[Federal Register Volume 62, Number 47 (Tuesday, March 11, 1997)]
[Rules and Regulations]
[Pages 11298-11305]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-5987]



[[Page 11297]]

_______________________________________________________________________

Part VI





Department of Transportation





_______________________________________________________________________



Coast Guard



_______________________________________________________________________



46 CFR Part 10



Radar-Observer Endorsement for Operators of Uninspected Towing Vessels; 
Final Rule

  Federal Register / Vol. 62, No. 47 / Tuesday, March 11, 1997 / Rules 
and Regulations  

[[Page 11298]]



DEPARTMENT OF TRANSPORTATION

Coast Guard

46 CFR Part 10

[CGD 94-041]
RIN 2115-AE92


Radar-Observer Endorsement for Operators of Uninspected Towing 
Vessels

AGENCY: Coast Guard, DOT.

ACTION: Final rule.

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

SUMMARY: The Coast Guard amends its rules to require a Radar-Observer 
endorsement. This final rule requires radar-training for licensed 
masters, mates, and operators of radar-equipped uninspected towing 
vessels 8 meters (approximately 26 feet) or more in length, toward the 
endorsement. The rule is necessary to ensure that radar-equipped towing 
vessels are manned by mariners with the qualifications, skills, and 
knowledge to operate the radar equipment on board.

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

ADDRESSES: Unless otherwise indicated, documents referred to in this 
preamble are available for inspection or copying at the office of the 
Executive Secretary, Marine Safety Council (G-LRA, 3406), U.S. Coast 
Guard Headquarters, 2100 Second Street SW., room 3406, Washington, DC 
20593-0001 between 9:30 a.m. and 2 p.m., Monday through Friday, except 
Federal holidays. The telephone number is (202) 267-1477.

FOR FURTHER INFORMATION CONTACT: Lieutenant Commander Donald J. Darcy, 
Project Manager, Division of Maritime Personnel Qualifications (G-MSO-
1), telephone (202) 267-0221, between 7 a.m. and 4 p.m., Monday through 
Friday, except Federal holidays.

SUPPLEMENTARY INFORMATION:

Regulatory History

    On April 4, 1994, a public hearing was held concerning this 
rulemaking. On October 26, 1994, the Coast Guard published an interim 
rule in the Federal Register (59 FR 53754) that required training and 
an endorsement for personnel receiving original licenses, or renewing 
or upgrading licenses, on or after February 15, 1995. In response to 
comments from members of the regulated public indicating difficulties 
in obtaining the required training in the time allowed, on February 14, 
1995, the Coast Guard published a second document in the Federal 
Register (60 FR 8308) which reopened the comment period and postponed 
the compliance date to June 1, 1995. No public hearing was requested, 
and none was held. Public comments submitted, as well as further 
evaluation of the interim rule by the Coast Guard, revealed issues 
requiring additional clarification. Therefore, on May 3, 1996, the 
Coast Guard published a third document in the Federal Register (61 FR 
19859) which reopened the comment period for the second time and 
invited comments on specific items. This time the comment period closed 
on July 2, 1996; but the compliance date of the interim rule remained 
June 1, 1995.

Background and Purpose

    The derailment of the Amtrak Sunset Limited, a passenger train, on 
September 22, 1993, with extensive injury and loss of life, resulted in 
a study entitled ``Review of Marine Safety Issues Related to 
Uninspected Towing Vessels''. The study cited a number of 
recommendations for improving safety in the towing industry. One of the 
recommendations was to require Radar-Observer training and endorsements 
for operators of radar-equipped uninspected towing vessels 8 meters 
(approximately 26 feet) or more in length. That recommendation was 
approved by the Coast Guard, which, on October 26, 1994 (59 FR 53754), 
published an interim rule establishing requirements for radar training. 
The interim rule constituted part of a comprehensive initiative by the 
Coast Guard to improve navigational safety for towing vessels. It also 
added topics to the list of subjects taught in approved radar-training 
courses that must be completed for a Radar-Observer endorsement. It 
first became effective on November 25, 1994. However, to provide a 
reasonable opportunity for affected persons to complete the training 
and obtain the required endorsements, 46 CFR 15.815(c) requires the 
endorsements only for those licenses issued on and after June 1, 1995. 
(It compelled persons holding valid licenses issued before June 1, 
1995, to undergo basic Radar-Operation training, and to obtain 
certificates of completion for that training before June 1, 1995.) 
Without an endorsement (or a certificate of completion), no person may 
serve after June 1, 1995, as a master, mate, or operator of a radar-
equipped towing vessel, 8 meters (approximately 26 feet) or more in 
length. The comment period for the interim rule, as twice extended, 
closed on July 2, 1996.
    This final rule, like the interim rule, applies to all operators of 
radar-equipped towing vessels 8 meters (approximately 26 feet) or more 
in length operating in the navigable waters of the United States, 
except for towing vessels engaged solely in assistance towing.
    The changes to Sec. 15.815 accomplished by the interim rule went 
into effect on June 1, 1995, and have already been published in the 
Code of Federal Regulations. They therefore need not be restated in 
this final rule, and are not; but this rule adopts them as final.

Discussion of Comments and Changes

    The Coast Guard embarked on this rulemaking to establish a baseline 
of documented training and competency in the towing industry. It has 
carefully considered the expense and inconvenience this rule places on 
industry and mariners, and has determined that this training is 
necessary to ensure that vessels equipped with radar are manned by 
mariners with the skills and knowledge to use and interpret radar data.
    At the close of the comment period, on July 2, 1996, the Coast 
Guard had received comments from 780 interested parties regarding this 
rulemaking.
    Among the comments were 595 form letters expressing concern that 
under this rulemaking some Operators of Uninspected Towing Vessels 
(OUTVs) would have to obtain training on radar equipment that was not 
required on towing vessels. Section 15.815(c), as amended in the 
interim rule (CGD 94-041 [60 FR 8309], February 14, 1995), requires 
operators of towing vessels of 8 meters (approximately 26 feet) or more 
in length, if equipped with radar, to meet the Radar-Operation and 
Radar-Observer requirements. The CG notes that under a separate 
rulemaking, published on July 3, 1996, (CGD 94-020 [61 FR 35064]), 
towing vessels of 12 meters (approximately 39 feet) or more in length 
are required to be equipped with radar. Therefore, operators of towing 
vessels of 12 meters (approximately 39 feet) or more in length are 
required to meet the Radar-Operation and Radar-Observer requirements 
because those vessels are required to be fitted with radar. However, 
operators of towing vessels of 8 to 12 meters in length, are required 
to meet the Radar-Operation and Radar-Observer requirements only if the 
vessel is fitted with radar.
    Also among the comments were 160 letters that expressed concern 
that mariners who already have extensive experience operating towing 
vessels on oceans in domestic trade, using navigational equipment, 
would nonetheless have to attend training under the treaty known as 
STCW (for Standards of Training, Certification and

[[Page 11299]]

Watchkeeping for Seafarers). The Coast Guard has developed this 
rulemaking to work in harmony with international law and, where 
possible, eliminates requirements that create unwarranted differences 
between domestic and international law in general.
    Another 12 comments discussed radar as merely a navigational aid, 
not to be depended on entirely. The Coast Guard concurs with these 
comments. But, like any navigational aid (tool) used by mariners to 
navigate their vessels, radar--while it must not be depended on 
entirely-- must be used correctly, or it becomes a detriment to safe 
navigation.
    Another 11 comments questioned the necessity for the 5-day radar-
operator course, and for the refresher course, for operators of 
assistance-towing vessels. In addition, one comment complained that the 
rule is written so broadly as to include the marine-assistance 
industry, since the industry falls under the rules that affect 
uninspected towing vessels; it stated that there is a need to 
differentiate between vessels providing assistance and those that 
provide commercial towing services, and it urged the Coast Guard to 
exempt all marine-assistance vessels from the final rule. The Coast 
Guard has considered these comments and appreciates the outstanding 
safety record the assistance-towing industry has enjoyed, and continues 
to exclude towing vessels operated exclusively for this industry from 
this final rule. Should an operator choose to engage in simple towing 
(where there is no peril to the vessel being towed), this rule, as well 
as rules governing equipment and licensing, will become applicable. The 
assistance-towing endorsement already is applicable to all licenses 
except those for OUTVs and for master or mate authorizing service on 
inspected vessels over 200 gross tons. Holders of these licenses may 
engage in assistance towing without endorsement on any vessel within 
the scope of the license.
    Several comments expressed concern for the economic impact on small 
entities and on individual mariners. The greatest expense will be to 
obtain an original radar endorsement, which normally requires a 
training course of 3 to 5 days; however, for some mariners, this rule 
may not require this until the year 2000. After mariners have obtained 
the original endorsement, they need only a 4-hour course for the 
subsequent license renewal. Since the renewal and the endorsement are 
each valid for 5 years, their cost is prorated over 5 years. Neither in 
any one year nor in all 5 years is the cost out of line, weighed 
against the enhanced safety due to the training. (Please refer to the 
full treatment of the impact on Small Entities elsewhere in this 
preamble.)
    Several comments cited the training as inconvenient, since it will 
take away valuable family time that is already limited simply by the 
nature of the job. Others cited the financial expense to the family, 
because mariners may lose pay during the training period and may incur 
additional costs for travel, food, and other necessities. The Coast 
Guard notes that, when a mariner enrolls in the 5-day training course 
to obtain the original radar endorsement, the training amounts to 1 day 
a year. Furthermore, the Coast Guard notes that, for the 4-hour 
refresher course in preparation for the license renewal, the training 
amounts to less than 1 hour a year.
    Another 48 comments requested an extension of the compliance date 
for the Radar-Observer endorsement. In response to these and other 
comments from members of the regulated public, the Coast Guard amended 
the interim rule to change the date on which the Radar-Observer 
endorsement or the Radar-Operation certificate would become effective, 
from February 15, 1995, to June 1, 1995.
    One comment stated that simulator training should not be a 
predicate of designation as a radar observer. The Coast Guard has 
considered this comment and has determined that simulator training will 
remain a part of this rulemaking since a simulator presents several 
scenarios in a controlled environment, in a shorter time; this allows 
for a demonstration of proficiency using radar equipment much earlier 
than usual.
    One comment stated that the training requirement imposed by this 
rulemaking is unnecessary because use of radar is necessary in the 
execution of the job and because, therefore, many mariners have had 
years of experience as radar observers--with great success, as 
evidenced by the outstanding safety record of the industry. The comment 
requested that this experience equate to training. The Coast Guard 
agrees that experience is certainly an asset, but has determined that 
it is not a replacement for training, and notes that the success 
claimed for the assistance-towing industry is not supported by 
statistics for the entire commercial-towing industry: statistics 
indicate that this training is necessary for the commercial-towing 
industry.
    Still other comments suggested that a Coast Guard representative 
visit vessels and view their operations and then determine whether they 
meet the intent of the rule. As mentioned earlier, the Coast Guard has 
determined that use of a simulator is the best and most economical 
method for testing proficiency, since it presents several scenarios in 
a safe and controlled environment, in a shorter time, and requires a 
demonstration of radar skills.
    Eleven comments suggested that Radar-Observer training be a 
requirement only for newly licensed operators, since, having had no 
previous experience, they will probably benefit most from it. The Coast 
Guard agrees that newly licensed operators may benefit most from this 
training, yet is of the opinion that this training will sharpen the 
skills of all operators of towing vessels except for towing vessels 
engaged solely in assistance-towing.
    Two comments suggested that the Coast Guard allow qualified 
companies to conduct required training and certification on board their 
towing vessels. This final rule does allow qualified companies (i.e., 
those with Coast Guard-approved courses) to conduct training. (As 
stated in the interim rule, only the Radar-Operation course may be 
conducted by individuals, companies, or other organizations without 
prior Coast Guard approval.)
    Several comments suggested that persons who already hold valid 
licenses and have successfully completed all requirements towards the 
Radar-Observer endorsement be allowed to extend the renewal date of the 
endorsement to coincide with the month of the renewal date of the 
license, reducing time and expense. The Coast Guard has accepted this 
suggestion [46 CFR 10.480(k)] and will allow synchronization of the 
renewal dates of the endorsement and the license. It has determined 
that adopting this suggestion will not pose a safety risk and will 
reduce economic and administrative burdens on the mariners and the 
Coast Guard. (Completion of the Radar-Observer training still has to 
precede the renewal of the license by 2 years or less, and extending 
the validity of the endorsement is necessary only once to synchronize 
the renewals.
    One comment suggested that the Coast Guard give serious 
consideration to a radar requirement for uninspected charter vessels 
equipped with radar, since a high percentage of operators of these 
vessels do not know how to perform the basic collision-avoidance and 
blind-navigation techniques greatly needed in restricted visibility, 
which is common whether in the Northeast or on the West Coast. The 
Coast Guard has considered this suggestion and has determined that, 
while this comment has considerable merit, it lies outside the scope of 
this rulemaking.

[[Page 11300]]

    One comment questioned whether an OUTV towing a passenger-barge 
should have to attend training for proficiency in rapid radar plotting 
when this training offers no practical utility for any operator of 
typical inland or coastwise vessels, very few of which are equipped 
with large radars and plotting boards. The Coast Guard has considered 
this comment and has determined that operation of a passenger-barge 
entails both a passenger-vessel license and a towing endorsement, since 
the barge both carries passengers on board and is being towed.
    Three comments suggested that the Coast Guard develop a set of 
rules for river radar distinct from the set for blue-water radar. The 
interim rule, the relevant parts of which this final rule adopts as 
final, has separate requirements [46 CFR 10.305(b)(3) and (6)] for 
unlimited, inland and Gulf Intracoastal Waterway (GIWW), and river 
routes.
    Another comment suggested that the Coast Guard require towing 
vessels over a certain tonnage (or horsepower) to be equipped with 
radar and for operators to hold certificates of training in the 
operation of that radar. The Coast Guard has already issued a final 
rule requiring radar on towing vessels of 12 meters (about 39 feet) or 
more in length [61 FR 35064 (July 3, 1996)].
    Five comments suggested that this rule apply only to vessels above 
a threshold of 12 meters (about 39 feet) or more in length, rather than 
to those above 8 meters (about 26 feet) or more in length. The rule on 
equipment, cited in the previous paragraph, does apply to the higher 
threshold vessel 12 meters (about 39 feet) or more in length. But the 
Coast Guard maintains that, if radar is installed on board, the 
operator must possess the skills and knowledge to use and interpret the 
data for the radar to be of any value as a navigational aid.
    Two comments stated that this rule could deter mariners with 
navigational skills from wanting to promote themselves into the pilot 
house because of the added cost, time, and fear of failing the test. 
These concerns may affect mariners' ability to continue earning a 
living, since failing the test would cost them their jobs if their 
employers did not have some other kind of job available. The intent of 
this rule is not to deter mariners with navigational skills from 
advancing into the pilot house; rather, it is to ensure before they 
navigate a vessel they possess these skills and knowledge to interpret 
the data, and not just that they accrue deck time. While, in the past, 
holding a licensed position in the pilot house did not require 
training, and may have reduced worries of unemployment for the mariner, 
this training however provides assurance to the public that vessels are 
under the command of qualified personnel. The Coast Guard holds that 
the benefits far outweigh the discernible costs, and that the rule as a 
whole provides the entire towing industry some assurance of checks and 
balances on both domestic and international waterways.
    One comment suggested that the Coast Guard print a manual on radar 
operation and, upon renewal of a license, require the taking of a test 
based on the information addressed in the manual. The studies and 
reports used to formulate this rulemaking emphasize demonstrating skill 
as well as knowledge of radar equipment, rather than relying solely on 
a mariner's ability to pass a test. Therefore, the Coast Guard favors 
practical demonstration as well as testing, to determine a mariners' 
proficiency in radar operation.
    One comment stated that the rule was confusing and required 
interpretation and even translation. The Coast Guard realizes the 
difficulty for some mariners in understanding many sections of this 
rule and has changed it where clarity was in question 
[Secs. 10.305(c)(1)(ii)(C), (1)(iii)(A), and (3)(iii)(E)].
    Several comments addressed Secs. 10.305(c) (2)(iii) and (3)(iii), 
which require licensed personnel to know, and to show that they know, 
how to plot course, speed, and closest point of approach on inland 
waters and on rivers. Many comments noted that course plotting is 
seldom performed on inland waters or on rivers, because of the time and 
attention required to plot the course. Several comments explained that, 
by the time the course was plotted, the vessel would have passed the 
boat or bridge by reason of which it was plotting. Another comment 
noted that plotting by radar is impossible on most rivers because the 
other vessel is usually obscured from radar view until the last moment. 
Likewise, requiring the captain to make intricate calculations and 
navigate the vessel at the same time iswill be dangerous because of 
continuous course changes at short intervals: dangerous to the 
observer, the crew, and other vessels in the area. The Coast Guard 
would certainly rather have an operator making passing arrangements on 
the radio and looking out the pilot-house windows than staring into a 
radar set--under normal visibility. Under reduced visibility, however, 
a mariner must use all the navigational aids available including radar. 
Therefore, on rivers the rule will instead require [46 CFR 10.305(c) 
(2)(iii) and (3)(iii)] the operator to be trained in interpreting, and 
to demonstrate how to interpret, the relative course, speed, and 
approximate location of another vessel, which may be crossing, meeting, 
or overtaking.
    One comment stated that the industry needs to raise its standards 
and be more pro-active with any training that will help masters, mates, 
and other watchstanders in the performance of their duties. The Coast 
Guard concurs with this comment.
    Four comments recommended that, to avoid confusion, the ``Rivers'' 
endorsement be expanded to include the GIWW. The Coast Guard has 
considered this and similar recommendations from the Towing Safety 
Advisory Committee (TSAC), and has determined that this is not 
appropriate, since a Rivers endorsement requires a different level of 
knowledge and skill. Operation of a vessel on rivers is less subject to 
weather than that of a vessel on the GIWW. However, to avoid confusion 
the Coast Guard has done something else instead: It has expanded the 
inland endorsement to include the GIWW since the required level of 
knowledge and skill for inland and the GIWW are compatible, as they 
involve similar operational conditions. Accordingly, in this 
rulemaking, the endorsement for inland waters is renamed, ``inland 
waters and GIWW'' [46 CFR 10.305, 10.306, and 10.480].
    One comment suggested that the Coast Guard consider allowing 
currently licensed towboat operators who have earned certificates from 
Radar-Operation courses to qualify as applicants for original 
endorsements. The Coast Guard has determined that licensed towboat 
operators who have earned only certificates from Radar-Operation 
courses have not attained enough expertise to qualify their holders for 
original endorsements. The Coast Guard is increasing the OUTVs' 
expertise with radar in three stages. First, as of June 1, 1995, every 
operator of an uninspected towing vessel equipped with radar, whose 
license was issued before June 1, 1995, had to hold a certificate from 
a Radar-Operation course; this represents as little as 4 hours' 
instruction. Second, upon renewal of a license as an OUTV on or after 
June 1, 1995, every operator has had to hold a certificate from a 
Radar-Observer course; this represents as much as 5 days' training (the 
precise amount varies with training facilities chosen and route-
endorsements sought). Third, thereafter, upon renewal of the 
endorsement--which should by then coincide with that of the license--
every such operator will have to hold a

[[Page 11301]]

renewal certificate; this will represent 4 more hours' instruction.
    One comment proposed that the Coast Guard consider allowing 
applicants for renewal of the Radar-Observer endorsement the option to 
``test out'' of the refresher-training course by passing the final 
examination instead of taking the course. A similar comment questioned 
why a renewal or upgrade was necessary every 5 years, and argued that 
later training would serve only to deplete the income of mariners. The 
Coast Guard has considered these comments and has determined, however, 
that leniency would undermine the intent of establishing and 
maintaining proficiency, and would not provide the mariners any 
assurance of their fellows' competence on domestic or international 
waters.
    One comment suggested that the Coast Guard require all candidates 
for first licenses to attend the 5-day Radar-Observer course, which 
leads to the Radar-Observer endorsement. The Coast Guard has considered 
this comment and has already made this a requirement, in 
Sec. 15.815(c).
    One comment proposed that, every 30 months, a licensed mariner 
certified by the Coast Guard assess the skills of each operator, while 
on board the vessel, and according to the findings endorse the 
operator's license, certifying proficiency in the interpretation of 
radar data--or not. The Coast Guard has considered this proposal, but 
notes that it could be cost-prohibitive to assess the operators' skills 
in this manner because the time spent on board the vessel assessing the 
operator's skills, through a series of exercises, is unpredictable. 
However, this rule [46 CFR 10.480(e)] allows administration by the 
Coast Guard or a third party of an exam for renewal of Radar-Observer 
endorsement.
    One comment suggested that the Coast Guard allow companies to 
submit a list of personnel competent to be certified by the Coast Guard 
as radar observers. The Coast Guard finds this unacceptable because it 
leaves too much room for interpretation of competency, and may lead to 
its rubber-stamping of personnel.
    One comment disputed the Coast Guard's view that training 
institutions would be able to train the requisite number of mariners in 
the existing Radar-Operation course, and gear up to teach the new 
Radar-Observer course, both by February 15, 1995. This request is now 
moot--first because the Coast Guard extended the compliance date to 
June 1, 1995, and second because, as later events have proved, the 
schools have been meeting the double challenge.
    One comment questioned why the Coast Guard has chosen to place the 
burden of obtaining Radar-Operation training squarely on the shoulders 
of the operators rather than on their employers. This training may be a 
condition of employment: Failure to obtain the required training may 
leave a mariner unqualified and, therefore, unemployable as an operator 
of a radar-equipped towing vessel.
    One comment questioned why the Coast Guard has never required any 
evidence of training other than in first aid and CPR before licensing 
an OUTV. A notice of proposed rulemaking [61 FR 31332] in CGD 94-055, 
``Licensing and Manning for Officers of Towing Vessels'', whose comment 
period stayed open until October 17, 1996, fully addresses this 
question. A supplemental notice in CGD 94-055, also with a comment 
period, is being developed as described in an earlier notice of intent, 
published at 61 FR 66642.

Regulatory Evaluation

    This final rule is not a significant regulatory action under 
section 3(f) of Executive Order 12866, and does not require an 
assessment of potential costs and benefits under section 6(a)(3) of 
that Order. It has not been reviewed by the Office of Management and 
Budget under that Order. It is non-significant under the Regulatory 
Policies and Procedures of the Department of Transportation (DOT) [44 
FR 11040; February 26, 1979].
    The Coast Guard expects the economic impact of this rule to be so 
minimal that a full Regulatory Evaluation under paragraph 10e of the 
Regulatory Policies and Procedures of DOT is unnecessary.
    This rule will apply to licensed operators of radar-equipped towing 
vessels operating in U.S. waters. As of August 1996, there were an 
estimated 12,300 licensed operators of uninspected towing vessels 
(OUTVs) in the U.S. An estimated 473 new OUTV licenses are issued 
annually, and 1,931 OUTV licenses are renewed annually. Although some 
OUTVs may operate towing vessels on oceans (domestic-trade waters), 
licensed masters and mates crew many of these vessels. Now OUTVs on 
oceans have to complete a one-time Radar-Observer course [see 46 CFR 
10.464(e)(2)]. This rule will require certain licensed OUTVs to obtain 
Radar-Observer endorsements, which must be renewed 5 years after the 
month of issuance [see Sec. 10.480(f) in this regulatory text]. Roughly 
15,000 masters, mates, active OUTVs, and new OUTVs will each need to 
complete a Radar-Observer course sometime during the next 5 years to 
comply with 46 CFR 15.815(c). Those completing the Radar-Observer 
course will need to renew their endorsements every 5 years to continue 
to work on radar-equipped towing vessels. Certificates from Radar-
Operation courses will not be valid with licenses dated after June 1, 
1995; Radar-Observer endorsements will be necessary with such licenses. 
Persons using Radar-Operation certificates to satisfy Sec. 15.815(c) 
will need to complete the Radar-Observer course when they renew or 
upgrade their licenses if they intend to continue working on radar-
equipped towing vessels.

Comments on Costs

    Several comments to the interim rule suggested that the estimated 
cost to comply with the initial requirements was understated. These 
comments estimated that the actual cost to receive the initial 
endorsement would amount to between $1,000 and $2,000 per operator. One 
comment estimated that the cost to receive the radar endorsement would 
be $2,500 because there are no courses approved by the Coast Guard in 
Pennsylvania. (The Coast Guard has determined that there are indeed no 
such courses and that therefore an operator would need to travel to a 
nearby State to enroll in a course.) All of the comments on costs have 
influenced the following, revised calculations.

Benefits

    This rule is the direct result of the recommendations from the 
``Railroad--Marine Accident Report'' prepared by the National 
Transportation Safety Board (NTSB). The Report noted a lack of 
competence in radar navigation and cited this lack of competence as the 
probable cause of the derailment of theat Amtrak Sunset Limited. The 
Report recommended that the Coast Guard upgrade its licensing standards 
to require that persons licensed as OUTVs hold valid inland-waters 
Radar-Observer certification if they stand navigational watch on radar-
equipped towing vessels. It also recommended that the Coast Guard 
require employers to provide specific evidence of approved training. 
The Coast Guard affirmed, in ``Review of Marine Safety Issues Related 
to Uninspected Towing Vessels'', that 60 percent of all towing-vessel 
casualties are due to human error. The ``Review'', therefore, supports 
this rulemaking.
    This final rule addresses the findings of the NTSB, which cited a 
lack of training for operators and a failure of employer accountability 
as two key issues identified in past major marine accidents--
particularly in that of the

[[Page 11302]]

derailment of the Amtrak Sunset Limited caused by the Tug MAUVILLA that 
resulted in 47 deaths and 103 injuries. The number of persons at risk 
in a major marine casualty typically ranges from about 25 to 2,000 or 
more. The training required by this rule has the potential to 
significantly decrease the number of deaths and injuries in the marine 
industry. If this training decreases the number of deaths even by just 
7 people over the next 13 years, the benefit of $18.9 million, which is 
based on the willingness by society to pay $2.7 million for the value 
of a fatality averted, will exceed the estimated cost of $17.1 million.
    One way to reduce the risks associated with human error in 
operating a towing vessel is to ensure that mariners maintain the 
highest practicable standards of training, certification, and 
competency. Although this rule may increase costs to industry, through 
upgraded training and certification, the new requirements are intended 
to increase potential benefits by reducing towing-vessel accidents and, 
with them, deaths and injuries.

Costs

    The costs, which accrue from the date of this final rule, depend on 
the types of courses taken, the average fees for the courses, and the 
expenses for travel, meals, and lodging (where applicable). The 
following are general premises: (1) Although the interim rule went into 
effect on June 1, 1995, costs are calculated from the effective date of 
this final rule; (2) the average course length is 5 days, whether for 
an unlimited license, for a license for inland waters and GIWW, or for 
a license for rivers, and is long enough to meet the new requirements 
for those operators who will be taking the Radar-Observer course for 
the very first time; (3) courses are conveniently offered near most 
port cities, so extensive travel will be necessary for few operators; 
(4) operators usually work on a rotational schedule, allowing them to 
arrange for enrollment in a course without interfering with their 
normal work schedule; (5) 30 percent of those affected by this rule 
will incur additional miscellaneous expenses involving travel and 
lodging while the remaining 70 percent will incur minimal expenses, 
given the convenience of course locations; (6) the typical towboat 
operator started his career in 1983, has served 12 years, and will 
serve for 18 more years, a total of 30 years; and (7) recurring costs 
for renewals run from year 2000 through year 2013, the last year of 
those 30, while recurring costs for new OUTVs run from year 1995.
    The Radar-Observer courses and corresponding endorsements vary 
depending on route: unlimited, inland and GIWW, and rivers. The Coast 
Guard sampled various institutions that offer these courses and found 
that course lengths varied depending on route, from 3 to 8 days. The 
Coast Guard used a length of 5 days for this rule.
    The costs to obtain the original Radar-Observer endorsement and to 
renew it every 5 years are as follows:


                     Original Radar-Observer Course                     
                                                                        
Average Cost...................................................     $480
Meals and Lodgings.............................................      500
  Travel                                                                
    Local......................................................       50
    Distant....................................................      350
    Total Cost (with distant travel)...........................    1,330
    Total Cost (with local travel).............................      530
                                                                        
                 Renewal Course (4 hours, including exam)               
                                                                        
Average Cost...................................................     $125
Meals and Lodgings.............................................      100
  Travel                                                                
    Local......................................................       50
    Distant....................................................      350
    Total Cost (with distant travel)...........................      575
    Total Cost (with local travel).............................      175
                                                                        

    An optional refresher course is available to operators who need to 
review advances or changes in radar technology. The average cost of 
this course is $260; however, as previously stated, this course is not 
a requirement to renew an OUTV Radar-Observer endorsement.
    The following calculations rest on the seven general premises 
established previously and on information obtained from suppliers of 
courses, meals and lodging, and travel:


                     Original Radar-Observer Course                     
                                                                        
1. Affected OUTVs already serving (12,300)  x  Cost (5-day              
 Course):                                                               
  8,610 (with local travel)  x  $530.......................   $4,563,300
  3,690 (with distant travel)  x  $1,330...................    4,907,000
                                                            ------------
    Total..................................................    9,471,000
New OUTVs issued annually (473)  x  Cost (5-day Course)                 
  331 OUTVs (with local travel)  x  $530...................     $175,430
  142 OUTVs (with distant travel)  x  $1,330...............      188,860
                                                            ------------
    Total..................................................      364,290
                                                                        
                             Renewal Course                             
                                                                        
OUTVs renewed annually (1,931)  x  Cost (4-Hour Exam):                  
  1,352 renewals (with local travel)  x  $175..............     $236,600
  579 renewals (with distant travel)  x  $575..............      332,925
                                                            ------------
    Total..................................................     $569,525
                                                                        

    The principal costs began to accrue over the 5 years from June 1, 
1995, when OUTVs began renewing their licenses and receiving their 
first radar endorsement. The cost that current OUTVs will incur to 
receive the initial Radar-Observer endorsement comes to around 
$9,471,000 in all, or $1,894,200 annually. The cost that new OUTVs will 
incur, shown as a recurring cost, comes to around $364,290 annually 
until year 2000. After then, recurring costs, which comprise 5-year 
renewals and new OUTVs altogether, come to around $933,815 ($364,290 + 
$569,525) annually. Costs of this rule are calculated to years 2013 and 
2025 to reflect 30 years of service performed by OUTVs who started 
their terms in 1983 and 1995, respectively. The total costs to year 
2013 are estimated to be $17,093,615. Costs to industry over 30 years 
are estimated to be $30,120,845. The present values of the recurring 
costs to years 2013 and 2025 are $17,093,615 and $30,120,845, 
respectively. This reflects a 7-percent discount to 1997 of the 
projected stream of costs of this rule in accordance with current 
guidance from the Office of Management and Budget.

Small Entities

    Under the Regulatory Flexibility Act [5 U.S.C. 601 et seq.] the 
Coast Guard must consider whether this final rule will have a 
significant economic impact on a substantial number of small entities. 
``Small entities'' may include (1) small businesses and not-for-profit 
organizations that are independently owned and operated and are not 
dominant in their field; (2) governmental jurisdictions with 
populations of less than 50,000; and (3) ``small-business concern[s]'' 
as defined by section 3 of the Small Business Act [15 U.S.C. 632(a)]. 
Pursuant to 15 U.S.C. 632(a) the standard industrial classification-
codes and size-standards are set forth in the table following 13 CFR 
121.601.
    This rule places its burden on individual OUTVs, not on their 
employers, who may, though they need not, relieve the OUTVs of it. The 
Coast Guard expects that, of the employers who will assume this 
responsibility, few if any will be small entities. Additionally, 
sufficient flexibility and alternatives were built into this 
rulemaking, when the interim rule was initially published on October 
26, 1994, to accommodate small entities; these included a phase-in 
period of up to 5

[[Page 11303]]

years, during which a Radar-Operation certificate would be accepted, 
and the exemption for operators of assistance-towing vessels. The 
effective date of June 1, 1995, provided enough notice to OUTVs that 
those whose licenses expired after June 1, 1995, could renew them in 
advance; in effect, OUTVs could extend the renewal date and meet the 
new requirements by distributing the initial cost over 2 to 5 years.
    Therefore, the Coast Guard certifies under the Regulatory 
Flexibility Act [5 U.S.C. 601 et seq.] that this rule will not have a 
significant economic impact on a substantial number of small entities.

Collection of Information

    This final rule contains no collection-of-information requirements 
under the Paperwork Reduction Act [44 U.S.C. 3501 et seq.].

Federalism

    The Coast Guard has analyzed this final rule under the principles 
and criteria contained in Executive Order 12612 and has determined that 
the rule does not have sufficient implications for federalism to 
warrant the preparation of a Federalism Assessment.

Environment

    The Coast Guard has considered the environmental impact of this 
final rule and concluded that, under paragraph 2.B.2 of Commandant 
Instruction M16475.1B, this rule is categorically excluded from further 
environmental documentation. The rule is a matter of training, 
qualifying, licensing, and disciplining of maritime personnel within 
the meaning of subparagraph 2.B.2.e(34)(c) of Commandant Instruction 
M16475.1B that clearly has no environmental impact. A Determination of 
Categorical Exclusion is available in the docket for inspection or 
copying where indicated under ADDRESSES.

List of Subjects in 46 CFR Part 10

    Fees, Reporting and recordkeeping requirements, Schools, Seamen.

    For the reasons set out in the preamble, the Coast Guard amends 46 
CFR part 10 as follows:

PART 10--LICENSING OF MARITIME PERSONNEL

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

    Authority: 31 U.S.C. 9701, 46 U.S.C. 2101, 2103, 7101, 7106, 
7107; 49 CFR 1.45, 1.46; section 10.107 is also issued under the 
authority of 44 U.S.C. 3507.

    2. Section 10.305 is revised to read as follows:


Sec. 10.305  Radar-Observer certificates and qualifying courses.

    (a) A student who takes an approved course of training, which 
includes passing both a radar-theory examination and a practical 
demonstration on a simulator, and who meets the requirements of this 
section is entitled to an appropriate Radar-Observer certificate--
    (1) In a form prescribed by the school and acceptable to the Coast 
Guard; and
    (2) Signed by the head of the school.
    (b) The following Radar-Observer certificates are issued under this 
section:
    (1) Radar Observer (Unlimited).
    (2) Radar Observer (Inland Waters and Gulf-Intracoastal Waterway 
[GIWW]).
    (3) Radar Observer (Rivers).
    (4) Radar Observer (Unlimited: Renewal).
    (5) Radar Observer (Inland Waters and GIWW: Renewal).
    (6) Radar Observer (Rivers: Renewal).
    (c) A school with an approved Radar-Observer course may issue a 
certificate listed in paragraph (b) of this section after the student 
has successfully completed the appropriate curriculum as follows:
    (1) Radar Observer (Unlimited). Classroom instruction--including 
demonstration and practical exercises using simulators--and 
examination, in the following subjects:
    (i) Fundamentals of radar:
    (A) How radar works.
    (B) Factors affecting the performance and accuracy of marine radar.
    (C) Purposes and functions of the main components that constitute a 
typical marine-radar system.
    (ii) Operation and use of radar:
    (A) Purpose and adjustment of controls.
    (B) Detection of malfunctions, false and indirect echoes, and other 
radar phenomena.
    (C) Effects of sea return, weather, and other environmental 
conditions.
    (D) Limitations of radar resulting from design factors.
    (E) Safety precautions associated with use and maintenance of 
marine radar.
    (F) Measurement of ranges and bearings.
    (G) Effect of size, shape, composition, and distance of vessels and 
terrestrial targets on echo.
    (iii) Interpretation and analysis of radar information:
    (A) Radar navigation (including visual techniques)--determining 
positions, and detecting changes in the relative motion, of other 
vessels.
    (B) Collision-avoidance, including visual techniques, appropriate 
to the circumstances and the equipment in use.
    (C) Determining the course and speed of another vessel.
    (D) Determining the time and distance of closest point of approach 
of a crossing, meeting, overtaking, or overtaken vessel.
    (E) Detecting changes of course or speed of another vessel after 
its initial course and speed have been established.
    (F) Applying the Navigational Rules, Chapters 30 and 34 of Title 33 
U.S. Code [Commandant Instruction M16672.2C, as amended, or 
equivalent], and other factors to consider when determining changes of 
course or speed of a vessel to prevent collisions on the basis of radar 
observation.
    (G) Use of radar in maintaining situational awareness.
    (iv) Plotting (by any graphically-correct method):
    (A) Principles and methods of plotting relative and true motion.
    (B) Practical-plotting problems.
    (2) Radar Observer (Inland Waters and GIWW). Classroom 
instruction--with emphasis on situations and problems encountered on 
inland waters and the GIWW, including demonstration and practical 
exercises using simulators--and examination, in the following subjects:
    (i) Fundamentals of radar:
    (A) How radar works.
    (B) Factors affecting the performance and accuracy of marine radar.
    (C) Purpose and functions of the main components that constitute a 
typical marine-radar system.
    (ii) Operation and use of radar:
    (A) Purpose and adjustment of controls.
    (B) Detection of malfunctions, false and indirect echoes, and other 
radar phenomena.
    (C) Effects of sea return, weather, and other environmental 
conditions.
    (D) Limitations of radar resulting from design factors.
    (E) Safety precautions associated with use and maintenance of 
marine radar.
    (F) Measurement of ranges and bearings.
    (G) Effect of size, shape, composition, and distance of vessels and 
terrestrial targets on echo.
    (iii) Interpretation and analysis of radar information:
    (A) Radar navigation (including visual techniques)--determining 
positions, and detecting changes in the relative motion, of other 
vessels.
    (B) Collision-avoidance, including visual techniques, appropriate 
to the circumstances and the equipment in use.
    (C) Determining the course and speed of another vessel.
    (D) Determining the time and distance of closest point of approach 
of a

[[Page 11304]]

crossing, meeting, overtaking, or overtaken vessel.
    (E) Detecting changes of course or speed of another vessel after 
its initial course and speed have been established.
    (F) Applying the Navigational Rules, and other factors to consider 
when determining changes of course or speed of a vessel to prevent 
collisions on the basis of radar observation.
    (G) Use of radar in maintaining situational awareness.
    (3) Radar Observer (Rivers). Classroom instruction--with emphasis 
on situations and problems encountered on rivers, including 
demonstration and practical exercises using simulators--and 
examination, in the following subjects:
    (i) Fundamentals of radar:
    (A) How radar works.
    (B) Factors affecting the performance and accuracy of marine radar.
    (C) Purpose and functions of the main components that constitute a 
typical marine-radar system.
    (ii) Operation and use of radar:
    (A) Purpose and adjustment of controls.
    (B) Detection of malfunctions, false and indirect echoes, and other 
radar phenomena.
    (C) Effects of sea return, weather, and other environmental 
conditions.
    (D) Limitations of radar resulting from design factors.
    (E) Safety precautions associated with use and maintenance of 
marine radar.
    (F) Measurement of ranges and bearings, recognizing limited use of 
radar bearings in curving, narrow channels.
    (G) Effect of size, shape, composition, and distance of vessels and 
terrestrial targets on echo.
    (iii) Interpretation and analysis of radar information:
    (A) Radar navigation (including visual techniques)-- determining 
positions, and detecting changes in the relative motion, of other 
vessels.
    (B) Collision-avoidance, including visual techniques, appropriate 
to the circumstances and the equipment in use.
    (C) Applying the Navigational Rules, and other factors to consider 
when determining changes of course or speed of a vessel to prevent 
collisions on the basis of radar observation.
    (D) Use of radar in maintaining situational awareness.
    (4) Radar Observer (Unlimited: Renewal). Classroom instruction--
including demonstration and practical exercises using simulators--and 
examination, in the following subjects:
    (i) Interpretation and analysis of radar information:
    (A) Radar navigation (including visual techniques)--determining 
positions, and detecting changes in the relative motion, of other 
vessels.
    (B) Collision-avoidance, including visual techniques, appropriate 
to the circumstances and the equipment in use.
    (C) Determining the course and speed of another vessel.
    (D) Determining the time and distance of closest point of approach 
of a crossing, meeting, overtaking, or overtaken vessel.
    (E) Detecting changes of course or speed of another vessel after 
its initial course and speed have been established.
    (F) Applying the Navigational Rules, and other factors to consider 
when determining changes of course or speed of a vessel to prevent 
collisions on the basis of radar observation.
    (G) Use of radar in maintaining situational awareness.
    (ii) Plotting (by any graphically-correct method):
    (A) Principles and methods of plotting relative and true motion.
    (B) Practical-plotting problems.
    (5) Radar Observer (Inland Waters and GIWW: Renewal). Classroom 
instruction--including demonstration and practical exercises using 
simulators--and examination, in the interpretation and analysis of 
radar information, including:
    (i) Radar navigation (including visual techniques--determining 
positions, and detecting changes in the relative motion, of other 
vessels.
    (ii) Collision-avoidance, including visual techniques, appropriate 
to the circumstances and the equipment in use.
    (iii) Determining the course and speed of another vessel.
    (iv) Determining the time and distance of closest point of approach 
of a crossing, meeting, overtaking, or overtaken vessel.
    (v) Detecting changes of course or speed of another vessel after 
its initial course and speed have been established.
    (vi) Applying the Navigational Rules, and other factors to consider 
when determining changes of course or speed of a vessel to prevent 
collisions on the basis of radar observation.
    (vii) Use of radar in maintaining situational awareness.
    (6) Radar Observer (Rivers: Renewal). Classroom instruction--
including demonstration and practical exercises using simulators--and 
examination, in the interpretation and analysis of radar information, 
including:
    (i) Radar navigation (including visual techniques)-- determining 
positions, and detecting changes in the relative motion, of other 
vessels.
    (ii) Collision-avoidance, including visual techniques, appropriate 
to the circumstances and the equipment in use.
    (iii) Applying the Navigational Rules, and other factors to 
consider when determining changes of course or speed of a vessel to 
prevent collisions on the basis of radar observation.
    (iv) Use of radar in maintaining situational awareness.
    3. Section 10.306 is revised to read as follows:


Sec. 10.306  Radar-Operation course and certificate.

    (a) A certificate of training from a Radar-Operation course may, as 
provided by 46 CFR 15.815(c)(2), suffice instead of a Radar-Observer 
endorsement. It is valid until the holder's license is renewed or 
upgraded, or expires, whichever occurs first.
    (b) Each Radar-Operation course must contain at least 4 hours of 
instruction on the following subjects:
    (1) Fundamentals of radar:
    (i) How radar works.
    (ii) Factors affecting the performance and accuracy of marine 
radar.
    (iii) Purpose and functions of the main components that constitute 
a typical marine-radar system.
    (2) Operation and use of radar:
    (i) Purpose and adjustment of controls.
    (ii) Detection of malfunctions, false and indirect echoes, and 
other radar phenomena.
    (iii) Effects of sea return, weather, and other environmental 
conditions.
    (iv) Limitations of radar resulting from design factors.
    (v) Safety precautions associated with use and maintenance of 
marine radar.
    (vi) Measurement of ranges and bearings.
    (vii) Effect of size, shape, composition, and distance of vessels 
and terrestrial targets on echo.
    (3) Interpretation and analysis of radar information:
    (i) Radar navigation--determining the position and direction of 
movements of a vessel.
    (ii) Collision-avoidance, including visual techniques, appropriate 
to the circumstances and the equipment in use.
    (iii) Applying the Navigational Rules, Chapters 30 and 34 of Title 
33 U.S. Code [Commandant Instruction M16672.2C or equivalent, as 
amended], and other factors to consider when determining changes of 
course or speed of a vessel to prevent collisions on the basis of radar 
observation.
    (c) Each Radar-Operation course must be conducted by a person who 
possesses

[[Page 11305]]

the knowledge and skills taught in the course, with at least one year 
of experience in their practical application, except that--
    (1) A marine instructor or company official may substitute a 
currently valid certificate from an approved Radar-Observer course 
(Unlimited, or Inland Waters and GIWW) for the one year of experience; 
and
    (2) An instructor of any approved Radar-Observer course may teach a 
Radar-Operation course without further seagoing experience.
    (d) When a holder of the Radar-Operation certificate seeks a Radar-
Observer endorsement, he or she is an applicant for an original 
endorsement rather than for renewal of an endorsement.
    4. Section 10.480 is revised to read as follows:


Sec. 10.480  Radar observer.

    (a) This section contains the requirements that an applicant must 
meet to qualify as a radar observer. (Part 15 of this chapter specifies 
who must qualify as a radar observer.)
    (b) If an applicant meets the requirements of this section, one of 
the following Radar-Observer endorsements will be added to his or her 
deck officer's license:
    (1) Radar Observer (Unlimited).
    (2) Radar Observer (Inland Waters and GIWW).
    (3) Radar Observer (Rivers).
    (c) Endorsement as Radar Observer (Unlimited) is valid on all 
waters. Endorsement as Radar Observer (Inland Waters and GIWW) is valid 
only for those waters other than the Great Lakes covered by the Inland 
Navigational Rules. Endorsement as Radar Observer (Rivers) is valid 
only on any river, canal, or similar body of water designated by the 
OCMI, but not beyond the boundary line.
    (d) Except as provided by paragraphs (e) and (f) of this section, 
each applicant for a Radar-Observer endorsement or for renewal of an 
endorsement must complete the appropriate course approved by the Coast 
Guard, receive the appropriate certificate of training, and present the 
certificate to the OCMI.
    (e) An applicant who possesses a Radar-Observer endorsement, 
resides in a remote geographic area, and can substantiate to the 
satisfaction of the OCMI that the applicant's absence will disrupt 
normal movement of commerce, or that the applicant cannot attend an 
approved Radar-Observer renewal course, may have his or her endorsement 
renewed upon successful completion of an examination administered by 
the Coast Guard, or by a third party acceptable to the Coast Guard.
    (f) Except as provided by paragraph (k) of this section, a Radar-
Observer endorsement issued under this section is valid for 5 years 
after the month of issuance of the certificate of training from a 
course approved by the Coast Guard. It is not terminated by the 
issuance of a new license during these 5 years.
    (g) The month and year of the expiration of the Radar-Observer 
endorsement are printed on the license.
    (h) A Radar-Observer endorsement may be renewed at any time.
    (i) An applicant for renewal of a license that does not need a 
Radar-Observer endorsement may renew the license without meeting the 
requirements for the endorsement.
    (j) An applicant seeking to raise the grade of a license or 
increase its scope, where the increased grade or scope requires a 
Radar-Observer certificate, may use an expired certificate to fulfill 
that requirement.
    (k) The renewal date of a Radar-Observer endorsement may be 
extended beyond the normal 5-year duration to coincide with the renewal 
date of the license to which it pertains. This extension may not exceed 
2 years and will be necessary only once, to synchronize the two renewal 
dates.

    Dated: March 3, 1997.
J. C. Card,
Rear Admiral, U.S. Coast Guard, Assistant Commandant for Marine Safety 
and Environmental Protection.
[FR Doc. 97-5987 Filed 3-10-97; 8:45 am]
BILLING CODE 4910-14-P