[Federal Register Volume 65, Number 116 (Thursday, June 15, 2000)]
[Proposed Rules]
[Pages 37507-37513]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-15056]


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DEPARTMENT OF TRANSPORTATION

Coast Guard

46 CFR Parts 10, 12, and 15

[USCG 1999-5610]
RIN 2115-AF83


Training and Certification for Mariners Serving on Certain Ships 
Carrying More Than 12 Passengers on International Voyages

AGENCY: Coast Guard, DOT.

ACTION: Notice of proposed rulemaking.

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SUMMARY: The Coast Guard proposes to establish requirements of training 
and certification for mariners serving on ships--other than roll-on/
roll-off (Ro-Ro) ships, covered by another rule--carrying more than 12 
passengers on international voyages. (These requirements would not 
apply to any passenger ships on domestic voyages.) Regulation V/3 of 
the International Convention for Standards of Training, Certification 
and Watchkeeping for Seafarers, 1978 (STCW), as amended in 1997, 
mandated that its Parties ensure this training and certification. This 
rule would reduce human error, improve the ability of crewmembers to 
assist passengers during emergencies, and promote safety.

DATES: Comments and related material must reach the Facility of the 
Docket Management System, or DMS (see Addresses), on or before 
September 13, 2000. Comments sent to the Office of Management and 
Budget (OMB) (see Addresses), on collection of information must reach 
OMB on or before August 14, 2000.

ADDRESSES: You may submit your comments and related material by any 
one, but only one, of the following methods:
    (1) By mail to the DMS [USCG 1999-5610], U.S. Department of 
Transportation (DOT), room PL-401, 400 Seventh Street SW., Washington, 
DC 20590-0001.
    (2) In person to the DMS at room PL-401 on the Plaza level of the 
Nassif Building, 400 Seventh Street SW., Washington, DC, between 9 a.m. 
and 5 p.m., Monday through Friday, except Federal holidays. The 
telephone number is 202-366-9329.
    (3) By fax to the DMS at 202-493-2251.
    (4) Electronically through the Web Site for the DMS at http://dms.dot.gov.
    If you submit comments on collection of information to the docket, 
you must also submit them to the Office of Information and Regulatory 
Affairs, OMB, 725 17th Street NW., Washington, DC 20503, ATTN: Desk 
Officer, U.S. Coast Guard.
    The DMS maintains the public docket for this rulemaking. Comments 
and material received from the public, as well as documents mentioned 
in this preamble as being available in the docket, will become part of 
this docket and will be available for inspection or copying at room PL-
401 on the Plaza level of the Nassif Building, 400 Seventh Street SW., 
Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday, 
except Federal holidays. You may also find this docket on the Internet 
at http://dms.dot.gov.
    You may inspect the material proposed for incorporation by 
reference at room 1210, U.S. Coast Guard

[[Page 37508]]

Headquarters, 2100 Second Street SW., Washington, DC 20593-0001, 
between 9 a.m. and 2:30 p.m., Monday through Friday, except Federal 
holidays. The telephone number is 202-267-0229. Copies of the material 
are available as indicated in the section of this preamble entitled 
Incorporation by Reference.

FOR FURTHER INFORMATION CONTACT: For questions about this proposed 
rule, call Mark Gould, Project Manager, Commandant (G-MSO-1), Coast 
Guard, telephone 202-267-0229. For questions on viewing or submitting 
material to the docket, call Dorothy Beard, Chief of Dockets, 
Department of Transportation, telephone 202-366-9329.

SUPPLEMENTARY INFORMATION:

Request for Comments

    The Coast Guard encourages you to participate in this rulemaking by 
submitting comments and related material. If you do so, please include 
your name and address, identify the docket number for this rulemaking 
[USCG 1999-5610], indicate the specific section of this document to 
which each comment applies, and give the reason for each comment. You 
may submit your comments and material by mail, in person, by fax, or by 
electronic means to the DMS at the address under ADDRESSES; but please 
submit them by only one means. If you submit them by mail or in person, 
submit them in an unbound format, no larger than 8\1/2\ by 11 inches, 
suitable for copying and electronic filing. If you submit them by mail 
and would like to know they reached the DMS, please enclose a stamped, 
self-addressed postcard or envelope.
    We will consider all comments and material received during the 
comment period. We may change this proposed rule in view of them.

Public Meeting

    We do not plan to hold a public meeting. But you may ask for one by 
submitting a request to the DMS at the address under ADDRESSES 
explaining why one would be beneficial. If we determine that one would 
be, we will hold one at a time and place announced by a later notice in 
the Federal Register.

Background and Purpose

    The International Maritime Organization (IMO), in Regulation V/3 of 
STCW, as amended, set qualifications for masters, other officers, 
ratings and other personnel on passenger ships other than Ro-Ro 
passenger ships. The following is a chronology of important events 
regarding STCW:
     The basic treaty was adopted in 1978 by a conference at 
the headquarters of IMO.
     It entered into force in 1984.
     The United States became a Party to it in 1991.
     The basic treaty was amended in 1995 and 1997.
     Its Regulation V/3 was adopted in 1997 and entered into 
force on January 1, 1999.
    STCW encompasses three interdependent components: the Articles, the 
Annex (replaced with Regulations by the 1995 Amendments), and the Code 
(added by the 1995 Amendments). The Articles, which are the heart of 
STCW, state the legal arrangements that prevail among the Parties. The 
Annex outlined--and the Regulations outline--the technical requirements 
that a Party must meet to satisfy the obligations imposed by the 
Articles. The Code elaborates the requirements.
    When adopted in 1978, STCW encompassed only two components: the 
Articles and the Annex. The 1995 Amendments, however, not only replaced 
the Annex with Regulations but added the Code (in full, the 
``Seafarers'' Training and Certification Code''). Each chapter of the 
Annex (as replaced with Regulations by the Amendments) contains a 
number of Regulations. These refer to the Code for more detail: to 
understand what a particular Regulation requires, you must read the 
relevant section of the Code.
    The Code contains two parts; each part in turn contains standards. 
Part A contains mandatory standards. Each section in part A amplifies 
the Regulation with the same number, and the standards bind as if 
included in the Regulation itself. Part B of the Code contains 
``Recommended Guidance''. The guidance in part B clarifies a Regulation 
or promotes a uniform interpretation of one.
    STCW as amended has been ratified by 133 Parties (at the time of 
this publication), who represent almost 98 percent of the world's 
merchant-shipping tonnage. Over 90 percent of merchant ships plying 
U.S. waters are foreign-flag. About 350 U.S.-flag merchant ships that 
routinely visit foreign ports, as well as thousands of ships that 
operate on ocean or near-coastal voyages, are subject to the STCW, as 
amended.
    The purpose of this proposed rule is to incorporate, into domestic 
rules, the training and certification that the STCW, as amended, 
mandates internationally. This rule would amend requirements for the 
training and certification of certain crewmembers on ships, other than 
Ro-Ro's, carrying more than 12 passengers on international voyages. It 
would have no impact on the applicability or content of the final rule 
in 46 CFR part 10, subpart J, part 12, subpart 12.30, and part 15, 
subpart J [62 FR 34505 (26 June 1997)], which dealt with certain 
crewmembers on Ro-Ro ships carrying more than 12 passengers on such 
voyages. It would merely establish appropriate training and 
documentation for certain crewmembers on all other ships carrying more 
than 12 passengers on such voyages.
    STCW Regulation V/3 applies to passenger ships (``vessels'' under 
most domestic law) on international voyages. It also expressly 
obligates Administrations to determine the applicability of its 
requirements to personnel serving on ships engaged on domestic voyages. 
The Coast Guard has determined that neither the operational 
requirements nor the casualty records suggest any need to impose those 
requirements either on small passenger ships on domestic voyages or on 
uninspected passenger ships on such voyages. Current domestic law and 
industry practices are adequate for these ships and voyages. Therefore, 
this Notice proposes no new requirements for either of these classes of 
ships when operating on domestic voyages, nor on personnel serving on 
these ships, nor on their owners or operators.
    The Coast Guard seeks comments on whether these proposed 
requirements should apply to any U.S.-flag passenger ships inspected 
under 46 CFR Subchapter H and operating on domestic voyages. To comment 
on this issue or any other in this proposed rule, you should use one of 
the means noted under ADDRESSES.
    In 1993, IMO started a comprehensive revision of the basic treaty 
to establish the highest practicable standards of competence for 
mariners and to reduce human error as a main cause of marine 
casualties. In 1995, its conference on the basic STCW treaty adopted 
amendments found in Regulation V/2. These established new, minimal 
standards for the training and qualification of certain crewmembers on 
Ro-Ro ships carrying more than 12 passengers on international voyages. 
These amendments entered into force on February 1, 1997. The same 
conference invited the IMO to--
    (a) Develop detailed provisions on the training of certain 
crewmembers, on Ro-Ro passenger ships carrying more than 12 passengers 
on international voyages, in crisis management and human behavior; and
    (b) Consider developing provisions similar to those in Regulation 
V/2--but,

[[Page 37509]]

rather than for certain crewmembers of Ro-Ro passenger ships, these 
would be for the training of certain crewmembers serving on ships, 
other than Ro-Ro's, carrying more than 12 passengers on international 
voyages.
    In 1996, the Sub-committee of IMO on Standards of Training and 
Watchkeeping (STW) accepted this invitation. It proposed two 
provisions:
    (a) Mandatory training in crisis management and human behavior for 
certain crewmembers on Ro-Ro passenger ships carrying more than 12 
passengers on international voyages.
    (b) Establishing new, minimal standards for the training and 
qualification of certain crewmembers on ships, other than Ro-Ro's, 
carrying more than 12 passengers on such voyages, with the Ro-Ro 
standards from Regulation V/2 as a guide.
    On June 4, 1997, the IMO Maritime Safety Committee (MSC) adopted 
these two provisions as Regulation V/2-8 and Regulation V/3. Both 
entered into force on January 1, 1999.
    To align domestic rules and practice with the new international 
standards, we published the final rule in 46 CFR part 10, subpart J, 
part 12, subpart 12.30, and part 15, subpart J [62 FR 34505 (26 June 
1997)]. In 1998, to help mariners implement the new rules we published, 
in Navigation and Vessel Inspection Circular (NVIC) 6-98, guidelines on 
training and documentation for crewmembers of Ro-Ro ships carrying more 
than 12 passengers on international voyages.

Discussion of Proposed Rule

46 CFR Part 10--Licensing of Maritime Personnel

    1. Section 10.102 would incorporate by reference STCW (including 
its Regulation V/3, adopted in 1997, and the corresponding Code) into 
the rules in Part 10 and adjust the list of rules that refer to STCW, 
as amended.
    2. Section 10.103 would amend the definition of STCW to add the 
words ``and 1997''.
    3. New Secs. 10.1101, 10.1103, and 10.1105 would require certain 
licensed officers to complete training required by STCW Regulation V/3 
(and elaborated by Section A-V/3 of the Code) when serving on ships 
other than Ro-Ro's carrying more than 12 passengers on international 
voyages.

46 CFR Part 12--Certification of Seamen

    4. Section 12.01-3 would incorporate by reference STCW (including 
its Regulation V/3, adopted in 1997, and the corresponding Code) into 
the rules in Part 12 and adjust the list of rules that refer to STCW, 
as amended.
    5. Section Sec. 12.01-6 would amend the definition of STCW to add 
the words ``and 1997''.
    6. New subpart 12.35 would require certain mariners to complete 
training required by Regulation V/3 (and elaborated by section A-V/3 of 
the Code) when serving on ships other than Ro-Ro's carrying more than 
12 passengers on international voyages.

46 CFR Part 15--Manning

    7. Paragraphs (e), (f), and (g) of Sec. 15.1103 would become 
paragraphs (f), (g), and (h), respectively; paragraph (f) would undergo 
no change; and paragraphs (g) and (h) would undergo a slight editorial 
change.
    8. New paragraph 15.1103(e) would govern ships other than Ro-Ro's 
carrying more than 12 passengers on international voyages.

Incorporation by Reference

    Material that would be incorporated by reference is listed in 46 
CFR 10.102 and 12.01-3. You may inspect all material at the Office of 
the Federal Register, 800 North Capitol Street NW., Suite 700, 
Washington, DC, 20408, and at the U.S. Coast Guard, Office of Operating 
and Environmental Standards (G-MSO), 2100 Second Street SW., 
Washington, DC 20593-0001. You may obtain copies from the IMO, 4 Albert 
Embankment, London, SE1 7SR, England. Before publishing a binding rule, 
we will submit this material to the Director of the Federal Register 
for approval of the incorporation by reference.

Regulatory Evaluation

    This proposed 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. OMB has not reviewed it under that Order. It is not 
``significant'' under the regulatory policies and procedures of the DOT 
[44 FR 11040 (February 26, 1979)].
    A draft Regulatory Evaluation under paragraph 10e of the regulatory 
policies and procedures of DOT follows:
    The Coast Guard proposes this rule to implement Regulation V/3 of 
STCW, as amended in 1997. The rule would specify the necessary training 
and certification for mariners serving on ships--other than roll-on/
roll-off (Ro-Ro) ships--carrying more than 12 passengers on 
international voyages (Ro-Ro ships are covered by the Interim Rule on 
STCW [CGD 95-062, June 26, 1997]). The IMO mandated that its Parties 
ensure this training and certification. These requirements should 
reduce human error, improve the ability of crewmembers to assist 
passengers during emergencies, and promote safety.

Costs

    The specialized training course(s) that mariners would have to 
complete are: Crisis Management and Human Behavior, Crowd Management, 
Special Safety Training (including communication), Training in 
Passengers' Safety, and Special Familiarization Training (including the 
operational limitations of the ship). The average cost for the 
course(s), held for 5 days at various training institutions, is $1,215 
per person. We estimate that the cost to develop an in-house training 
course would not exceed the probable cost of a course at a training 
institution. Either operators of vessels or companies may develop a 
more cost-effective way to provide in-house training (for less than the 
cost we estimated). We calculate first-year training cost for 1,144 
mariners to be $1,389,960. Union contracts may require some companies 
to pay for training new hires. We estimate the annual training cost 
paid by the companies for the new hires to be $20,655 beginning in 2001 
and running through 2010. We estimate the annual training cost paid by 
the new hires themselves after the implementation year to be $117,855. 
A mariner would have to complete refresher training for Crisis 
Management and Human Behavior, Crowd Management, and Special Safety 
every five years. It is available as a two-day course at an estimated 
cost of $330. We estimate the first-year travel cost incurred by all 
mariners that receive training away from the vessel at $406,850. We 
estimate the annual travel cost for the new hires to be $45,030. We 
estimate that about one-half of the existing staff of mariners 
receiving training away from their vessel would continue to receive 
their wages while attending courses, as a result of their union 
membership. We calculate the one-time wage cost to be $370,310. We 
estimate the annual recurring wage cost associated with the refresher 
training to be $183,034. We estimate the one-time cost incurred by the 
remaining number (one-half) of existing staff of mariners that don't 
receive wages while attending initial training courses to be $370,310; 
this is the ``opportunity cost'' of the mariners' spare time.
    In summary, the 10-year present value (in 2000 dollars) of the 
total cost of this rulemaking is $4,345,794. To learn further details 
concerning the costs associated with this rule, as well as the

[[Page 37510]]

potential benefits, see the analysis provided in the docket for this 
rule on the Internet at http://dms.dot.gov.

Benefits

    Implementing this proposed rule would ensure that U.S. ships 
carrying more than 12 passengers on international routes are in 
compliance with the Amendments to the International Convention on STCW, 
1978. IMO adopted the Amendments to STCW in response to a series of 
casualties involving passenger ships, such as the Scandinavian Star, 
Estonia, and Achille Lauro. During these casualties, the crews did not 
perform emergency duties in an efficient, coordinated, and effective 
manner. We reviewed the casualty records for the U.S. ships this rule 
would affect and found no cases that would have directly benefited from 
this rule. However, the following narratives briefly describe two of 
those foreign-flag ships' casualties, to show the types of risks this 
rule would address.
    On March 15, 1988, a fire occurred in the engine room of the 
Scandinavian Star. Two crewmembers were injured, and two passengers 
were transported to a medical facility by helicopter, treated, and 
released. Costs of damage and repair came to about $3.5M. According to 
an excerpt from the marine-accident report of the National 
Transportation Safety Board, one of the passengers stated that one of 
the crewmembers did not know how to pull the fire alarm; the passengers 
waited from 45 minutes to 2 hours to receive lifejackets, and then were 
given childsize lifejackets.
    On November 30, 1994, a fire onboard the Achille Lauro proved more 
costly; it left two persons dead, and 8 injured. Afterward, many of the 
survivors complained of confusion and a lack of leadership by the crew 
when the fire broke out. They accused some crewmembers of abandoning 
elderly passengers to save themselves.
    While the requirement for all crewmembers to have familiarization 
or basic safety training or instruction figured in the 1995 amendments 
to STCW, the amendments did not adequately address the need for special 
training of personnel on passenger ships. Further work was necessary at 
the IMO to reach agreement on the mandatory minimum training and 
qualifications for these personnel.
    Implementing this proposed rule should reduce the risk that 
passengers will be injured in a fire or other emergency on a passenger 
ship, because crewmembers would be trained to coordinate a rapid 
response and to keep passengers from panicking. Recent accidents 
involving passenger ships--such as the fire on the Universe Explorer 
(July '96) near Juneau, Alaska; the fire on the Vistafjord (April '97) 
near Grand Bahama Island; the grounding of the Monarch of the Seas 
(December '98) off St. Maarten; and the grounding of the Wilderness 
Adventurer (June '99) in Alaskan waters--highlight the continued need 
for this rule.

Small Entities

    Under the Regulatory Flexibility Act [5 U.S.C. 601-612], we 
considered whether this proposed rule would have a significant economic 
impact on a substantial number of small entities. Small entities 
include small businesses, not-for-profit organizations that are 
independently owned and operated and are not dominant in their fields, 
and governmental jurisdictions with populations of less than 50,000.
    This proposed rule would affect certain crewmembers on ships 
carrying more than 12 passengers on international voyages. These 
individual mariners are not considered small entities.
    This rule would not require companies to bear the cost of the 
training. However, we estimate that the companies would choose to bear 
the majority of the costs.
    During the analysis for the interim rule implementing 1995 
Amendments to STCW, we considered the impact on businesses, 
organizations, and jurisdictions defined as small entities and 
potentially affected by STCW. Small entities here include owners and 
operators of some STCW-affected ships, training institutions, and 
businesses offering marine training courses or supplying assessors or 
examiners. As that interim rule does not, this rule would not require 
any single business to offer or assess all courses required under STCW. 
Training institutions or businesses that offered training-course 
assessors would not have to provide new services. This rule would allow 
for small entities to remain in and actively compete in maritime 
training with options to teach and assess as many courses or functions 
as they choose.
    Therefore, the Coast Guard certifies under 5 U.S.C. 605(b) that 
this proposed rule would not have a significant impact on a substantial 
number of small entities.

Assistance for Small Entities

    Under section 213(a) of the Small Business Regulatory Enforcement 
Fairness Act of 1996 [Pub. L. 104-121], we want to assist small 
entities in understanding this proposed rule so that they can better 
evaluate its effects on them and participate in the rulemaking. If the 
rule would affect your small business, organization, or governmental 
jurisdiction and you have questions concerning its provisions or 
options for compliance, please consult Mr. Mark Gould, project manager, 
at (202) 267-6890. Small businesses may send comments on the actions of 
Federal employees who enforce, or otherwise determine compliance with, 
Federal rules, to the Small Business and Agriculture Regulatory 
Enforcement Ombudsman and to the Regional Small Business Regulatory 
Fairness Boards. The Ombudsman evaluates these actions annually and 
rates each agency's responsiveness to small business. If you wish to 
comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR 
(1-888-734-3247).

Collection of Information

    This proposed rule provides for a collection of information under 
the Paperwork Reduction Act of 1995 [44 U.S.C. 3501-3520]. As defined 
in 5 CFR 1320.3(c), ``collection of information'' comprises reporting, 
recordkeeping, monitoring, posting, labeling, and other similar 
actions. The title and description of the information collections, a 
description of the respondents, and an estimate of the total annual 
burden follow. The estimate covers the time for the following 
requirements of the proposed rule: documentation of curriculum for 
training courses that need to receive Coast Guard approval or 
acceptance; documentary evidence showing that mariners meet the 
appropriate training standards; and maintenance of mariners' records by 
ship owners or operators. Each estimated burden in this analysis 
pertains only to the requirements proposed by this rule; we do not 
incorporate the estimates or burdens noted in previous rulemakings to 
support the existing collection under control number ``OMB 2115-0624.''
    Title: Standards of Training, Certification and Watchkeeping for 
Seafarers (STCW), 1997 Amendments (OMB 2115-0624)

Summary of the Collection of Information

    STCW Regulation V/3 requires seafarers serving on ships (other than 
Ro-Ro's) carrying more than 12 passengers on international voyages to 
complete specialized training as adopted by IMO in 1997. These changes 
revise the previously approved OMB Collection 2115-0624. This 
collection of information would be affected by changes in the following 
sections: 46 CFR 10.1105, 12.35-5, and 15.1103.

[[Page 37511]]

Table 1 notes the particular subjects and affected populations for 
these sections of the proposed rule and the related Navigation and 
Vessel Inspection Circular (NVIC).

 Table 1.--STCW Amendments, 1997: 46 CFR or NVIC cited, and Subject and
                           Affected Population
------------------------------------------------------------------------
             46 CFR or NVIC              Subject and affected population
------------------------------------------------------------------------
NVIC 4-99 (4)(c).......................  Documentation of training
                                          courses
                                         --Providers of Training and
                                          Assessment
10.1105 and 12.35-5....................  Documentary evidence showing
                                          that the personnel serving on
                                          passenger ships (other than Ro-
                                          Ro's) on international voyages
                                          meet appropriate training
                                         --All personnel serving on
                                          passenger ships (other than Ro-
                                          Ro's)
15.1103................................  Maintenance of records, by
                                          owner or operator, for the
                                          personnel serving on passenger
                                          ships (other than Ro-Ro's) on
                                          international voyages
                                         --All owners and operators of
                                          passenger ships (other than Ro-
                                          Ro's) operating on
                                          international voyages
------------------------------------------------------------------------

Need for Information

    This proposed rule contains burdens for the mariners serving on 
passenger ships (other than Ro-Ro's), the ships' owners and operators, 
and the maritime institutions that offer the new training courses.
    1. Documentation of curriculum for training courses. All training 
would be part of a program certified as approved or accepted by the 
Coast Guard.
    2. Documentary evidence showing that mariners meet the appropriate 
training standards. STCW Regulation V3.9 requires that: Each mariner 
who completes the required training receives a certificate. Every five 
years, each mariner would document completion of a refresher course in 
his or her record, and it would show that the mariner has received such 
training, or has otherwise maintained competence in the required areas 
of knowledge and proficiency. He or she needs to give the copy of the 
training certificate to the Coast Guard for filing it in an accessible 
place, so the Coast Guard can verify the mariner's records for the 
duration of his or her employment. The burden imposed by documenting 
the refresher training does not figure in this estimate, because 
mariners would account for it starting in the year 2005, when these 
courses would need to start convening.
    3. Maintenance of mariners' records by vessel owners or operators. 
A ship company would have to maintain a record for each mariner in its 
service for the duration of the mariner's employment.

Proposed Use of Information

    This information is necessary to ensure compliance with the 
requirements of Regulation V/3 of STCW as amended in 1997. It is also 
necessary to maintain a certain level of quality in activities 
associated with training and assessment of mariners serving on ships, 
other than Ro-Ro's, carrying more than 12 passengers on international 
voyages.

Description of Respondents

    1. Training institutions that offer the courses required for 
mariners serving on ships, other than Ro-Ro's, carrying more than 12 
passengers on international voyages.
    2. Mariners who complete the required training and receive 
certificates.
    3. Owners and operators of ships who have to add the new training 
certificates to the mariners' records.

Number of Respondents

    1. 77 training institutions.
    2. 1,144 mariners, who would each obtain a training certificate in 
the first year. In every subsequent year, from 2001 to 2010, about 10 
percent (114 mariners) would be replaced with new hires, who would need 
training.
    3. 89 owners and operators of vessels.

Frequency of Response

    1. Once during the first year, the Coast Guard would approve or 
accept an initial submission of the updated paperwork of training.
    2. Once during the first year, each mariner would file the training 
certificate in an easily accessible location. Annually, from 2001 to 
2010, the new hires, who would have received training, would file the 
certificate in such a location, so the Coast Guard could verify the 
mariner's records for the duration of the his or her employment. Also, 
at first, the owners and operators of vessels would have to initially 
add the new training certificates of the existing staff of mariners 
that received training to the mariners' previous records. Annually, 
from 2001 to 2010, the owners and operators would have to add the 
certificates of the new hires to these mariners' previous records.

Burden of Response

a. Initial burden (in hours):
    1. Documentation of training courses. We estimate that each 
training institution would take one hour to provide the Coast Guard 
with updated paperwork of training approved or accepted by the Coast 
Guard and offered to the mariners. Consequently, the associated burden 
for all of the affected training institutions is: 1 hour (management 
time)  x  77 = 77 hours.
    2. Documentary evidence that shows that mariners meet the 
appropriate training standards. We estimate that it takes 5 minutes for 
the mariner to file this certificate in an easily accessible location. 
The initial burden placed on mariners is: 0.083 hours  x  1,144 = 95 
hours.
    3. Maintenance of mariners' records by owners or operators of 
vessels. We estimate that it takes 10 minutes to file each mariner's 
record in a place accessible to the Coast Guard.
    The initial burden placed on the owners and operators is:

0.166 hours  x  1,144 mariners = 190 hours
    The total initial burden therefore is:

    77 hours + 95 hours + 190 hours = 362 hours

    b. Annual burden (in hours):
    We assume that every year, from 2001 to 2010, about 10 percent (114 
mariners) would be replaced with new hires, who would need training. 
The burden placed on--

 The mariner = 0.083 hours  x  114 mariners = 10 hours
 The owners and operators = 0.166 hours  x  114 mariners = 19 
hours
The annual burden beginning in 2001 is: 10 hours + 19 hours = 29 hours

Estimate of Total Annual Burden

    a. The Initial Burden (in dollars)
    1. Documentation of training courses. The Coast Guard estimates the 
wage for a qualified professional at $30 per hour. The initial burden 
in dollars to the industry is: 77 hours (management time)  x  $30 = 
$2,310.
    2. Documentary evidence that shows that mariners meet the 
appropriate training standards. The Coast Guard estimates the wage of 
the mariners receiving training at $130 (determined as an average based 
on daily wage rates for licensed and unlicensed mariners in 1999, $200 
and $117, respectively). The initial burden to industry is: 95 hours 
x  $130 = $12,350.
    3. Maintenance of mariners' records by owners and operators. The 
Coast Guard estimates the wage for a qualified assessor at $75 per 
hour. The initial burden to industry is:


[[Page 37512]]


190 hours  x  $75 = $14,250

    Total initial burden in dollars is:

$2,310 + $12,350 + $14,250 = $28,910

    b. The annual burden (in dollars):
    The annual burden on the mariners, beginning in 2001 and continuing 
through 2010, is: 10 hours  x  $130 = $1,300.
    The Coast Guard estimates the wage for a qualified assessor at $75 
per hour. Beginning in year 2001, the annual burden placed on the 
owners and operators is: 19 hours  x  $75 = $1425.
    The total annual burden beginning in 2001 and continuing through 
2004 is: $1,300 + $1,425 = $2,725.

Federalism

    We have analyzed this proposed rule under Executive Order 13132, 
Federalism.
    It is well settled that States are precluded from regulating in 
categories that are reserved for regulation by the Coast Guard. It is 
also well settled, now, that all of the categories covered in 46 U.S.C. 
3306 and 3703(a), 7101, and 8101 (design, construction, alteration, 
repair, maintenance, operation, equipping, personnel qualification, and 
manning of vessels) are within the field foreclosed from State 
regulation. See the decision of the Supreme Court in the consolidated 
cases of United States v. Locke and Intertanko v. Locke, 120 S. Ct. 
1135 (1999) 2000 U.S. LEXIS 1895 (March 6, 2000). Thus, this rule falls 
into the above-mentioned categories, thereby precluding States from 
regulating. Because States may not promulgate rules within these 
categories, preemption is not an issue under E.O. 13132.

Unfunded Mandates Reform Act

    The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538) 
requires Federal agencies to assess the effects of their regulatory 
actions not specifically required by law. In particular, the Act 
addresses actions that may result in the expenditure by a State, local, 
or tribal government, in the aggregate, or by the private sector of 
$100,000,000 or more in any one year. While two States operate 
passenger vessels, entities in the private sector own and operate most 
of the vessels with mariners that would be affected by this rule. More 
important, the total burden of Federal mandates that would be imposed 
by this rule would not exceed $5 million (during the first 10 years 
after the effective date of the rule). Therefore, this rule would not 
impose an unfunded mandate. Though this proposed rule would not result 
in a $100,000,000 expenditure, we do discuss the effects of this rule 
elsewhere in this preamble.

Taking of Private Property

    This proposed rule would not effect a taking of private property or 
otherwise have implications for taking under E.O. 12630, Governmental 
Actions and Interference with Constitutionally Protected Property 
Rights.

Civil Justice Reform

    This proposed rule would meet applicable standards in sections 3(a) 
and 3(b)(2) of E.O. 12988, Civil Justice Reform, to minimize 
litigation, eliminate ambiguity, and reduce burden.

Protection of Children

    We have analyzed this proposed rule under E.O. 13045, Protection of 
Children from Environmental Health Risks and Safety Risks. This rule 
would not be an economically significant rule and would not concern an 
environmental risk to health or risk to safety that may 
disproportionately affect children.

Environment

    We have considered the environmental impact of this proposed rule 
and concluded that under figure 2-1, paragraph (34)(c), of Commandant 
Instruction M16475.lC, this rule is categorically excluded from further 
environmental documentation. This rule would not result in any 
significant cumulative impact on the human environment; any substantial 
controversy or substantial change to existing environmental conditions; 
any impact, which is more than minimal, on properties protected under 
4(f) of the DOT Act, as superseded by Public Law 97-449 and Section 106 
of the National Historic Preservation Act; or any inconsistencies with 
any Federal, State, or local laws or administrative determinations 
relating to the environment. A Determination of Categorical Exclusion 
is available in the docket where indicated under ADDRESSES.

List of Subjects

46 CFR Part 10 

    Incorporation by reference, Marine safety, Seamen, Vessels.

46 CFR Part 12 

    Incorporation by reference, Marine safety, Seamen, Vessels.

46 CFR Part 15 

    Incorporation by reference, Marine safety, Navigation (water), 
Seamen, Vessel manning, Vessels.

    For the reasons set out in the preamble, the Coast Guard proposes 
to amend 46 CFR parts 10, 12, and 15 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, 2110; 46 U.S.C. 
Chapter 71; 46 U.S.C. 7502, 7505, 7701; 49 CFR 1.45, 1.46; Sec. 
10.107 also issued under the authority of 44 U.S.C. 3507.

    2. Revise paragraph (b) of Sec. 10.102 to read as follows:


Sec. 10.102  Incorporation by reference.

* * * * *
    (b) The material incorporated by reference in this part and the 
sections affected are as follows: International Maritime Organization 
(IMO)-4 Albert Embankment, London, SE1 7SR, England.
    STCW--International Convention on Standards of Training, 
Certification and Watchkeeping for Seafarers, 1978, as amended in 1995 
and 1997 (STCW Convention, or STCW)--and Seafarers' Training, 
Certification and Watchkeeping Code (STCW Code): 10.103; 10.205; 
10.304; 10.603; 10.901; 10.903; 10.1005; 10.1103.


Sec. 10.103  [Amended]

    3. In Sec. 10.103, to the definition of ``STCW,'' immediately 
following the words ``as amended in 1995'', add the words ``and 1997''.
    4. Add Subpart K, consisting of Secs. 10.1101 through 10.1105, to 
read as follows:

Subpart K--Officers on Passenger Ships other than Ro-Ro's


Sec. 10.1101  Purpose of rules.

    The rules in this subpart establish requirements for officers 
serving on passenger ships as defined in Sec. 10.1103.


Sec. 10.1103  Definitions.

    Passenger ship in this subpart means a ship, other than a Ro-Ro, 
which carries more than 12 passengers on an international voyage.


Sec. 10.1105  General requirements for license-holders.

    If you are licensed as a master, mate, chief mate, engineer, or 
chief engineer, then, before you can serve on a passenger ship, you 
must--
    (a) Meet the appropriate requirements of STCW Regulation V/3 and of 
section A-V/3 of the STCW Code; and
    (b) Hold documentary evidence to show that you meet these 
requirements.

[[Page 37513]]

PART 12--CERTIFICATION OF SEAMEN

    5. The authority citation for part 12 continues to read as follows:

    Authority: 31 U.S.C. 9701; 46 U.S.C. 2101, 2103, 2110, 7301, 
7302, 7503, 7505, 7701; 49 CFR 1.46.


Sec. 12.01-3  [Amended]

    6. Revise Sec. 12.01-3 to read as follows:


Sec. 12.01-3  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register under 5 
U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that 
specified in paragraph (b) of this section, the Coast Guard must 
publish notice of change in the Federal Register and must ensure that 
the material is available to the public. All approved material is 
available for inspection at the Office of the Federal Register, 800 
North Capitol Street NW., suite 700, Washington, DC, and at the U. S. 
Coast Guard, Office of Operating and Environmental Standards, room 
1210, 2100 Second Street SW., Washington, DC, and is available from the 
sources indicated in paragraph (b) of this section.
    (b) The material approved for incorporation by reference in this 
part, and the sections affected, are as follows:

International Maritime Organization (IMO)

    4 Albert Embankment, London, SE1 7SR, England. STCW--International 
Convention on Standards of Training, Certification and Watchkeeping for 
Seafarers, 1978, as amended in 1995 and 1997 (STCW Convention, or 
STCW)--and Seafarers' Training, Certification and Watchkeeping Code 
(STCW Code): 12.01-1; 12.01-6; 12.02-7; 12.02-11; 12.05-3; 12.05-7; 
12.05-11; 12.10-3; 12.10-5; 12.10-7; 12.10-9; 12.10-11; 12.15-3; 12.15-
7; 12.25-45; 12.30-5; 12.35-5.


Sec. 12.01-6  [Amended]

    7. In Sec. 12.01-6, to the definition of ``STCW,'' immediately 
following the words ``as amended in 1995'', add the words ``and 1997''.
    8. Add new subpart 12.35, consisting of Secs. 12.35-1 through 
12.35-5, to read as follows:

Subpart 12.35--Crewmembers of Ships, Other Than Ro-Ro's, Carrying 
More Than 12 Passengers on International Voyages

Sec.
12.35-1   Purpose of rules.
12.35-3   Definition.
12.35-5   General requirements.


Sec. 12.35-1  Purpose of rules.

    The rules in this subpart establish requirements for certification 
of seamen serving on passenger ships as defined in Sec. 12.35-3.


Sec. 12.35-3  Definition.

    Passenger ship in this subpart means a ship, other than a Ro-Ro, 
which carries more than 12 passengers on an international voyage.


Sec. 12.35-5  General requirements.

    To serve on a passenger ship and perform duties that involve safety 
or care for passengers, a person holding a merchant mariner's document 
must--
    (a) Meet the appropriate requirements of STCW Regulation V/3 and of 
section A-V/3 of the STCW Code; and
    (b) Hold documentary evidence to show that he or she does meet 
them.

PART 15--MANNING REQUIREMENTS

    9. The authority citation for part 15 continues to read as follows:

    Authority: 46 U.S.C. 2101, 2103, 3306, 3703, 8101, 8102, 8104, 
8105, 8301, 8304, 8502, 8503, 8701, 8702, 8901, 8902, 8903, 8904, 
8905(b), 9102; 49 CFR 1.45 and 1.46.

    10. Redesignate paragraphs (e), (f), and (g) of Sec. 15.1103 as 
paragraphs (f), (g), and (h), respectively; add a new paragraph (e) to 
read as follows; and revise newly redesignated paragraphs (g) and (h) 
to read as follows:


Sec. 15.1103  Employment and service within restrictions of license, 
document, and STCW endorsement.

* * * * *
    (e) If you are a crewmember on board a vessel (that is not a Ro-Ro) 
carrying more than 12 passengers on international voyages, you must 
hold documentary evidence to show you meet the requirements of 
Sec. 10.1105 (if licensed) or


Sec. 12.35-5  (if unlicensed) of this chapter.

* * * * *
    (g) On board a seagoing vessel required to comply with provisions 
of the GMDSS in Chapter IV of SOLAS, no person may employ or engage any 
person to serve, and no person may serve, as the person designated to 
maintain GMDSS equipment at sea, when the service of a person so 
designated is used to meet the maintenance requirements of SOLAS 
Regulation IV/15, which allows for capability of at-sea electronic 
maintenance to ensure that radio equipment is available for radio 
communication, unless the person so serving holds documentary evidence 
that he or she is competent to maintain GMDSS equipment at sea.
    (h) After January 31, 2002, on board a seagoing vessel fitted with 
an Automatic Radar Plotting Aid (ARPA), no person may employ or engage 
any person to serve, and no person may serve, as the master, chief 
mate, or officer of the navigational watch, unless the person so 
serving has been trained in the use of ARPA in accordance with 
Sec. 10.205 or Sec. 10.209 of this chapter, whichever is appropriate.

    Dated: June 8, 2000.
Joseph J. Angelo,
Acting Assistant Commandant for Marine Safety and Environmental 
Protection.
[FR Doc. 00-15056 Filed 6-14-00; 8:45 am]
BILLING CODE 4910-15-P