Great Lakes Pilotage Modernization

SUPPLEMENTARY INFORMATION:

Table of Contents for Preamble

I. Abbreviations

II. Basis and Purpose

III. Background

IV. Discussion of Comments and Changes

V. Discussion of the Rule

VI. Regulatory Analyses

A. Regulatory Planning and Review

B. Small Entities

C. Assistance for Small Entities

D. Collection of Information

E. Federalism

F. Unfunded Mandates

G. Taking of Private Property

H. Civil Justice Reform

I. Protection of Children

J. Indian Tribal Governments

K. Energy Effects

L. Technical Standards

M. Environment

I. Abbreviations

The Act The Great Lakes Pilotage Act of 1960

CFR Code of Federal Regulations

DHS Department of Homeland Security

Director Director, Great Lakes Pilotage

Form CG-4509 Application for Registration as a United States Registered Pilot

FR Federal Register

GLPAC Great Lakes Pilotage Advisory Committee

GLPMS Great Lakes Pilotage Management System

GT Gross tonnage

ID Identification

MMC Merchant Mariner Credential

MOU Memorandum of Understanding

NPRM Notice of proposed rulemaking

NAICS North American Industry Classification System

OMB Office of Management and Budget

REC Regional Exam Center

§ Section

SME Subject matter expert

STCW Standards of Training, Certification, and Watchkeeping for Seafarers

TWIC Transportation Workers Identification Credential

U.S.C. United States Code

II. Basis and Purpose

The legal basis of this rulemaking is Title 46 of the United States Code (U.S.C.), Chapter 93, which requires each foreign vessel and each vessel of the United States operating “on register,” meaning United States vessels engaged in foreign trade, to use United States or Canadian Pilots while transiting the United States waters of the St. Lawrence Seaway and the Great Lakes system. For U.S. Great Lakes Pilots, 46 U.S.C. 9303(a) requires the Secretary to prescribe, by regulation, standards of competency to be met by each applicant for registration as a Great Lakes Pilot. Additionally, sections 9303(c) and (d) authorize the Secretary to prescribe regulations establishing the validity period of Great Lakes Pilot's registration and other conditions for service respectively. The Secretary's duties and authority under 46 U.S.C. Chapter 93 have been delegated to the Coast Guard.

The purpose of this final rule is to update the Great Lakes pilotage regulations in title 46 of the Code of Federal Regulations (CFR) parts 401 and 402 and part 10 of the Merchant Marine Officers and Seamen regulations to reflect the current pilotage terms and practices used by the Coast Guard and U.S. pilot association operations. We proposed these changes in a notice of proposed rulemaking (NPRM) for this final rule, published November 21, 2023 (88 FR 81294). While the regulations in the current CFR do not conflict with our current practices, they do not fully reflect the current Apprentice Pilot training requirements and titles for Pilot progression. Accordingly, the Coast Guard updates the current CFR as follows:

1. Redefines the different phases of Pilot registration, which generally follow this progression: “Applicant,” “Applicant Trainee,” “Apprentice Pilot,” “Limited Registration,” “Full Registration,” and “Temporary Registered Pilot”;

2. Adds “marine accident” to the definitions section to clarify a Pilot's reporting requirements;

3. Clarifies training benchmarks to ensure registration of qualified mariners and to help retain experienced U.S. Registered Pilots;

4. Aligns medical requirements and Radar Observer training requirements for U.S. Registered Pilots with the Merchant Mariner Credential (MMC) and manning regulations in 46 CFR parts 10-15;

5. Clarifies the pilotage billing dispute process with respect to when a vessel is and is not liable for charges; and

6. Removes outdated provisions, including dates and terms, from the Transportation Workers Identification Credential (TWIC), the foreign language requirements for navigation, the 1-year time limit for applicants to complete training, and other regulations that were written when both the Department of Commerce and the Coast Guard had regulatory authority over U.S. pilotages services.

In addition, this final rule capitalizes endorsements for uniformity in the regulations and corrects some terminology for gender neutrality.

The Coast Guard believes that the updated registration process in this rule ensures that regulations reflect current training practices, while keeping within the statutory mandate to prescribe standards of competency in 46 U.S.C. 9303(a). The updates also align with the program's goals of promoting competent, safe, efficient, and reliable pilotage service throughout the Great Lakes and St. Lawrence Seaway, promoting commerce, and protecting the marine environment.

III. Background

Chapter 93 of Title 46 of the U.S.C. establishes a system of compulsory pilotage on the Great Lakes, requiring that each vessel of the United States operating “on register,” meaning United States vessels engaged in any commercial activity, and all foreign vessels, use a United States or Canadian Registered Pilot when operating on the Great Lakes.

Great Lakes Pilots use in-depth local knowledge, seasoned navigational and ship handling expertise, and informed independent judgment to guide both U.S. and foreign oceangoing commercial vessels safely in and out of Great Lakes' ports and waterways. Congress made pilotage use compulsory in 1960, following the 1959 opening of the St. Lawrence Seaway that led to a surge in shipping traffic. To ensure navigational safety for this new class of ocean-going vessels operating on the Great Lakes, Congress enacted the Great Lakes Pilotage Act of 1960 (hereafter “the Act”).

The regulations for Pilot application and registration appear in 46 CFR parts 401 and 402. These regulations require that mariners applying for Pilot registration meet minimum requirements and qualifications and file an application form with the Director. While the Coast Guard is responsible for publishing an annual rule that sets pilotage rates, 46 CFR parts 401 and 402 have not been otherwise substantively updated since the early 1960s. As a result, these regulations are not in alignment with current practices by the Coast Guard and the pilotage industry operating on the Great Lakes.

In 2017, the Coast Guard asked the Great Lakes Pilotage Advisory Committee (GLPAC) to help the Coast Guard identify existing regulations, guidance, and collections of information (that fall within the scope of the Committee's charter) for possible repeal, replacement, or modernization. In March 2018, GLPAC made several unanimous recommendations to update or remove outdated regulatory requirements from 46 CFR parts 401 and 402. In a September 10, 2018, meeting, GLPAC also unanimously recommended that the Coast Guard explore deadlines for contesting pilotage service invoices in part 402. The GLPAC recommendations are strongly supported by the Pilots who provide the pilotage services, ports and cargo agents who rely on the pilotage services, and the shippers who pay for the pilotage services.

In addition, the Coast Guard has identified several other areas for revision. Ambiguities in regulatory text have caused confusion for Pilots regarding training and registration instructions. In this rulemaking, the Coast Guard clarifies the different phases of training and types of registrations for Pilots who work on the Great Lakes. This includes clarifying the differences between Temporary and Limited Registration, and which Pilots are eligible for those registrations.

This rule affects approximately 51 United States Registered Pilots, 9 Apprentice Pilots, and 3 Temporary Registered Pilots on the Great Lakes, as well as 3 district pilot associations, and the owners and operators of approximately 293 vessels opting to use those Pilots or statutorily required to use those Pilots.

IV. Discussion of Comments and Changes

The Coast Guard received four relevant comments on the proposed rule and made three changes from the proposed regulatory text as a result.

The first of these changes is to 46 CFR 401.420(c). Originally, this section relieved the owner of a vessel for liability for charges incurred during an interruption or detention caused by ice or weather, when the vessel Master and Pilot agreed that the interruption was necessary. One commenter sought guidance on the required mutual determination between the vessel Master and Pilot. The Coast Guard agrees that this language creates a point of friction that may cause issues on board. For that reason, we are removing the proposed language “as determined by the vessel Master and the United States Registered Pilot, Apprentice Pilot with Limited Registration, or Temporary Registered Pilot authorized to provide pilotage services to the vessel.” Pursuant to 46 U.S.C. 9302(a), in both designated and undesignated waters, the law provides that navigational decisions are always subject to the customary authority of the Master. As such, the decision to delay sailing should be made by the vessel Master with the advice of the United States Registered Pilot in consideration of all prevailing circumstances. We trust these experienced mariners to make the correct choice and do not want to insert ourselves in time-sensitive decisions on the bridge while a vessel is underway. As such, no joint agreement needs to be made or proved. This change thus also clarifies liability determinations under this paragraph, as the vessel Master's conclusion regarding the cause of the interruption is a critical factor for whether the exception to liability under 46 CFR 401.420(c) applies.

The second change from the proposed regulatory text is in 46 CFR 10.302(b). The existing language required that “Medical examinations for Great Lakes Pilots must be conducted by a licensed medical doctor in accordance with the physical exam requirements in 46 CFR 402.210” (emphasis added). The existing language of 46 CFR 402.210, in turn, reiterated the requirement that the examination be conducted by a licensed medical doctor. In the proposed rule, we discussed how only Great Lakes Pilots were limited to have their physical examinations performed by a licensed medical doctor (88 FR at 81305). We proposed to modify 46 CFR 402.210 to align the Great Lakes Pilots' medical requirements with the less burdensome merchant mariner requirements, which allowed medical examination to be performed, witnessed, or reviewed by a licensed medical doctor, licensed physician assistant, licensed nurse practitioner, or a designated medical examiner. We neglected, however, to also propose removing the licensed medical doctor requirement for Great Lakes Pilots contained in 46 CFR 10.302(b).

Two commenters, who represent nurse practitioners and physician assistants, requested that we modify 46 CFR 10.302(b) to remove the requirement that the exam be conducted by a licensed medical doctor for Great Lakes Pilots. We agree. In the proposed rule, we overlooked the mention of Great Lakes pilotage medical requirements in 10.302(b). With this final rule, we remove the language specific to Great Lakes Pilots medical examination from 10.302(b). This additional change ensures Great Lakes Pilots will follow the same medical examination requirements that apply to other mariners in 10.302(b) (“Any required test, exam, or demonstration must have been performed, witnessed, or reviewed by a licensed medical doctor, licensed physician assistant, licensed nurse practitioner, or a designated medical examiner”). Updating this regulatory text fully implements the change we proposed in the proposed rule for medical examination requirements in 402.210. Nurse practitioners and physician assistants both possess the requisite skill needed to conduct this kind of physical exam. Allowing them to provide Pilots with this service makes the application process more efficient and fully aligns with the Coast Guard medical regulations for all other credentialed mariners. To accommodate this change, the Coast Guard will make corresponding edits to 46 CFR 402.210 to remove the requirement that Great Lakes Pilots can only use a licensed medical doctor.

In addition to the above, we are changing the proposed definition of “Temporary Registered Pilot” to remove the requirement that a pilot association must first request a retired Pilot's services before the Pilot can begin the process of acquiring a Temporary Pilot Identification (ID) Card. This change is administrative in nature and is intended to allow retired Pilots to become certified as Temporary Registered Pilots before a District requests their services. This is intended to enhance safety and create a system where Temporary Registered Pilots are immediately available when unexpected demand requires an extra Pilot. This aligns with the Director's responsibility and authority in 46 CFR 401.720 to maintain safety and to ensure sufficient Pilot capacity to facilitate maritime commerce, to protect the marine environment, and to comply with National Transportation Safety Board recommendations regarding staffing and fatigue mitigation.

In addition to those comments that precipitated changes from what we proposed in the NPRM, commenters raised a number of questions that required responses, but have not led to the Coast Guard making further changes from the proposed rule.

One commenter, a pilotage district, asked if they can continue to use Canadian Pilots for training and, if so, does the proposed § 401.211(d) apply to them. Our answer is yes, a Canadian Pilot can train the Apprentice Pilot with the Director's prior approval. Canadian Pilots, like United States Pilots, must be approved by the Director to be eligible to provide training. The use of Canadian Pilots for training is a past and current practice, and the Director will continue to approve these Pilots if necessary. We expect this to be a rare occurrence; especially with the Western Great Lakes Pilots Association, because this association is responsible for all the dispatching in its area of responsibility.

The same commenter asked us to change the reporting deadlines from August and January 15th to the end of each month. We disagree with adjusting the dates. Particularly when it comes to January, we believe that the closer the deadline is to date when the Seaway Locks close, the easier it is for the districts to comply. All United States Registered Pilots are required to be available; the association employees should be available and on site, and the cost to obtain the required information is less than recalling someone after the office has been closed/modified for winter navigation.

This commenter also asked the Coast Guard to further define the term “weather,” within the context of the proposed § 401.420. We defer to the plain meaning of the word. We trust the Master and the Pilot to use their respective expertise to determine whether it is safe to proceed. We will determine if the costs are allowed on a case-by-case basis.

Another issue the commenter raised was whether, under the new § 401.420, a Pilot must be paid for time spent on an anchored vessel during a delay caused by ice or weather. The answer depends on the time of year when the delay occurs. From May 1 to November 30, vessels are not liable for charges for weather-related interruptions or delays. In the colder months, from December 1 to April 30, Pilots may bill for time lost during delays. This distribution of liability is designed to spread the risk of liability among Great Lakes stakeholders and to encourage decisionmakers to make a determination based on safety prior to the Pilot departing for the vessel. We can add this topic to a future Great Lakes Pilotage Advisory Committee Meeting Agenda to determine the merits of changing the status quo.

None of the public comments prompted changes to the methodology used for the regulatory analysis. Further, there are no more recent wages available at the time of the final analysis. Therefore, the regulatory analysis for this final rule is as published in the NPRM with no changes.

V. Discussion of the Rule

A. Summary of Changes

This rule makes several changes to 46 CFR parts 401 and 402 to clarify nomenclature, and to align these regulations with current practice and with other relevant regulations and plain language guidelines. The changes are summarized here and discussed in detail, section-by-section, below.

The most substantial change is updating the definitions section in part 401, subpart A. This clarifies the phases of transition through the registration process and adds definitions for miscellaneous terms to clarify their application in other subparts.

The Coast Guard also updates each instance of the affected terms, based on the new definitions that appear elsewhere in parts 401 and 402. Additionally, the Coast Guard changes the application and training requirements for the different phases of pilotage registration in part 401, subpart B, that follow this progression: “Applicant,” “Applicant Trainee,” “Apprentice Pilot,” “Limited Registration,” “Full Registration,” and “Temporary Registered Pilot.”

The Coast Guard aligns these regulations with current Pilot training practices and clarifies the obligations that mariner applicants must fulfill before advancing to the next phase of registration.

The Coast Guard is changing the regulations covering the administration of Registered Pilots located in subparts B, C, D, E, and G and bringing the regulations into conformity with modern Pilot administrative practices. Many of the specific requirements reference outdated locations, contact information, and procedures. Those antiquated references make the regulations difficult to understand, and these changes bring much needed clarity to the regulations imposed on Registered Pilots.

The last category of changes is a series of technical amendments that bring the regulations into conformity with the Federal Plain Language Guidelines (available at https://www.plainlanguage.gov/guidelines/ ).

A section-by-section description of the changes follows. Some sections—§§ 401.100, 401.120, 401.300 through 401.340, 401.400, 401.427, 401.430, 401.451, 401.500, 401.615 through 650, 401.700—are not included in these descriptions. This is because the changes to these sections are technical amendments, like capitalizing “U.S. Registered Pilots”, or changing the word “pool” to “pilotage pool” to be more precise.

B. Definitions

The Coast Guard makes several changes to § 401.110 to update the phases of Pilot registration; to add definitions to terms that are commonly used by industry members, but not reflected in the CFR; to revise definitions for terms whose meaning has changed since the last update to these regulations; and to remove definitions for terms that are no longer used or applicable to these regulations.

Updated Phases of Pilot Registration

In § 401.110, the Coast Guard redefines the different stages of Pilot registration to clarify the transitions through the registration process. At present, there are training phases that are commonly used by Pilots in practice but lack precise legal definitions. This can lead to confusion for Pilot applicants as to what is required of them before advancing to the next phase.

The Coast Guard adds the following terms and their definitions, currently used in practice, to the CFR: “Applicant” and “Temporary Registered Pilot”. The Coast Guard redefines the following terms already existing in the CFR: “Apprentice Pilot,” “Limited Registration”, and “Applicant Trainee”. The general progression is as follows: Applicant, Applicant Trainee, Apprentice Pilot, Limited Registration, Full Registration (which we also refer to as a United States Registered Pilot or U.S. Registered Pilot in the regulations), and Temporary Registered Pilot. This clarifies the differences between the terms and phases. We describe these updates, in turn, below.

Applicant

The Coast Guard adds the term Applicant and its definition to the CFR. Applicant means a person who has submitted an Application for Registration as a United States Registered Pilot (Form CG-4509 or “application”) to the Director for consideration for placement in an approved United States Great Lakes Pilot training and qualification program at an association. The Director reviews the application to see if the Applicant meets the minimum requirements, per § 401.210.

Applicant Trainee

The Coast Guard redefines the term Applicant Trainee that currently appears in the CFR. Redefined, Applicant Trainee means a person who is approved by the Director and is participating in an approved U.S. Great Lakes Pilot training and qualification program, and who meets the minimum requirements of the pilotage regulations in the new § 401.214 for Applicant Trainees. These requirements are spelled out in further detail in part C of this section, Updates to Training Requirements for Pilots. The Applicant Trainee does not have the necessary 6 months of service or experience on the Great Lakes or an endorsement on their MMC to qualify as an Apprentice Pilot. The Director issues the Applicant Trainee a U.S. Coast Guard Applicant Trainee ID Card.

In practice, the Applicant Trainee spends at least 6 months at the district by closely observing Registered Pilots while underway on all waters of the district. During this period, the Applicant Trainee will gain experience on the district's waters and ports, develop a professional rapport with the Association Pilots and see how a Pilot coordinates service with a vessel's Master and crew, escort tugs and lock operators. These trips, conducted as an Applicant Trainee, do not count toward the minimum number of round trips required for Full Registration. Once the Applicant Trainee completes the familiarization in the district waters, the association can request the Applicant Trainee become an Apprentice Pilot in the district's training and qualification program. The Applicant Trainee is not eligible for a Limited or Temporary Registration.

Apprentice Pilot

The Coast Guard redefines the term Apprentice Pilot that currently appears in the CFR. Redefined, Apprentice Pilot means a person who has been approved by the Director and is participating in an approved U.S. Great Lakes Pilot training and qualification program. The mariner meets the minimum requirements in revised § 401.211. The Director issues the Apprentice Pilot a U.S. Coast Guard Apprentice Pilot ID Card. The requirements for an Apprentice Pilot are discussed further in the preamble with the changes to § 401.211.

Apprentice Pilots possess a minimum of 6 months of pilotage experience on the Great Lakes and typically have a First-Class Pilot endorsement on their MMC for the waters in which Full Registration is sought. The Apprentice Pilot is required to complete round trips until the Apprentice Pilot demonstrates proficiency, accompanying a U.S. Registered Pilot or Temporary Registered Pilot, upbound and downbound in the district's waters, and inbound to and outbound from ports, in accordance with their individual training plan.

Limited Registration

The Coast Guard redefines the term Limited Registration that currently appears in the CFR. Limited Registration means an authorization issued by the Director via letter to an Apprentice Pilot, upon the request of the pilot association, that allows the Apprentice Pilot to provide pilotage service without direct supervision from a U.S. Registered Pilot or Temporary Registered Pilot in a specific area or waterway to facilitate the Apprentice Pilot's training. The requirements for a Limited Registration are discussed with the changes to § 401.211 in new paragraph (k).

Full Registration

The Coast Guard adds the term Full Registration and its definition to the CFR. Full Registration means the issuance of a Certificate of Registration ID card, by the Director, to an Apprentice Pilot, who meets and completes the Coast Guard's registration requirements in the new §§ 401.210, 401.211, 402.210, and 402.220. These requirements are discussed further in part C of this section, Updates to Training Requirements for Pilots.

Generally, if the Apprentice Pilot satisfies all the Coast Guard's registration requirements and the pilot association's requirements and has maintained favorable performance evaluations during the training program, the Apprentice Pilot advances to Full Registration. The pilot association can request that the Director consider an Apprentice Pilot for Full Registration as a United States Registered Pilot. The Director can approve or deny the request. If approved, the Director issues the Apprentice Pilot a Certificate of Registration, making them a fully Registered Pilot. Full Registration makes the Apprentice Pilot a United States Registered Pilot, who may provide pilotage services for the relevant pilot association, in accordance with the pilotage regulations.

Temporary Registered Pilot

The Coast Guard adds the term Temporary Registered Pilot and its definition to the CFR. A Temporary Registered Pilot means a person who is issued a Temporary Registration by the Director, in accordance with the new § 401.222. A Temporary Registration applies to Pilots who desire to provide pilotage services, but who have either reached the age of 70 or have previously retired from pilotage service. The Coast Guard requires that a Temporary Registered Pilot holds a valid MMC, has previously held a Full Registration, meets the requirements of § 401.222, and has received approval by the Director to provide pilotage services. The new requirements in § 401.222 are discussed further below in part C. of this section, Updates to Training Requirements for Pilots. The Director may make the Temporary Registration valid for a certain period of time, not to exceed 1 year from the date of issuance.

New Definitions

In addition to the updated phases of Pilot registration, the Coast Guard also adds definitions to part 401 for the following terms that appear elsewhere in 46 CFR chapter III to better clarify their meanings as they relate to Great Lakes Pilots: “chemical test”, “gross tonnage”, “individual training plan”, “marine accident”, “minimum number of round trips”, “officer endorsement”, “round trip”, and “semi-annual performance evaluation report”. These terms are explained in the following paragraphs.

Chemical Test

The Coast Guard adds the definition of “chemical test” to the definitions in § 401.110 to clarify the kind of test that will comply with the new reporting requirements. Chemical test means a scientifically recognized test that analyzes an individual's breath, blood, urine, saliva, bodily fluids, or tissues for evidence of dangerous drug, alcohol use, or any illegal substance, in alignment with the existing definition in 46 CFR 4.03-7. The definition of chemical test applies to the new requirements in parts 401 and 402 for mariners to submit chemical tests to the Coast Guard, either at the Applicant phase of their application to be a Pilot, or for marine accident reporting.

Gross Tonnage or GT

This rule adds a definition for “gross tonnage or GT” to align with the gross tonnage measurement of the vessel under 46 U.S.C. chapter 143, Convention Measurement. Parts 401 and 402 use gross tonnage in the context of determining whether Applicants or Apprentice Pilots (referred to as “applicant pilots” in the current CFR) have had comparable experience on other vessels or integrated tugs and tows on the Great Lakes or oceans to that of Registered Pilots on the Great Lakes. Though compliance with 46 U.S.C. chapter 143 is not mandatory for United States or Canadian vessels operating only in the Great Lakes, the Coast Guard adopts the Convention Measurement's definition of gross tonnage to clarify which tonnage scheme the Great Lakes Pilotage regulations use. This is the same definition used in 46 CFR 10.107 for MMCs.

Individual Training Plan

The Coast Guard adds the term “individual training plan” and its definition to the CFR. This term and its definition are consistent with its use in current pilot association training programs. The individual training plan outlines the specific requirements of the association for an Apprentice Pilot, including the length of time to complete the training, and the minimum number of round trips required to demonstrate proficiency. The individual training plan communicates the qualifications and demonstrated skills that the Apprentice Pilot are required to complete to meet the proficiency requirements for the training. The association submits the individual training plan to the Director for review and approval, and the Director tracks the Apprentice Pilot's development through the training period. This is consistent with current practice. The association establishes an individual training plan's training requirements based on the association's determination of proficiency, the officer endorsement on the MMC, and the Apprentice Pilot's pilotage experience on the Great Lakes.

Marine Accident

The Coast Guard adds a definition for the term “marine accident” that currently appears elsewhere in the CFR. A marine accident includes any of the following incidents that occur while a United States Registered Pilot, Apprentice Pilot, Apprentice Pilot with Limited Registration, or Temporary Registered Pilot is providing pilotage services in United States or Canadian waters:

(i) Any allision or collision;

(ii) Any grounding;

(iii) A loss of main propulsion, primary steering, or any associated component or control system that, due to its duration or other circumstance, significantly impacts the maneuverability of the vessel;

(iv) An occurrence, directly related to the provision of pilotage services, involving significant harm to the environment, as currently defined in 46 CFR 4.03-65; or

(v) Any other incident, directly related to the provision of pilotage services, causing property damage more than $75,000 U.S. dollars (including the cost of labor and material to restore the property to its condition before the incident, but excluding the cost of such things as salvage, cleaning, gas-freeing, drydocking, or demurrage).

The outlined instances in this definition are based on the notice of marine casualty reporting requirements in 46 CFR 4.05-1, and tailored for reporting marine accidents related to the Great Lakes pilotage program.

The definition of “marine accident” is used to identify events or occurrences where Pilots must submit a marine accident report to the Director under the revised § 401.260. Clearly defining a marine accident ensures that certain marine accidents are reported to the Director in support of the Director's oversight. The reporting requirement clarifies that this obligation to report marine accidents to the Director does not alleviate any other marine casualty reporting requirements elsewhere in Coast Guard or other agency regulations. We add the marine accident definition and reporting requirement to alleviate concerns about accidents related to Great Lakes pilotage not being reported to the Director.

Minimum Number of Round Trips

The Coast Guard adds a definition for “minimum number of round trips” to have one term to define the least number of successful round trips an Apprentice Pilot must complete to become eligible for Full Registration. Mere completion of this number of trips does not qualify an Apprentice Pilot for Full Registration. Instead, the phrase, minimum number of round trips, means the fewest successful round trips that the Apprentice Pilot is required to perform under the direct supervision of a U.S. Registered Pilot or Temporary Registered Pilot to demonstrate proficiency prior to advancing and completing training. The minimum number of round trips required is prescribed in the Apprentice Pilot's approved individual training plan, discussed in the revised § 401.211. Section 402.220 contains the minimum number of round trips for certain officer endorsements.

Each round trip is evaluated, and the evaluation form retained in the mariner's training record. If, after evaluation, the Apprentice Pilot does not satisfy the Director's or association's proficiency requirements, additional trips in that area or port will be required.

Officer Endorsement

The term “officer endorsement” is defined in the regulations governing MMCs in 46 CFR part 10 to mean an annotation on an MMC that allows a mariner to serve in the capacities listed in 46 CFR 10.109. We are adding a definition for officer endorsement that matches the definition in 46 CFR part 10 to help ensure that the term is interpreted consistently.

Round Trip

The Coast Guard adds a definition for “round trip” to clarify what is expected of the Apprentice Pilot, as outlined in their individual training plan. We define round trip as providing pilotage service, in both directions, from one change point to another change point, or inbound and outbound in a port designated by an authorized pilotage pool. This definition also applies to the round trip in the context of “minimum number of round trips”. Defining round trip clarifies the minimum requirements for Apprentice Pilots in their training.

Semi-Annual Performance Evaluation Report

The Coast Guard adds a definition for “Semi-annual Performance Evaluation Report.” Twice per year, the association is required to submit to the Director a progress report of how the Apprentice Pilot is progressing through their training. The report assesses an Apprentice Pilot's progress in the pilot association's training and qualification program, and the Apprentice Pilot's performance in completing their individual training plan.

Revised Definitions

We are revising the definitions of “association”, “Commandant”, “comparable experience”, “Director”, “person”, “pilotage pool”, “Rate computation definitions to determine Weighting Factors”, “Secretary”, and “United States Registered Pilot or U.S. Registered Pilot” to align the regulatory definitions with industry usage and understanding. These revisions are detailed below.

Association

The Coast Guard removes the words “or held” from the definition of association. This clarifies that if the Coast Guard revokes an association's Certificate of Authorization, they are no longer an association under the Act or under Coast Guard regulations. In addition, the Coast Guard specifies in the definition of association that the Director, instead of the Great Lakes Pilotage Branch, issues the Certificate of Authorization to the association.

Commandant

In the definition of “Commandant,” our only change is to replace the outdated office symbol, CG-00, with the current office designation, CCG.

Comparable Experience

The Coast Guard is changing the first sentence in the definition of “comparable experience” to better define the requirements. Currently, the definition is that comparable experience is similar experience obtained by serving as an officer of a vessel. The changes state that comparable experience means knowledge and previous performance that is equivalent to the knowledge and technical skills obtained by serving as an officer on vessels of at least 4,000 GT. We add that comparable experience must be obtained on vessels of at least 4,000 GT, throughout the regulations, to be consistent regarding comparable experience and the requirements to be a Registered Pilot in 46 U.S.C. 9303(a)(2). The existing regulations for qualifying for registration in 46 CFR 401.210(a)(1) require service to be accrued on vessels of 4,000 GT or over on the Great Lakes or oceans. This experience, on vessels of 4,000 GT or over, also applies to Apprentice Pilots (currently referred to as “applicant pilots” in the CFR) in existing § 401.211(a)(1).

Director

In the definition, this rule removes an outdated reference to “Commandant (CG-WWW-2)” and replaces it with “Director, Great Lakes Pilotage”. We also update the mailing address for the Director within the definition.

Person

In this definition, we change the term “pool” to “pilotage pool,” to align with the new definition of “pilotage pool” discussed below.

Pilotage Pool

The Coast Guard revises the current term and definition of “pool” by revising the term and amending the definition. First, we revise the term pool by adding “pilotage” to identify it more clearly. Throughout parts 401 and 402, this rule updates all references to “pool” to “pilotage pool.” In current practice, the Director provides the pilotage pool a Certificate of Authorization to operate as an association.

Second, the definition of pool in the current CFR text is an organization authorized to provide pilotage services. We revise the definition to account for the requirement that an organization must hold a Certificate of Authorization issued by the Director to provide pilotage services. The new definition clearly indicates what is required for a pilotage pool authorization.

Rate Computation Definitions To Determine Weighting Factors

The Coast Guard adds the words, “to determine Weighting Factors” to the existing phrase, “Rate computation definitions,” at § 401.110(a)(10) to indicate the purpose for these rate computation definitions to the public. The definitions of “length”, “breadth”, and “depth” at § 401.110(a)(10)(i)-(iii) remain unchanged. Weighting factors are used in the calculation of a vessel's pilotage rate to determine the appropriate fee for a vessel's pilotage services and are based on the size of the vessel.

Secretary

This rule revises the definition of “Secretary” to align with the definition used in 46 U.S.C. 2101. The revised definition points to the Secretary of the department in which the Coast Guard is operating, instead of the Secretary of Homeland Security. This change promotes consistency between definitions used throughout statutes and Coast Guard implementing regulations.

United States Registered Pilot or U.S. Registered Pilot

This rule makes non-substantive changes to the definition of “United States Registered Pilot or U.S. Registered Pilot.” First, we remove an outdated reference to “license” and revise the discussion of the authorization document to read “an MMC with an officer endorsement.” We add the word “areas” to capture that the endorsements for pilotage on the Great Lakes can be for routes or areas. We also make an edit that, under the new training stage nomenclature, a United States Registered Pilot currently holds a Certificate of Registration.

We also update the outdated references to Title 52 of the Revised Statutes of the United States with references to Title 46 of the United States Code, which is where the Coast Guard's statutory authority exists for Great Lakes pilotage regulations.

Removed Definitions

The Coast Guard removes the definition of “movage”, because the ratemaking methodology no longer supports this action. Under the ratemaking methodology before 2016, pilot districts charged the vessel owners a defined movage fee to move a vessel from one place to another: for example, from an anchorage to inside the harbor, or dock to dock. Since the ratemaking methodology was updated in 2016, vessel owners are charged an hourly rate for any vessel movement by a United States Registered Pilot, rounded up or down to the nearest 15 minutes.

The Coast Guard also deletes the definition of “other officer” from the definition section, because we are deleting the only reference to the term in § 401.510(b)(3). The definition is no longer necessary, because the term is no longer used in parts 401 through 404.

Organizational Changes

The Coast Guard revises § 401.110 to list the existing and new definitions in alphabetical order to make it easier for the reader to find definitions.

The Coast Guard is also updating each instance of affected terms in parts 401 and 402 to align with the new definitions.

C. Updates to Training Requirements for Pilots

The Coast Guard is updating the regulations that govern the application and training requirements to bring the CFR into conformity with industry practice. These regulations, located in part 401, instruct a candidate as to what specifically they must do to apply and progress through the newly clarified phases of Pilot registration. Following is a section-by-section description of the updates to the Great Lakes Pilotage application and training requirements. These changes include formatting changes that will improve the usability and readability of the CFR.

§ 401.200 Application for Registration

In § 401.200, the Coast Guard adds the email address, GreatLakesPilotage@uscg.mil, and the physical mailing address, Great Lakes Pilotage Office, 2703 Martin Luther King Jr. Ave. SE, Stop 7509, Washington, DC 20593-7509, to which Applicants for pilotage on the Great Lakes must submit their Application for Registration as a United States Registered Pilot (Form CG-4509). We allow either physical mail or electronic submission of Form CG-4509 to the Director to provide flexibility to the mariners. This change also provides clear guidance for where to submit the form.

In this section, the Coast Guard removes the requirement to submit two full-face photographs when submitting Form CG-4509. The passport photos are not needed at this stage of the process. Following the submission of an application and an interview process, passport-style photos will be requested from the Applicant if they are approved for a U.S. Great Lakes pilot training and qualification program. The requirement to submit the photos upon the request of the Director are in § 401.211(e) for Apprentice Pilots, and in the new § 401.214(e) for Applicant Trainees.

In practice, if the Applicant does not submit the required application materials, the Coast Guard Great Lakes Pilotage Office works with the Applicant to obtain the required documentation to meet the minimum requirements. Once the Applicant provides additional information and meets the minimum requirements, the approved application is forwarded to the pilot district(s) requested by the applicant for consideration. The pilot associations maintain a list of Applicants who meet the minimum requirements, and they conduct interviews based on the need for more Pilots and on the applications provided by the Great Lakes Pilotage Office. If the Applicant is selected by the association, the association submits a letter to the Director requesting that the Applicant be placed in that district's approved training and qualification program.

We are also making a formatting change to this section to remove paragraph (a)'s designation. All the text within this section is undesignated. Removing the paragraph (a) designation removes the need for the unused reserved paragraph (b) within this section. There is no need for multiple paragraph designations within § 401.200.

§ 401.210 Requirements and Qualifications for Full Registration

In paragraph (a)(1), the Coast Guard clarifies that the mariner must have an MMC with an officer endorsement issued in accordance with 46 CFR subchapter B, part 11. We delete the outdated references to Title 52 of the Revised Statutes of the United States. We also change applicants qualifying with “ocean service” to applicants qualifying with “other than Great Lakes service,” because mariners may have different endorsements on their MMC, such as Master-Ocean or Master-Inland Waters. This change clarifies that applicants qualifying with an endorsement on their MMC other than Great Lakes service must obtain at least 6 months of service as a deck officer, or comparable experience, on the Great Lakes. We also clarify that the officer experience must be “deck” officer experience. Deck officer experience means that the mariner is working under the authority of a deck officer endorsement, in accordance with 46 CFR part 11, subpart D.

Paragraph (a) of this section contains several requirements that a Pilot must meet to be eligible for Full Registration. We make the following changes to the paragraphs and redesignate the requirements in paragraphs (a)(1)-(8).

In paragraph (a)(4), the Coast Guard adds a reference to 46 CFR part 10, subpart C, for the mariners to find the applicable medical requirements and standards prescribed by the Commandant.

In paragraph (a)(6), the Coast Guard removes the requirement for a U.S. Registered Pilot to have a valid TWIC, because this requirement is duplicative of the TWIC requirement prescribed in 46 CFR 10.203 for obtaining an MMC. A mariner cannot be a U.S. Registered Pilot without holding an MMC. This non-substantive change is in accordance with GLPAC recommendation 1 from the “GLPAC Subcommittee Teleconference Meeting Minutes” from March 5, 2018. Because we remove the text from paragraph (a)(6), we redesignate the subsequent lower-level paragraphs in paragraph (a). We move the existing requirement, that the mariner agrees to be available for service, from paragraph (a)(7) into paragraph (a)(6), without change.

In redesignated paragraph (a)(7), the Coast Guard changes “Applicant Pilot” to “Apprentice Pilot” to conform to the new definitions. Revised paragraph (a)(7) requires mariners seeking Full Registration to complete the requirements for an Apprentice Pilot in § 401.220(b). We are also deleting the text “if applying for registration for waters in which a pilotage pool is authorized”, because the requirements in § 401.220(b) apply to all Apprentice Pilots.

In 401.210(a)(8), the Coast Guard also adds that Apprentice Pilots requesting Full Registration must meet chemical testing requirements, as defined in 46 CFR part 16. Currently, all U.S. Pilots on the Great Lakes are required to meet the chemical testing requirements in part 16. The purpose of this addition is to clarify that this will also be part of the Apprentice Pilot qualifications.

§ 401.211 Training Requirements for Apprentice Pilots and Limited Registration Authorization

The Coast Guard changes the term “Applicant Pilot” to “Apprentice Pilot” throughout this section to align with the new definition of Apprentice Pilot. Use of the term Apprentice Pilot falls more in line with industry vernacular. We also add “Limited Registration Authorization” to the section name because we include the requirements for Apprentice Pilots to obtain this authorization as part of their training program.

This rule separates the requirements to select Apprentice Pilots for training from existing paragraph (a) and puts the list into new paragraph (b). In the requirements for Apprentice Pilots in redesignated paragraph (b)(1), this rule updates the cross-reference from § 401.210(a)(7) to paragraph (a)(8) to conform with redesignations in that section.

In paragraph (b)(3), the Coast Guard revises the Radar Observer requirement to state that the Apprentice Pilot must have a Radar Observer-Unlimited endorsement on their MMC. We also include a cross-reference to the Radar Observer requirements in § 11.480 for the public's reference. By removing the obsolete radar competency certificate option, we bring the regulations up to date with the current Radar Observer endorsement requirements in 46 CFR subchapter B, part 11. This conforming change is not a new requirement for mariners, because they are already required to hold a radar endorsement issued by the Coast Guard.

In new paragraph (d), the Coast Guard adds “Temporary Registered Pilots” who authorized pilot organizations may designate for approval by the Director to provide training.

We also allow submission of Form CG-4509 to the email address GreatLakesPilotage@uscg.mil or to the physical mailing address Great Lakes Pilotage Office, 2703 Martin Luther King Jr. Ave. SE, Stop 7509, Washington, DC 20593-7509. Emailing the form could reduce the administrative burden associated with submitting the form. We also clarify that the Director will request signed passport-style photographs from those applying to be an Apprentice Pilot, when needed. The photographs are not required when submitting Form CG-4509 because the photos are not needed until the Coast Guard is ready to issue an ID card.

The Coast Guard also clarifies the issuance of the U.S. Coast Guard Apprentice Pilot ID Card in paragraph (f). If the applicant meets the requirements in this section and is selected to be placed in an association's training program, the association submits a letter to the Director for approval. If the Director approves placing the applicant in the training program, the Coast Guard issues the applicant an Apprentice Pilot ID Card.

The Coast Guard expands the list of circumstances when an Apprentice Pilot ID Card becomes invalid, adding paragraph (f)(1) to account for the Director's statutory authority to set validity periods in 46 U.S.C. 9303(c). At the time of issuance, the Director indicates a validity period for the card. For example, the Director could coincide the expiration dates of the ID Card with the dates of the Semi-annual Performance Evaluation Reports, August 15, and January 15. The other three existing grounds for expiration for the Apprentice Pilot ID Card remain substantively the same, including when the Apprentice Pilot is registered as a Pilot under § 401.210, when the Apprentice Pilot withdraws from the training program, or when the card is ordered withdrawn by the Director.

In new paragraph (g), we add a requirement that all Apprentice Pilots must have a Director-approved individual training plan. The associations currently provide Director-approved individual training plans to the Apprentice Pilots as guidance during the approved U.S. Great Lakes pilot training and qualification program. Our intent is to codify this current practice in the regulations. As stated in the definition, an individual training plan outlines the specific requirements and expectations for each Apprentice Pilot. The individual training plan provides clear direction for the Apprentice Pilot, association, and Director regarding the Apprentice Pilot's goals and progression through the training program. The Apprentice Pilot and the pilot association record the round trips outlined in the individual training plan and provide this information to the Director for review.

In paragraph (g), we also clarify that round trips completed as an Apprentice Pilot count toward the minimum number of round trips required for Full Registration. Because we did not define round trips previously, there was confusion for Applicant Trainees and Apprentice Pilots regarding when their trips did or did not count toward the Full Registration certification. The trips outlined in the Apprentice Pilot's individual training plan and conducted with a U.S. Registered Pilot or Temporary Registered Pilot must be recorded by the Apprentice Pilot to count toward Full Registration. If the association feels that the Apprentice Pilot is not ready to provide pilotage services after completing the required minimum number of round trips outlined in their individual training plan, the association can require the Apprentice Pilot to continue conducting round trips until they meet the association's requirements. Trips completed while an Applicant Trainee do not count toward the minimum number of round trips.

In addition, the Coast Guard adds new paragraph (h), which requires associations to conduct Semi-annual Performance Evaluation Reports for their Apprentice Pilots to assess the Apprentice Pilots' progress in their training program. The associations currently provide evaluation reports to the Director that share the Apprentice Pilot's progress in the approved U.S. Great Lakes pilot training and qualification program at the district. We codify this current practice in the regulations. The associations submit these reports to the Director by August 15 and January 15 of each season.

The report includes recommendations to the Director on whether or not to keep the Apprentice Pilot in the training program. This report is intended to evaluate the Apprentice Pilot's progression through their training and to help keep the Director informed of that progress. The report provides the Apprentice Pilot necessary feedback to stay on track with their individual training plan and association expectations. By requiring a semi-annual report submission to the Coast Guard, all parties remain informed of the progression of the Apprentice Pilot's training throughout the Great Lakes. All requests for Apprentice Pilots and Limited Registrations must contain an endorsement from the pilot association's training committee or president for the Director's consideration. A positive endorsement does not guarantee issuance or renewal by the Director. The Director considers the Apprentice Pilot's training progress, traffic projections, and other relevant information when making the decision to issue a certification.

Another requirement at new paragraph (i) is that the Apprentice Pilot must be enrolled in the association's chemical testing program, commonly known as drug testing, which meets the requirements of 46 CFR part 16. We add chemical testing requirements and compliance into these regulations to ensure that Apprentice Pilots are monitored by the associations in the interest of maritime safety on the Great Lakes.

In new paragraph (j), the Coast Guard adds procedures for how an Apprentice Pilot may obtain a Limited Registration. When the Director determines a need for the Pilot to meet the needs of increased vessel traffic, a Limited Registration is issued to an Apprentice Pilot who has completed the requirements in § 401.220(b)(1) and maintained a favorable performance evaluation in their Semi-annual Performance Evaluation Reports. The Apprentice Pilot must satisfy the association's requirements in a specific area or port of the district waters to be eligible for a Limited Registration, as set out in the Apprentice Pilot's training plan approved by the Director.

Thereafter, the association requests approval for the Apprentice Pilot to provide pilotage services in these specific areas without supervision by a United States Registered Pilot or Temporary Registered Pilot. If approved, the Director issues the Apprentice Pilot a letter authorizing Limited Registration for the area requested by the association. The Apprentice Pilot can provide pilotage services without supervision in the authorized area and can continue to complete round trips in other areas and ports as opportunities are provided by the association. Once all required round trips are completed, per their individual training plan, a request to the Director may be made to administer the pilot's written exam to the Apprentice Pilot.

The Director can revoke the Limited Registration if the Director feels that the association is not providing the Apprentice Pilot appropriate training time to complete the remaining trips left in the district waters. Limited Registrations are valid for as long as the Director determines is necessary.

Last, we add new paragraph (k), which states requirements for when an Apprentice Pilot may be eligible for a Certificate of Registration. These requirements are distinct from the requirements for Applicant Trainees contained in § 401.214, and they reflect the value of an Apprentice Pilot's experience. The four requirements are: completion of a Director-approved Great Lakes pilot association's individual training program; an endorsement from the association; receipt of a passing grade on the Director's exam; and a determination by the Director that there is a need for an additional Pilot in that association. These requirements exist in practice and are referenced throughout parts 401 and 402. We codify them here to clarify to the Apprentice Pilot and to the associations what conditions are necessary to reach Full Registration.

§ 401.214 Training Requirements for Applicant Trainees

In this new section, we outline the requirements for Applicant Trainees. This section codifies the Director's authority to determine the number of Applicant Trainees needed in training at a time for each association to ensure enough U.S. Registered Pilots in that district. This authority is exercised in the ratemaking update every year, but this rule codifies it.

The requirements for Applicant Trainees are similar to those for Apprentice Pilots, but Applicant Trainees do not require any prior Great Lakes service experience. The Applicant Trainee must be a U.S. citizen, of good moral character and temperate habits, physically competent, available for service, under the age of 60, in compliance with the chemical testing requirements, and have a Radar Observer-Unlimited endorsement on their MMC.

The Applicant Trainee is required to obtain at least 6 months of service as a credentialed officer on the Great Lakes, or comparable experience, before being considered for Apprentice Pilot. An Applicant Trainee trains under the supervision of a U.S. Registered Pilot or Temporary Registered Pilot. This section in paragraph (d) states that the Director must approve the Pilots designated to provide training to Applicant Trainees, as an oversight measure. When an Applicant Trainee conducts trips with a U.S. Registered Pilot or Temporary Registered Pilot to complete the 6-month familiarization requirement, or comparable experience on the Great Lakes, the round trips do not count toward Full Registration certification.

Applicant Trainees who meet the minimum requirements set forth in this section are required to receive an endorsement from the pilot association's training committee or the president for the Director's consideration. A positive endorsement does not guarantee issuance or renewal by the Director. The Director considers the Applicant Trainee's progress, traffic projections, and other relevant information when making the decision to issue a certification.

We clarify that the Applicant Trainee must submit Form CG-4509 to the email address, GreatLakesPilotage@uscg.mil, or to the physical mailing address, Great Lakes Pilotage Office, 2703 Martin Luther King Jr. Ave. SE, Stop 7509, Washington, DC 20593-7509. The Director requests the signed passport-style photographs when they are needed, but they do not need to be submitted with the application. The Coast Guard does not need the photos until issuing the ID card.

Applicant Trainees selected by the association and approved by the Director are issued a U.S. Coast Guard Applicant Trainee ID Card. The card remains valid until the earliest expiration date set by the Director, the date the Applicant Trainee is registered as an Apprentice Pilot, the date the Applicant Trainee withdraws from the training program, or the date the Director orders the card returned.

§ 401.220 Registration of Pilots

The Coast Guard removes the 1-year time limit in §§ 401.220(b)(1) and 402.220(a) for Apprentice Pilots to complete their round trips, and instead allows the applicable time limit to be specified in an Apprentice Pilot's individual training plan. Due to limited vessel traffic in some districts and ports, some Apprentice Pilots are not able to complete the required number of training trips in 1 year. This change allows Apprentice Pilots more time to complete these trips, in accordance with their individual training plan. Currently, training takes 2 to 3 years, on average, depending on which MMC endorsements the Apprentice Pilot holds and how quickly they satisfy the requirements set forth by the association and approved by the Director. This change is in accordance with GLPAC subcommittee recommendations 4 and 5, described in the “GLPAC Subcommittee Teleconference Meeting Minutes” from March 5, 2018, and adopted at the GLPAC Teleconference meeting on April 11, 2018.

The revisions to § 401.220(b) align the requirements in (b)(1) through (3) with the new definition for Apprentice Pilots. In paragraph (b)(3), the Coast Guard clarifies when the written examination is taken by the Apprentice Pilot. The written examination is the final step to be considered for Full Registration. After the requirements of the regulations and the individual training plan have been met, and the association is comfortable with the Apprentice Pilot's progress, the association sends a request to the Director for the administration of the written exam. The Director arranges for the Apprentice Pilot to take the written exam at the nearest Regional Exam Center or respective pilot association office. The changes to paragraph (b)(3) indicate that the Apprentice Pilot is eligible to take the exam after they complete their minimum number of round trips and their approved training plan prescribed by the association.

In paragraph (c), this rule explains that the pilot association's recommendation for registering the Apprentice Pilot can include reasons for or against their registration. Currently, the text only requires the association to include reasons for the registration. We wish to clarify that the association should include any reasons, for or against registration, that are relevant to the Director's decision.

The Coast Guard clarifies in paragraph (d) that a Certificate of Registration can be issued to an Apprentice Pilot who has completed all the requirements and has been found qualified and removed an outdated reference to Title 52 of the Revised Statutes.

In § 401.220, this rule deletes paragraph (e). This paragraph authorizes the Director to issue a temporary Certificate of Registration of less than 1 year to qualified persons, regardless of age. We delete this because Temporary Registration is redefined and prescribed in the new § 401.222, discussed next.

D. Administration of Great Lakes Pilots

The Coast Guard updates various sections in parts 401 and 402 that govern the administration of Great Lakes Pilots. These changes modernize the mechanisms and practices used by the Coast Guard to register, monitor, and ensure the compliance of Great Lakes Pilots. A section-by-section description of the changes to each section follows.

§ 401.222 Temporary Registered Pilots on the Great Lakes

In conjunction with the new definition for “Temporary Registered Pilot,” the Coast Guard adds a new § 401.222 regarding the requirements and issuance of a Temporary Registration. The mandatory retirement age for United States Registered Pilots is 70 years old. However, if a Pilot maintains their MMC and meets the medical requirements, they can, with the Director's approval, receive a Temporary Pilot ID Card. Possession of this card makes the Pilot eligible for an association to request their pilotage services. Alternatively, if a United States Registered Pilot has previously retired and is requested by the association to provide pilotage services, the Director can issue a Temporary Registration for them. We removed the old 401.222(a)(5) from the proposed rule in order to allow a retired pilot to seek Temporary Registration of their own volition, making their ready and available when the need arises.

A mariner seeking Temporary Registration under this section must meet the requirements of a United States Registered Pilot in § 401.210, except the age requirement. Temporary Registration is for Pilots who desire to provide pilotage services, but either have reached the age of 70 or have retired. The Temporary Registration is valid for a period defined by the Director, but it does not exceed 1 year from the date of issuance. Current regulations in § 401.220(e) for Temporary Registration have the same 1-year validity period. Given the risks associated with piloting large vessels through the Great Lakes and rivers, an annual renewal requirement continues to promote the safety goals on the Great Lakes, while allowing flexibility to mariners who wish to continue providing pilotage services after retirement or age 70.

§ 401.230 Certificates of Registration

In § 401.230(a), when describing the waters where the Certificate of Registration authorizes the Pilot to perform pilotage services, the Coast Guard uses “areas and routes” in place of “part or parts” as used in the current § 401.230(a). Using “areas and routes” better aligns with language used throughout the pilotage regulations.

In paragraph (c), the Coast Guard clarifies that a Certificate of Registration may not be digitally reproduced or be used to make a facsimile, in addition to the current prohibitions against copying or Photostat. The original Certificate of Registration, issued by the Director, is the only document allowed to be carried by a U.S. Registered Pilot. These changes further clarify that no copies, printed or electronic, are allowed.

In paragraph (d), the Coast Guard requires that replacement requests for Certificates of Registration must be made on Form CG-4509 instead of writing a letter, as the Coast Guard requires the information on the form to be updated to issue a new Certificate of Registration. The Coast Guard also clarifies the style of signed photographs needed to generate a replacement for a Certificate of Registration that has been lost, damaged, or defaced. Because the signature on the photograph is needed to authenticate the certificate, the signature must be as close to the head as possible, so that the signature remains visible when the photograph is trimmed to fit the certificate during creation.

§ 401.240 Renewal of Certificates of Registration

The Coast Guard clarifies in § 401.240(a) that an applicant for a renewal of Certificate of Registration must submit Form CG-4509.

The Coast Guard clarifies the style of photographs needed to generate a Certificate of Registration for renewal. Specifically, we state that the signature on the photograph needs to be as close to the head as possible, so that the signature remains visible when the photograph is trimmed to fit the certificate during creation.

§ 401.260 Reports

In paragraph (a), the Coast Guard clarifies that, when a marine accident occurs while a United States Registered Pilot, Apprentice Pilot, Apprentice Pilot with Limited Registration, or Temporary Registered Pilot is providing pilotage services, they must report the accident, in writing, to the Director. We add the results of the Pilot's post-casualty drug and alcohol test, if required, to the report's mandatory contents. The existing requirements are put into a list format to clarify what the Pilot must include in the report.

We redesignate new paragraph (b) from the existing requirement in paragraph (a) that the report to the Director does not relieve the Pilot or others of responsibility for submitting any report required by other government agencies of the United States or Canada. We also clarify in new paragraph (b) that this reporting requirement does not affect any other reporting requirements in Coast Guard regulations.

We remove the requirement in 46 CFR 401.260(c) for the pilotage pool to submit a monthly availability report to the Director. As per 46 U.S.C. 9303(a)(3), “the applicant will be available for service when required.” In the new 46 CFR 401.210(a)(6), Pilots must agree to be available for service. The Coast Guard sees no use for this monthly availability report requirement, because the associations notify the Director when a Pilot is not available to provide pilotage services. In practice, the Director has not been requiring this monthly report. Accordingly, we remove the requirement from the regulations.

§ 401.420 Cancellation, Delay, or Interruption in Rendition of Services

In paragraph (a)(3) of this section, the Coast Guard removes the words “or movage” and replaces them with “or transit,” because the ratemaking methodology does not account for this movage action. “Transit” aligns better with the terminology used in part 401.

In paragraph (c), the Coast Guard revises the existing provisions specifying that, when pilotage delay is due to ice or weather, the vessel is not responsible for the additional charges invoiced by the association. The regulations currently state that the vessel is not liable for charges under this part. We add the words “or vessel owners” to explicitly extend this exemption to vessel owners to clearly establish the lack of liability for charges under this section.

We also have deleted the joint-agreement provision initially proposed in the NPRM to clarify that the decision to interrupt the voyage, or to detain the Pilot because of ice or weather, must be determined by the vessel Master. This interruption of the voyage, or the detention of the Pilot, is in consideration of marine safety. When possible, the determination to interrupt, detain, or delay the vessel due to ice or weather should be made prior to the Pilot departing for the vessel. This additional guidance on when the determination must be communicated to the Pilot promotes efficiency in the process of calling a Pilot to a vessel and clarifies liability.

We also remove interruption or detention due to traffic as a justification for this exemption for delayed pilotage charges. Vessel traffic is a normal occurrence on the waterways that is expected during the normal course of business. Weather and ice delays are made in response to maritime safety, and vessels should not be penalized for delays made in the interest of safety. These exemptions are intended to relieve vessels for charges brought on by forces outside of their control. While vessel traffic used to be difficult to predict, the availability of the Vessel Traffic System and Automated Information System data means that vessels have access to data that can assist in predicting traffic. Therefore, the Coast Guard is removing this exemption and making vessels responsible for accurately predicting vessel traffic.

§ 401.425 Provision for Additional Pilot

The Coast Guard removes the text, “Great Lakes Pilotage Staff, U.S. Coast Guard, or the General Manager, Great Lakes Pilotage Authority, Ltd., Canada” and all references to Canada and other United States Coast Guard staff, to clarify who decides when an additional United States Registered Pilot is required. We clarify that the Director makes this double pilotage determination, when necessary, for the safe navigation of the vessel.

We also remove the statement that the provisions for an additional Pilot do not apply to a ship that is not required to have a Pilot on board in undesignated waters of Lake Erie between Southeast Shoal and Port Colborne, because a Pilot is always required in these waters. This exemption is obsolete and no longer applies.

Additional Pilot determinations are currently made on a case-by-case evaluation and are usually authorized between when the locks are opened and when the locks are closed. We note in the regulations that this is a case-by-case evaluation, and we include the potential reasons for additional Pilots. The association or vessel representative can request an additional Pilot on the vessel for a specific time, particular port or area, or situation. For example, if an association or vessel needs an additional Pilot due to seasonal removal of aids to navigation, ice conditions, weather forecasts, or other relevant situations, a request for an additional Pilot may be appropriate.

In § 401.425 Provision for additional Pilot, we clarified what we meant in the NPRM by “the opening and closing of the shipping season.” We modified the language to give more clear instructions as to what the opening and closing means. In this section, the authorization may occur at the opening and closing of the year, after the locks have opened or closed.

§ 401.431 Disputed Charges

The Coast Guard updates this section to simplify and streamline the billing dispute process. This makes it easier to understand Coast Guard requirements and how the vessel owner or Master should provide the required data, such as via a written letter from an authorized officer of a company. The letter can be sent via traditional mail or by email, but it must be a formal letter. We also define the response time periods for the Coast Guard, the vessel owner or agent, and the pilot association, to both shorten the process and to hold all involved stakeholders to regulatory timelines, per GLPAC recommendation 2 from the GLPAC 2018 Annual Meeting on September 10, 2018.

Under revised paragraph (a), a vessel Master, owner, or agent who disputes the rate or charge for a Pilot is required to appeal to the Director within 60 business days of the date the pilot association issues the invoice. We clarify that the pilot association may also apply the charge to the vessel owner, Master, or agent thereof, because it is not always the Pilot who applies the charge. The appeal continues to be for the Director to issue an advisory opinion as to whether the disputed rate or charge is a prohibited charge or incorrectly assessed or calculated charge.

In paragraph (b), the vessel owner, vessel charterer, an agent, or an employee empowered to speak on behalf of the owner or an agent delivers the appeal to the Director in the form of official correspondence. The rule requires that the appeal correspondence describes the pilotage services, and that it exacts the disputed charges, the regulatory citation for the dispute, and the requested resolution.

Paragraph (c) also requires the owner or agent to provide the pilot association with a copy of the appeal, and to inform them that the disputed charges have been sent to the Director for an advisory opinion.

The association has up to 20 business days to provide the Director and the entity that provided the complaint with any further data or arguments in defense of the disputed charges. We clarify that they have 20 business days, starting upon receipt of the notice of appeal from the charterer or owner. We also remove “rates” from the subject of a dispute because the Pilots and associations do not create or set the rates; the Coast Guard sets the rates through an annual rulemaking.

In paragraph (e), we add a timeline of up to 30 business days for the Director to issue an advisory opinion. We remove the express recital that the Director considered all relevant material. Per current paragraph (e), the advisory opinion must address the disputed rates and charges, discuss the facts and information provided by both parties, and include a statement of opinion, so a recital that the Director considered the material is unnecessary.

If the Director's advisory opinion finds the disputed rates or charges are prohibited, the association currently has a reasonable time, but not more than 30 business days, to return the amount of disputed charges, as per the advisory opinion. We revise the deadline to say the association must issue any refund, according to the advisory opinion, within 30 business days.

If the pilot association or the vessel owner feels that the advisory opinion is incorrect, under new paragraph (h), they can appeal the advisory opinion to the Director of Marine Transportation Systems (CG-5PW). The pilot association can submit an appeal for adjudication of the advisory opinion within 10 business days of receiving the original advisory opinion.

§ 401.450 Pilot Change Points

In paragraph (b) of this section, the Coast Guard removes the effective date for the addition of change point, Iroquois Lock. The change point went into effect on October 2, 2017, to provide enough time for the association to hire more Pilots. Since the effective date has passed, and the change point is currently in use, we remove the start of the effective date, per GLPAC recommendation 1 from the GLPAC 2017 Annual Meeting on September 26, 2017. In paragraph (b), we also update the location of the change point for the Iroquois Lock. The change no longer happens between Iroquois Lock and the area of Ogdensburg, NY on the St. Lawrence River; the Pilot exchange now takes place in the Iroquois Lock.

In paragraph (i), the Coast Guard updates change point “Gros Cap” to “Buoy 33” of the St. Marys River, Point Iroquois. The GLPAC created a subcommittee to discuss all the pilot change points in the St. Lawrence Seaway and Great Lakes system. They found that Gros Cap was too far out of the St. Marys River, and weather conditions created unsafe conditions for the pilot boat to transfer Pilots. Buoy 33 of the St. Marys River is a better harbor to transfer Pilots, as it is safer for the Pilots to transit up and down the ladders of the vessels. This change is from GLPAC recommendation 1 from the GLPAC 2017 Annual Meeting on September 26, 2017, and conforms to current practice.

§ 401.510 Operation Without Registered Pilots

The Coast Guard removes outdated regulations in paragraphs (b)(3) through (7) of this section, which were codified when both the Department of Commerce and the Coast Guard had regulatory authority over U.S. pilotage services. From 1960 to 1967, primary responsibility for Great Lakes pilotage resided with the Department of Commerce. As the Coast Guard is now the sole Federal agency responsible for enforcing the Act, these regulations are unnecessary or cumbersome. And, because all the regulatory authority is now under the Coast Guard, we can coordinate more effectively and efficiently with Coast Guard District 9 than was possible when the authority was split between the Coast Guard and the Department of Commerce.

The regulations in § 401.510, which address operation without Registered Pilots, is significantly streamlined to reflect the current operation requirements. For example, if a Pilot is not available when needed, the Director's pilotage office can coordinate with Coast Guard District 9 much more effectively, because everything is under one agency. The 6-hour rule in current paragraphs (b)(3) and (4) has not been used since the late-1980s or early-1990s. The 6-hour period was intended as a buffer to allow the Coast Guard time to evaluate a situation before concurring with the Department of Commerce's desire to order a Pilot off their rest period. The Coast Guard monitors traffic throughout the 2,300 nautical miles in the Great Lakes system for compulsory pilotage and is now able to make these decisions in real time.

We delete paragraph (b)(5) because the language is obsolete and outlines practices that are no longer relevant to the modern pilotage industry. The decision as to whether a vessel can proceed without a Pilot rests solely with the Director. It does not require the concurrence of the Coast Guard officer to whom the violation was reported. Removing this paragraph from the CFR will prevent confusion by removing instructions that are contrary to the practices followed by modern-day Pilots.

We also delete paragraph (b)(6), which requires a pilotage pool to obtain verification from the Canadian Supervisor of Pilots that they do not have a Pilot available, for the same reasons.

The parts we retain in existing paragraphs (b)(1), (2), and (8) outline the Director's authority to allow a vessel to depart without a Registered Pilot, and sufficiently articulate that the Director will make each decision on a case-by-case basis. The Director continues to obtain Coast Guard District 9 concurrence before providing this information to the vessel.

§ 401.710 Operating Requirements for Holders of Certificates of Authorization

We update the reference in this section to the Memorandum of Understanding (MOU) to reflect the most current version of this Memorandum with the Canadian Government. The updated version is the “Memorandum of Understanding, Great Lakes Pilotage, Between The United States Coast Guard and The Great Lakes Pilotage Authority,” effective September 19, 2013, and can be found in the docket. The previous version mentioned in this section was executed in 1970 and is no longer current.

§ 402.210 Requirements and Qualifications for Registration (Medical Requirements)

The Coast Guard revises the language in this section to align the medical and vision requirements for Apprentice Pilots, United States Registered Pilots, and Temporary Registered Pilots with the existing standards for a mariner medical certificate. There is no reason to duplicate the medical requirements in the pilot regulations that already exist in 46 CFR part 10, subpart C. Aligning these regulations reduces the time and burden on Pilots having to comply with regulations in two separate parts of the CFR, per GLPAC recommendation 7 from a subcommittee meeting on April 11, 2018. We revise the requirements in this section to say that United States Registered Pilots, Apprentice Pilots, and Temporary Registered Pilots must meet the medical and physical standards for a mariner medical certificate in accordance with 46 CFR part 10, subpart C, and remove the requirements from paragraph (b), regarding disease and impairment, and from paragraph (c), regarding vision. 46 CFR part 10, subpart C sufficiently covers these medical requirements for Pilots. Pilots are still required to meet the annual physical examination requirements in 46 CFR 11.709.

The Coast Guard is also updating this section to remove the requirement that the examination be performed by a licensed medical doctor. A licensed Nurse Practitioner, a licensed Physician Assistant, or a licensed Medical Examiner may perform the required examination, in addition to licensed medical doctors. The text in § 10.302(b) is also updated to align with this change.

§ 402.220 Registration of Pilots

In this section, we update the terminology for “Apprentice Pilot” and “minimum number of round trips” to reflect changes made throughout part 401. In paragraph (a), we clarify that the pilot association training committee, pilot association president, or Director may require additional round trips. The additional rounds trips are as needed to demonstrate proficiency in a specific waterway or port to ensure maritime safety. We also remove the 1-year time limit to complete the round trips, because of limited vessel traffic in some districts and ports, meaning that some Apprentice Pilots are not able to complete the required number of training trips within 1 year. We include a caveat that the minimum number of round trips listed in the regulations, or in an Apprentice Pilot's individual training plan, does not guarantee advancement to Full Registration. This way, the pilot association and the Director can reserve the discretion to require additional round trips when necessary.

The Coast Guard removes foreign language requirements from § 402.220(b)(5) and knowledge of foreign-made navigational equipment from § 402.220(b)(10). The current pilotage regulations in paragraph (b)(5) require United States Registered Pilots to be able to provide “[instructions] in basic helm and engine telegraph orders in Greek, Spanish, German, and Italian languages.” These outdated foreign language requirements and instructions are no longer necessary or enforced because they have been superseded by international treaty requirements. Under Chapter 5, Regulation 14, paragraph 4 of the International Convention for the Safety of Life at Sea (SOLAS), all ships are required to use English as the working language for bridge-to-bridge and bridge-to-shore safety communications, as well as for communications between the Pilot and the bridge watchkeeping personnel. This change is in accordance with GLPAC recommendations 2 and 3 from the subcommittee meeting on April 11, 2018.

In addition, we update the reference to the 1977 version of the MOU referenced in this section to reflect the most current issue of this Memorandum. The updated version is the “Memorandum of Understanding, Great Lakes Pilotage, Between The United States Coast Guard and The Great Lakes Pilotage Authority,” effective September 19, 2013. The MOU can be found in the docket.

§ 402.320 Working Rules

The Coast Guard removes the working rule references in paragraphs (a)(1) through (4), and instead provides an email address where the public may request a copy of the approved working rules for each district. Each association updates its working rules frequently. It is impractical for the Coast Guard to issue regulations to update this section every time an association issues new working rules. To receive accurate information, the public can request the most current copy of the working rules by emailing the Coast Guard.

E. Technical Revisions Throughout Parts 401 and 402

Throughout parts 401 and 402, this final rule changes most instances of “shall” to “must” to conform to plain language guidelines. We change instances where the regulations require the Director or the Coast Guard to act from “shall” to “will” to clearly indicate how the Coast Guard will respond. However, we change instances where the Director or the Coast Guard needs to reserve discretion in issuing certain endorsements or decisions from “shall” to “may.”

We also change uses of “Registered Pilot” within the text of the regulations to specify exactly which phases of Pilot registration are meant, and to align these references with defined terms. We update all references to “pool” to “pilotage pool” to conform to the new definition for pilotage pool.

Additionally, in several sections, we update the mailing addresses in the regulations for the Great Lakes Pilotage Office to our current address: Great Lakes Pilotage Office, 2703 Martin Luther King Jr. Ave. SE, Mail Stop 7509, Washington, DC 20593-7509.

In certain places in the regulations, we replace “Commandant” with “Director” for decisions that are made, in practice, by the Director. This change clarifies the procedures and expectations for the public. For example, we change § 401.220(b), because the Director prescribes the minimum number of round trips and written examination for Full Registration. These changes reflect current practice.

In section 401.250, we removed the word “license” as this term is not used in this context any longer. Mariners are given “certificates with endorsements.” Another nomenclature change throughout parts 401 and 402 is changing instances of “his” to “they” or “their” to be gender inclusive.

We make several technical revisions and nomenclature changes in the Administrative Law Judge decision sections in 46 CFR part 401, subpart F, including sections 401.645 and 401.650. There are no substantive changes in subpart F.

This final rule also removes outdated references to Title 52 of the Revised Statutes and replaces them with the current statutory requirements for Great Lakes pilotage, Title 46 of the United States Code. Public Law 98-99, 97 Stat. 558 consolidated these statutory requirements into 46 U.S.C. on August 26, 1983.

VI. Regulatory Analyses

We developed this rule after considering numerous statutes and Executive orders related to rulemaking. Below we summarize our analyses based on these statutes or Executive orders.

A. Regulatory Planning and Review

Executive Orders 12866 (Regulatory Planning and Review), as amended by Executive Order 14094 (Modernizing Regulatory Review), and Executive Order 13563 (Improving Regulation and Regulatory Review) direct agencies to assess the costs and benefits of available regulatory alternatives and, if regulation is necessary, to select regulatory approaches that maximize net benefits (including potential economic, environmental, public health and safety effects, distributive impacts, and equity). Executive Order 13563 emphasizes the importance of quantifying both costs and benefits, of reducing costs, of harmonizing rules, and of promoting flexibility.

The Office of Management and Budget (OMB) has not designated this rule a significant regulatory action under section 3(f) of Executive Order 12866, as amended by Executive Order 14094 (Modernizing Regulatory Review). Accordingly, OMB has not reviewed this rule. A regulatory analysis (RA) follows. None of the public comments prompted changes to the methodology used for the regulatory analysis. Further, there are no recent wages available at the time of the final analysis. Therefore, the regulatory analysis for this final rule is as published in the NPRM with no changes.

Affected Population

The affected population for this rule includes an average of 51 U.S. Great Lakes Pilots, 9 Apprentice Pilots, and 3 Temporary Registered Pilots over a period of 5 years (2018-2022), all represented by 3 pilot associations. Table 1 shows the population from 2018 to 2023, using projections provided by the pilot associations published in the annual ratemaking for each year. Some of the changes detailed below impact a subset of this population, in which case we later detail the average of that subset, along with the cost estimate. Unless otherwise noted, the change impacts the entire affected population equally.