirements between original
issuance and renewal of licenses. The Coast Guard has revised the
physical examination section for renewal of MMDs with endorsements to
no longer require a color sensitivity test.
It should be noted that while the examination requirements are
slightly different, the medical standards the Coast Guard applies to
determine if a mariner is qualified for a license or document are the
same regardless of whether the license or document is an original or a
renewal. The Coast Guard believes that these standards are the minimum
necessary to ensure safe service under a license or document and are
therefore appropriate for both originals and renewals.
4. Professional Requirements
One comment suggested that individuals holding MMDs with qualified
ratings, who serve as officials for unions in positions closely related
to the training and servicing of active seamen should be required to
show only 1 year of employment to meet the professional requirements
for renewing an MMD. The professional requirements are intended to
ensure that mariners maintain their professional knowledge and keep
abreast of current technology. The NPRM proposed 3 years of employment
in a position closely related to the operation, construction, or repair
of vessels (either deck or engineer, as appropriate) as a substitute
for 1 year of sea service. The Coast Guard believes that 1 year in a
position of closely related maritime service, including training and
servicing of active seamen, does not provide experience equivalent to 1
year of actual sea service. Therefore, the final rule retains the 3
year time requirement for all forms of closely related service.
One comment expressed concern about using an open-book
``examination'' as a substitute for sea service when renewing an MMD
with an endorsement. The open-book renewal exercise will provide a
means for those individuals who are not actively sailing or involved in
the industry to maintain a working familiarity with the skills
necessary to work in the industry. The renewal exercise contains
general subject matter pertaining to the various endorsement(s) of the
MMD and requires a 90 percent passing grade. The Coast Guard has
concluded that this is an acceptable means of ensuring that endorsement
holders continue to maintain their professional knowledge.
5. Continuity Endorsement
In response to several comments, the Coast Guard has included in
the final rule a provision to renew MMDs ``For Continuity Purposes
Only.'' This provision follows the same procedures as the renewal
policy for license holders. Individuals renewing MMDs with qualified
ratings who cannot meet the professional or physical requirements will
have the endorsement ``Continuity only; service under document
prohibited'' placed on the MMD. Holders with this continuity
endorsement may have the service prohibition rescinded at any time by
satisfying the renewal requirements not previously met and paying the
appropriate renewal fees.
6. Other Comments
Another comment addressed the renewal of Continuous Discharge Books
(CDB) which the Coast Guard issues to merchant mariners for a
chronological record of seagoing employment. Regulations listed in 46
CFR 12.02 cover issuing additional CDBs. Because OPA 90 does not
address CDBs and because CDBs alone do not allow employment on a
merchant ship, no change to the regulations is required.
Another comment stated that the NPRM did not address the grace
period provision for MMD expiration dates determined by Table 12.02-29.
The grace period explained under Sec. 12.02-27(e) applies to all MMD
expiration dates including MMD expiration dates specified in Table
12.02-29. For example, an MMD issued on January 1, 1966, would expire
on January 1, 1996 under Table 12.02-29. The holder of that MMD will
have a 12 month period of grace, running until January 1, 1997, in
which he or she may renew the document.
One comment pointed out that the description of the procedures for
renewal of MMDs by mail was not detailed enough. The Coast Guard has
provided additional detail in Sec. 12.02-27(e)(3) of the regulations.
Additional Changes
To correct minor errors and to reflect renewal requirements for
certificates of registry, the Coast Guard is updating the table in 46
CFR 10.203. Additionally, numerous non-substantive editorial changes
have been made to the final rule in order to improve its clarity, and
to ensure that the public understands the requirements set forth.
Regulatory Evaluation
This final rule is not a significant regulatory action under
section 3(f) of Executive Order 12866 and does not require an
assessment of potential costs and benefits under section 6(a)(3) of
that order. It has not been reviewed by the Office of Management and
Budget under that order. It is not significant under the regulatory
policies and procedures of the Department of Transportation (DOT) (44
FR 11040; February 26, 1979).
A final Regulatory Evaluation under paragraph 10e of the regulatory
policies and procedures of DOT has been prepared and is available in
the docket for inspection or copying where indicated under ADDRESSES.
The Evaluation is summarized as follows.
1. Government/Coast Guard cost. Government and Coast Guard costs
attributable to implementing renewal requirements for merchant mariner
credentials will be primarily incurred by the 17 Coast Guard Regional
Examination Centers (RECs). Cost incurring activities will consist of
evaluating renewal applications, administering examinations, and
issuing renewed CORs and MMDs. Projections of costs and impacts for
renewal of CORs and MMDs are based upon a calculation of the current
merchant marine licensing and documentation program costs. Data used in
this calculation included: information from a workload analysis study;
hourly standard rates provided in the Coast Guard Standard Rate
Instruction (COMDTINST 7310); and the Coast Guard Staffing Standards
Manual (COMDTINST M5312.11A).
The Coast Guard calculates the projected personnel and associated
infrastructure costs for COR and MMD renewal activities to be
approximately $1.23 million annually, which will be offset by
approximately $1.16 million annually in user fees. User fee receipts
will be deposited in the general fund of the U.S. Treasury as
offsetting receipts of the Department of Transportation and ascribed to
Coast Guard activities.
2. Costs to the public. The Coast Guard estimates a total pool of
1,500 active staff officers and 88,500 active MMD holders who may seek
renewal of CORs or MMDs respectively. One-fifth of the total pool is
expected to renew each year, resulting in 300 COR and 17,700 MMD
renewals annually. Because the renewal process occurs once every 5
years, total costs can be divided by 5 to determine an annualized cost.
Costs incurred by merchant mariners seeking renewal of CORs or MMDs
will consist of user fees, photographs for MMDs, physical examinations,
and time spent in the renewal process itself. This aggregate cost
represents the highest average amount a mariner may expect to pay.
However, variations in fees and renewal requirements will result in
significantly lower costs for many mariners. The cost estimates are as
follows:
------------------------------------------------------------------------
Total cost Annualized
------------------------------------------------------------------------
Individual Mariner........................ = $278.84 $55.77
Whole Pool Impact......................... = 25,095,600 5,019,120
------------------------------------------------------------------------
3. Benefits. Direct and societal benefits resulting from periodic
renewal of CORs and MMDs may be substantial. The renewal process will
eventually include three additional regulatory initiatives to implement
OPA 90, and to ensure continuing qualification of merchant mariners.
These initiatives are: (1) criminal record reviews, (2) national driver
register checks, and (3) chemical drug testing.
Licensed, certificated, or documented merchant mariners play
crucial and responsible roles in the safe operation of vessels, and
they have important responsibilities during vessel emergencies. It is
imperative that merchant mariners know that they are going to sea with
a competent crew and that other vessels are operated by equally
competent mariners. This rule will protect employees, employers, the
marine environment, and the general public. Some of the direct benefits
will include the following:
a. Employment protections and preferences, identification, proof of
citizenship, proof of physical and other competency qualifications.
Merchant mariners get employment benefits and know that shipmates to
whom they entrust their lives at sea are qualified; and
b. Potentially fewer personal injuries.
In addition, society may benefit indirectly through potentially
fewer groundings, accidents, losses of property, and releases of oil
and hazardous materials into the marine environment. There is
insufficient historical data to quantify the benefits of the
regulations. However, should this program manage to save even two lives
per year at $2.6 million per statistical life saved (which recent
research shows is a reasonable estimate of people's willingness-to-pay
for safety), its benefits would exceed its cost. If maritime accidents
were reduced even by a small percentage, savings would accrue to the
maritime industry through lower repair and medical costs and to the
public through environmental protection.
Small Entities
Under the Regulatory Flexibility Act (5 U.S.C. 601 et seq.), the
Coast Guard must consider whether this proposal, if adopted, will have
a significant economic impact on a substantial number of small
entities. ``Small entities'' may include (1) small businesses and not-
for-profit organizations that are independently owned and operated and
are not dominant in their fields and (2) governmental jurisdictions
with populations of less than 50,000.
Individual applicants are responsible for payment of issuance and
renewal fees of CORs and MMDs to the Coast Guard. However, some firms
in the maritime industry now voluntarily pay their employees' fees for
obtaining CORs and MMDs. Some firms may choose to pay part or all of
their employees' additional fees which will result from this
rulemaking. However, the regulations do not require firms to pay for
document issuance or document renewal fees for any applicant in whom
the final rule vests responsibility. Consequently, small entities--for
example, the 355 inland barge operators with fleets of 10 or fewer
barges--are not, and will not be required to incur costs for applicant
renewals of CORs and MMDs. Because it expects the impact of this
proposal to be minimal, the Coast Guard certifies under 5 U.S.C. 605(b)
that this proposal, if adopted, will not have a significant economic
impact on a substantial number of small entities.
Collection of Information
This rule contains collection-of-information requirements. The
Coast Guard has submitted the requirements to the Office of Management
and Budget (OMB) for review under section 3504(h) of the Paperwork
Reduction Act (44 U.S.C. 3501 et seq.), and OMB has approved them. The
section numbers are 10.209 and 12.02-27 and the corresponding OMB
Control Number is 2115-0514.
Federalism
The Coast Guard has analyzed these regulations under the principles
and criteria contained in Executive Order 12612 and has determined that
the regulations do not have sufficient federalism implications to
warrant the preparation of a Federalism Assessment.
Environment
The Coast Guard considered the environmental impact of these
regulations and concluded that, under section 2.B.2 of Commandant
Instruction M16475.1B, the regulations are categorically excluded from
further environmental documentation. Section 2.B.2.1 of that
instruction excludes administrative actions and procedural regulations
and policies which clearly do not have any environmental impact. A
Categorical Exclusion Determination is available in the docket for
inspection or copying where indicated under ADDRESSES.
List of Subjects
46 CFR Part 10
Fees, Reporting and recordkeeping requirements, Schools, Seamen.
46 CFR Part 12
Fees, Reporting and recordkeeping requirements, Seamen.
For the reasons set out in the preamble, the Coast Guard amends 46
CFR parts 10 and 12 as follows:
PART 10--LICENSING OF MARITIME PERSONNEL
1. The authority citation for part 10 is revised to read as
follows:
Authority: 31 U.S.C. 9701; 46 U.S.C. 2103, 7101, 7106, 7107; 49
CFR 1.45, 1.46; Section 10.107 also issued under the authority of 44
U.S.C. 3507.
2. Section 10.109 is amended by adding paragraph (d)(3) to read as
follows:
Sec. 10.109 Fees.
* * * * *
(d) * * *
(3) For renewal of a Certificate of Registry:
(i) For evaluation for renewal of a certificate of registry, no
fee.
(ii) For issuance of a renewed certificate of registry, $35.
* * * * *
3. Section 10.202 is amended by revising the section heading and
paragraphs (a), (b), and (c) to read as follows:
Sec. 10.202 Issuance of licenses and certificates of registry.
(a) Applications for original licenses, original certificates of
registry, raises of grade, extensions of route, or endorsements must be
current and up-to-date with respect to service and the physical
examination, as appropriate. Physical examinations and approved
applications are valid for 12 months.
(b) Any person who is found qualified under the requirements set
forth in this part is issued an appropriate license or certificate of
registry valid for a term of 5 years from date of issuance. Any license
or certificate of registry which is renewed or upgraded prior to its
expiration date automatically becomes void upon issuance of the
replacement license or certificate of registry.
(c) A license or certificate of registry is not valid until signed
by the applicant and the OCMI (or the OCMI's designated
representative).
* * * * *
4. Section 10.203 is revised to read as follows:
Sec. 10.203 Quick reference table for license and certificate of
registry requirements.
Table 10.203 provides a guide to the requirements for various
licenses and certificates of registry. Provisions in the reference
section are controlling.
Table 10.203
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Recommendations
License category Minimum age Citizenship Physical required Experience and character Firefighting Professional exam Recency of First aid and CPR
requirement requirements check certificate requirements Service requirements
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Masters/mates and 21; 10.201(f); Yes, 10.201(e); Yes, 10.205(d); Yes, 10.205(e); Yes, 10.205(f)... Yes, 10.205(g); Yes, 10.205(i), Yes, 3 months Yes, in
operators or Note: exceptions. Note: exception. Note: (d)(2). subpart D. Note: exceptions. 10.910; Note: past 36 months, 10.205(h).
uninspected 10.903(b). 10.202(e).
passenger vessels
(original license).
Engineers (original 21;10.201(f); Yes............... Yes, 10.205(d); 10.205(e); Yes, 10.205(f);.. Yes, 10.205(g)... Yes, 10.205(i) Yes, 3 months in Yes, 10.205(h).
license). Note: exceptions. Note: (d)(3). subpart E. 10.950. past 36 months,
10.202(e).
All raises of grade 21; 10.201(f); Yes............... 10.207(e); Note: 10.207(c); N/A.............. Yes, Note: 10.207(d). Yes, 3 months in N/A.
Note: exceptions. (e)(1). subparts D & E. 10.207(f). 10.910. 10.920. past 36 months
10.950. 10.202(e).
License renewals... N/A............... Yes............... 10.209(d)........ 10.209(c)........ N/A.............. N/A.............. 10.209(c)........ 10.209(c)........ N/A.
COR renewals....... N/A............... Yes............... No............... 10.209(c)(5)..... N/A.............. N/A.............. N/A.............. N/A.............. N/A.
Pilot.............. 21................ Yes............... Yes, 10.709...... 10.703, Yes, 10.205(f)... N/A.............. 10.707, 10.910... Yes, 10.703, Yes, 10.205(h).
10.706(a), 10.705(e),
10.715. 10.713.
Uninspected fishing 21; 10.201(f); Yes............... Yes, 10.205(d); Deck: 10.462, Yes, 10.205(f)... Yes, 10.205(g)... Yes, 10.205(i). Yes, 3 months in Yes, 10.205(h).
industry vessels. Note: exceptions. Note: (d)(2) or Eng: 10530, 10.910. past 36 months
(d)(3). 10.205(f). 10.950(oral). 10.202(e).
Uninspected towing Operator:21; 2/c Yes............... Yes, 10.205(d); 10.464........... Yes, 10.205(f)... Yes, 10.205(g) Yes, 10.205(i). Yes, 3 months in Yes, 10.205(h).
vessels. operator: 19. Note: (d)(2). oceans. 10.910. past 36 months,
10.202(e).
Radio officer...... 19................ Yes............... Yes, 10.205(d); 10.603........... Yes, 10.205(f)... N/A.............. N/A.............. N/A.............. Yes, 10.205(h).
Note: (d)(3).
Staff officer...... 21................ Yes............... No............... 10.807........... Yes, 10.205(f)... N/A.............. N/A.............. N/A.............. N/A.
Offshore 21; 10201(f); Yes............... Yes, 10.205(d); Deck: 10.468, Yes, 10.205(f)... Yes, 10.205(g)... Yes, 10.205(i). Yes, 3 months in Yes, 10.205(h).
installation Note: exceptions. Note: (d)(3). Eng: 10.540. 10.920. past 36 months,
manager, barge 10.202(e).
supervisor,
ballast control
operator.
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5. Section 10.209 is revised to read as follows:
Sec. 10.209 Requirements for renewal of licenses and certificates of
registry.
(a) General. Except as provided in paragraph (g) of this section,
an applicant for renewal of a license or certificate of registry shall
establish possession of all of the necessary qualifications before the
license or certificate of registry is issued.
(1) Each application must be on a Coast Guard furnished form and be
accompanied by the evaluation fee set out in Sec. 10.109. An approved
application is valid for 12 months.
(2) The applicant may apply in person at any Regional Examination
Center listed in Sec. 10.105 or may renew the license or certificate of
registry by mail under paragraph (e)(3) of this section.
(3) The applicant shall submit the original or a photocopy of the
license or certificate of registry to be renewed. A photocopy will
include the back and all attachments. If requested, the old license or
certificate of registry will be returned to the applicant.
(b) Fitness. No license or certificate of registry will be renewed
if it has been suspended without probation or revoked as a result of
action under part 5 of this chapter, or facts that would render a
renewal improper have come to the attention of the Coast Guard.
(c) Professional requirements. (1) In order to renew a license as
master, mate, engineer, pilot, or operator, the applicant shall:
(i) Present evidence of at least 1 year of sea service during the
past 5 years;
(ii) Pass a comprehensive, open-book exercise covering the general
subject matter contained in appropriate sections of subpart I of this
part;
(iii) Complete an approved refresher training course; or
(iv) Present evidence of employment in a position closely related
to the operation, construction or repair of vessels (either deck or
engineer as appropriate) for at least 3 years during the past 5 years.
An applicant for a deck license with this type of employment must also
demonstrate knowledge on an applicable Rules of the Road exercise.
(2) The qualification requirements for renewal of radar observer
endorsement are in Sec. 10.480.
(3) Additional qualification requirements for renewal of a license
as pilot are contained in Sec. 10.713.
(4) An applicant for renewal of a radio officer's license shall, in
addition to meeting the requirements of paragraphs (a) and (b) of this
section, present a currently valid license as first- or second-class
radiotelegraph operator issued by the Federal Communications
Commission. This license will be returned to the applicant.
(5) An applicant for renewal of a medical doctor or professional
nurse certificate of registry shall, in addition to meeting the
requirements of paragraphs (a) and (b) of this section, present
evidence that he or she holds a currently valid appropriate license as
physician, surgeon, or registered nurse issued under the authority of a
state or territory of the United States, the Commonwealth of Puerto
Rico, or the District of Columbia.
(d) Physical requirements. (1) An applicant for renewal of a
license shall submit a certification by a licensed physician or
physician assistant that he or she is in good health and has no
physical impairment or medical condition which would render him or her
incompetent to perform the ordinary duties of that license. This
certification must address visual acuity and hearing in addition to
general physical condition and must have been completed within 12
months of the date of application.
(2) If the OCMI has reason to believe that an applicant for renewal
of a license suffers from some physical impairment or medical condition
which would render the applicant incompetent to perform the ordinary
duties of that license, the applicant may be required to submit the
results of an examination by a licensed physician or physician
assistant that meets the requirements for original license.
(3) An applicant who has lost the sight of one eye may obtain a
renewal of license, provided that the applicant is qualified in all
other respects and that the visual acuity in the one remaining eye
passes the test required under Sec. 10.205(d).
(4) Physical examinations are not required for renewal of
certificates of registry.
(e) Special circumstances--(1) Period of grace. Except as provided
herein, a license may not be renewed more than 12 months after it has
expired. To obtain a reissuance of the license, an applicant must
comply with the requirements of paragraph (f) of this section. When an
applicant's license expires during a time of service with the Armed
Forces and there is no reasonable opportunity for renewal, including by
mail, this period may be extended. The period of military service
following the date of license expiration which precluded renewal may be
added to the 12 month period of grace. The 12 month period of grace,
and any extension, do not affect the expiration date of the license. A
license is not valid for use after the expiration date.
(2) Renewal in advance. A license or certificate of registry may
not be renewed more than 12 months before expiration unless it is being
renewed in conjunction with a merchant mariner's document which is
either due for renewal or being endorsed, or unless the OCMI is
satisfied that special circumstances exist to justify renewal.
(3) Renewal by mail. (i) Applications for renewal by mail of
licenses or certificates of registry may be sent to the Coast Guard
office that issued the license or certificate of registry or holds the
applicant's file. The following documents must be submitted:
(A) A properly completed application on a Coast Guard furnished
form and the evaluation fee required by Sec. 10.109.
(B) The expired license or certificate of registry to be renewed;
or, if it has not expired, a photocopy of the license or certificate,
including the back and all attachments.
(C) A certification from a licensed physician or physician
assistant in accordance with paragraph (d) of this section for the
renewal of a license.
(D) If the applicant desires to renew a license with a radar
observer endorsement, either the radar observer certificate or a
certified copy.
(E) Evidence of, or acceptable substitute for, sea service for the
renewal of a license.
(F) For a certificate of registry as a medical doctor or
professional nurse, evidence that he or she holds a currently valid,
appropriate license as physician, surgeon, or registered nurse, issued
under the authority of a state or territory of the United States, the
Commonwealth of Puerto Rico, or the District of Columbia.
(ii) The open-book exercise, if required, may be administered
through the mail.
(iii) Upon receipt of the renewed license or certificate of
registry, the applicant shall sign it in order to validate the license
or certificate.
(4) Concurrent renewal of licenses, certificates of registry, and
merchant mariner's documents. An applicant for concurrent renewal of
more than one merchant mariner credential shall satisfy the individual
renewal requirements and pay the applicable fees required by
Secs. 10.109 and 12.02-18 of this chapter for each license, certificate
of registry, or merchant mariner's document being renewed.
(f) Reissuance of expired license or certificate of registry. (1)
Whenever an applicant applies for reissuance of a license more than 12
months after expiration, in lieu of the requirements of paragraph (c)
of this section, the applicant shall demonstrate continued professional
knowledge by completing a course approved for this purpose, or by
passing the complete examination for that license. The examination may
be oral-assisted if the expired license was awarded on an oral exam.
The fees listed in Sec. 10.109 apply to these examinations. In the case
of an expired radio officer's license, the license may be issued upon
presentation of a valid first- or second-class radiotelegraph operator
license issued by the Federal Communications Commission.
(2) A certificate of registry that has been expired for more than
12 months shall be renewed in the same way as a current certificate of
registry. There are no additional requirements for reissuing
certificates of registry that have been expired for more than 12
months.
(g) Inactive license renewal. (1) Applicants for renewal of
licenses who are unwilling or otherwise unable to meet the requirements
of paragraphs (c) or (d) of this section may renew their licenses, with
the following restrictive endorsement placed on the back of the
license: ``License renewed for continuity purposes only; service under
the authority of this license is prohibited.'' Holders of licenses with
this continuity endorsement may have the prohibition rescinded at any
time by satisfying the renewal requirements in paragraphs (c) and (d)
of this section.
(2) Applications for renewal of a license with the continuity
endorsement must include:
(i) The license to be renewed, or, if it is unexpired, a photocopy
of the license including the back and all attachments; and,
(ii) A signed statement from the applicant attesting to an
awareness of the restriction to be placed on the renewed license, and
of the requirements for rescinding the continuity endorsement.
6. Section 10.805 is amended by adding paragraph (f) to read as
follows:
Sec. 10.805 General requirements.
* * * * *
(f) A certificate of registry is valid for a term of 5 years from
the date of issuance. Procedures for renewing certificates of registry
are found in Sec. 10.209. The expiration date of a certificate of
registry issued without an expiration date shall be determined in
accordance with Sec. 10.811.
7. Section 10.811 and Table 10.811 are added to read as follows:
Sec. 10.811 Expiration of existing certificates of registry.
The expiration year of a certificate of registry issued without an
expiration date is calculated by adding 5-year increments to the
issuance date of the certificate of registry, up to first applicable
year falling between 1995 and 1999, inclusive. The day and month of
expiration are the same as that of issuance. Table 10.811 is provided
as an aid for calculating the expiration date of a certificate of
registry issued without an expiration date. A certificate of registry
is not valid for use after the expiration date calculated under this
section, but may be renewed in accordance with the requirements of
Sec. 10.209.
Table 10.811.--Expiration of Certificates of Registry Issued With No
Expiration Date\1\
------------------------------------------------------------------------
Expiration year
-------------------------------------------------------------------------
1999 1998 1997 1996 1995
------------------------------------------------------------------------
Issue Year
------------------------------------------------------------------------
1994......... 1993 1992 1991 1990
1989......... 1988 1987 1986 1985
1984......... 1983 1982 1981 1980
1979......... 1978 1977 1976 1975
1974......... 1973 1972 1971 1970
1969......... 1968 1967 1966 1965
1964......... 1963 1962 1961 1960
1959......... 1958 1957 1956 1955
1954......... 1953 1952 1951 1950
1949......... 1948 1947 1946 1945
1944......... 1943 1942 1941 1940
1930......... 1938 1937 ............. ............
------------------------------------------------------------------------
\1\Find the year in which the certificate of registry was issued (Issue
Year), then move up the column to find the Expiration Year. Month and
day of expiration correspond to the month and day of issue.
PART 12--CERTIFICATION OF SEAMEN
8. The authority citation for part 12 is revised to read as
follows:
Authority: 31 U.S.C. 9701; 46 U.S.C. 2103, 2110, 7301, 7302; 49
CFR 1.46.
9. Section 12.02-9 is amended by adding paragraph (e) to read as
follows:
Sec. 12.02-9 Application for documents.
* * * * *
(e) Approved applications are valid for 12 months.
10. Section 12.02-15 is revised to read as follows:
Sec. 12.02-15 Oath requirement.
Applicants for a merchant mariner's document for any rating shall
take an oath before an Officer in Charge, Marine Inspection, or other
official authorized to give such oath, or a commissioned officer of the
Coast Guard authorized to administer oaths under 10 U.S.C. 936 or 14
U.S.C. 636, that they will faithfully and honestly perform all the
duties required of them by law and carry out all lawful orders of
superior officers on shipboard. Such an oath remains binding for all
subsequent merchant mariner's documents issued to a person until the
document is surrendered to the Officer in Charge, Marine Inspection.
11. Section 12.02-17 is amended by revising paragraph (b) to read
as follows:
Sec. 12.02-17 Rules for the preparation and issuance of documents.
* * * * *
(b) Upon determining that the applicant satisfactorily meets all
requirements for the document and any endorsements requested, the
Officer in Charge, Marine Inspection, shall issue the appropriate
document to the applicant. A merchant mariner's document is valid for a
term of 5 years from the date of issuance. Any document which is
renewed or reissued prior to its expiration date automatically becomes
void upon issuance of the replacement document.
* * * * *
12. Section 12.02-18 is amended by adding paragraph (a)(7) to read
as follows:
Sec. 12.02-18 Fees.
(a) * * *
(7) For renewal of a merchant mariner's document:
(i) For evaluation for renewal of a merchant mariner's document
endorsed with a qualified rating, $45.
(ii) For evaluation for renewal of a merchant mariner's document
when submitted with a license where a renewal evaluation fee already
applies, no fee.
(iii) For evaluation for renewal of a merchant mariner's document
without qualified rating endorsement, no fee.
(iv) For administration of open-book exercises required by
Sec. 12.02-27, $40.
(v) For administration of MMD open-book exercises when required in
addition to license open-book exercises for concurrent renewal of these
documents, only the license exercise fee in Sec. 10.109(c)(2) will
apply.
(vi) For issuance of a renewal of a merchant mariner's document
including those issued for continuity purposes only, $35.
* * * * *
13. Section 12.02-27 is added to read as follows:
Sec. 12.02-27 Requirements for renewal of a merchant mariner's
document.
(a) General. Except as provided in paragraph (g) of this section,
an applicant for renewal of a merchant mariner's document shall
establish possession of all of the necessary qualifications before a
merchant mariner's document is issued.
(1) Each application must be on a Coast Guard furnished form and
accompanied by the evaluation fee established in Sec. 12.02-18. An
approved application is valid for 12 months.
(2) The applicant may apply in person at any Regional Examination
Center listed in Sec. 12.01-7 or may renew the merchant mariner's
document by mail under paragraph (e)(3) of this section.
(3) The applicant shall submit the original or a photocopy of the
merchant mariner's document to be renewed. A photocopy must include the
front and back of the merchant mariner's document. If requested, the
old document will be returned to the applicant.
(4) The expiration date of a merchant mariner's document that was
issued without an expiration date is determined in accordance with
Sec. 12.02-29.
(5) Each applicant shall comply with Sec. 12.02-09(b)(1) of this
part.
(b) Fitness. No merchant mariner's document will be renewed if it
has been suspended without probation or revoked as a result of action
under part 5 of this chapter, or facts which would render a renewal
improper have come to the attention of the Coast Guard.
(c) Professional requirements. (1) In order to renew a merchant
mariner's document endorsed with a qualified rating, the applicant
shall comply with one of the following:
(i) Present evidence of at least 1 year of sea service during the
past 5 years;
(ii) Pass a comprehensive, open-book exercise covering the general
subject matter required by this part for the applicable endorsement or
pass an open-book license exercise that covers the same subject matter
required for the MMD endorsement;
(iii) Complete an approved refresher training course; or,
(iv) Present evidence of employment in a position closely related
to the operation, construction, or repair of vessels (either deck or
engineer as appropriate for the endorsement) for at least 3 years
during the past 5 years.
(2) There are no professional requirements for renewal of a
merchant mariner's document that is not endorsed with any qualified
ratings.
(d) Physical requirements. (1) An applicant for renewal of a
merchant mariner's document endorsed with a qualified rating other than
lifeboatman, shall submit a certification by a licensed physician or
physician assistant that he or she is in good health and has no
physical impairment or medical condition which would render him or her
incompetent to perform the ordinary duties of that qualified rating(s).
This certification must address visual acuity and hearing in addition
to general physical condition, and must have been completed within the
previous 12 months.
(2) If the Officer in Charge, Marine Inspection has reason to
believe that an applicant suffers from some physical impairment or
medical condition which would render the applicant incompetent to
perform the duties of the qualified rating(s) (other than lifeboatman),
the applicant may be required to submit the results of an examination
by a licensed physician or physician assistant that meets the
requirements for originally obtaining the rating(s).
(3) An applicant who has lost sight in one eye may renew a merchant
mariner's document with qualified ratings, provided the applicant is
qualified in all other respects and that the visual acuity in the
remaining eye passes the test required in Sec. 10.205(d) of this
chapter.
(e) Special circumstances--(1) Reissuance after expiration, Period
of grace. Except as provided in this paragraph, a merchant mariner's
document may not be renewed more than 12 months after it has expired.
To obtain a reissuance of a merchant mariner's document expired more
than 12 months, an applicant shall comply with the requirements of
paragraph (f) of this section. When an applicant's merchant mariner's
document expires during a time of service with the Armed Forces and
there is no reasonable opportunity for renewal, including by mail, this
12-month period of grace may be extended. The period of military
service following the date of merchant mariner's document expiration
which precluded renewal may be added to the 12 month period of grace.
The 12 month period of grace, and any extension, do not affect the
expiration date of the document. A merchant mariner's document, and any
endorsements that it contains, are not valid for use after the
expiration date.
(2) Renewal in advance. A merchant mariner's document may not be
renewed more that 12 months before expiration unless it is being
renewed in conjunction with a license or certificate of registry which
is either due for renewal or being upgraded, or unless the Officer in
Charge, Marine Inspection is satisfied that special circumstances exist
to justify renewal.
(3) Renewal by mail. (i) Applications for renewal of merchant
mariner's documents by mail may be sent to any Coast Guard Regional
Examination Center. The following documents must be submitted:
(A) A properly completed application on a Coast Guard furnished
form, and the evaluation fee required by Sec. 12.02-18.
(B) The document to be renewed, or, if it has not expired, a
photocopy of the document, including the back.
(C) A certification from a licensed physician or physician
assistant in accordance with paragraph (d) of this section.
(D) Evidence of, or acceptable substitute for, sea service in
accordance with paragraph (c) of this section.
(ii) The open-book exercise, if required, may be administered
through the mail.
(4) Concurrent renewal of merchant mariner's documents, and
licenses, or certificates of registry. An applicant for concurrent
renewal of more than one merchant mariner credential shall satisfy the
individual renewal requirements and pay the applicable fees required by
Secs. 12.02-18 and 10.109 of this chapter for each merchant mariner's
document, license, or certificate of registry being renewed.
(f) Reissuance of expired merchant mariner's documents. (1)
Whenever an applicant applies for reissuance of a merchant mariner's
document endorsed with qualified rating(s) more than 12 months after
expiration, in lieu of the requirements of paragraph (c) of this
section the applicant shall demonstrate continued professional
knowledge for each qualified rating for which reissuance is sought by
completing a course approved for this purpose or, by passing the
complete examination for each rating, or by passing the examination for
a related license required by Sec. 10.209(f)(1) of this chapter. The
fees listed in Secs. 12.02-18 and 10.109 apply to these examinations.
(2) A merchant mariner's document without any qualified rating
endorsements that has been expired more than 12 months shall be
reissued in the same manner as a current merchant mariner's document.
There are no additional requirements for reissuing merchant mariner's
documents without qualified ratings that have been expired more than 12
months.
(g) Inactive document renewal. (1) Applicants for renewal of
merchant mariner's documents that are endorsed with qualified ratings,
who are unwilling or otherwise unable to meet the requirements of
paragraphs (c) or (d) of this section may renew the merchant mariner's
document, with the following restrictive endorsement placed on the
document: ``Continuity only; service under document prohibited.''
Holders of merchant mariner's documents with this continuity
endorsement may have the prohibition rescinded at any time by
satisfying the renewal requirements in paragraphs (c) and (d) of this
section.
(2) Applications for renewal of a document with the continuity
endorsement must include:
(i) The document to be renewed, or, if it is unexpired, a photocopy
of the document including the back and,
(ii) A signed statement from the applicant attesting to an
awareness of the restriction to be placed on the renewed document and
of the requirements for rescinding the continuity endorsement.
14. Section 12.02-29 and Table 12.02-29 are added to read as
follows:
Sec. 12.02-29 Expiration of existing merchant mariner's documents.
The expiration year of a merchant mariner's document issued without
an expiration date is calculated by adding 5-year increments to the
issuance date of the document, up to the first applicable year falling
between 1995 and 1999, inclusive. The day and month of expiration are
the same as that of issuance. Table 12.02-29 is provided as an aid for
calculating the expiration date of a document issued without an
expiration date. A merchant mariner's document is not valid for use
after the expiration date calculated under this section, but may be
renewed in accordance with the requirements of Sec. 12.02-27.
Table 12.02-29.--Expiration of Merchant Mariner's Documents Issued With
No Expiration Date\1\
------------------------------------------------------------------------
Expiration year
-------------------------------------------------------------------------
1999 1998 1997 1996 1995
------------------------------------------------------------------------
Issue Year
------------------------------------------------------------------------
1994......... 1993 1992 1991 1990
1989......... 1988 1987 1986 1985
1984......... 1983 1982 1981 1980
1979......... 1978 1977 1976 1975
1974......... 1973 1972 1971 1970
1969......... 1968 1967 1966 1965
1964......... 1963 1962 1961 1960
1959......... 1958 1957 1956 1955
1954......... 1953 1952 1951 1950
1949......... 1948 1947 1946 1945
1944......... 1943 1942 1941 1940
1939......... 1938 1937 ............. ............
------------------------------------------------------------------------
\1\Find the year in which the merchant mariner's document was issued
(Issue Year), then move up the column to find the Expiration Year.
Month and day of expiration correspond to the month and day of issue.
Dated: September 19, 1994.
J.F. McGowan,
Captain, U.S. Coast Guard, Acting Chief, Office of Marine Safety,
Security and Environmental Protection.
[FR Doc. 94-23655 Filed 9-26-94; 8:45 am]
BILLING CODE 4910-14-P