1625-0086 SS Great Lakes Pilotage Mar 5 2025

1625-0086

Supporting Statement

for

Great Lakes Pilotage Rate Methodology

(w/ proposed changes by USCG-2022-0025, RIN 1625-AC79

Great Lakes Pilotage Modernization)

OMB No.: 1625-0086

COLLECTION INSTRUMENTS:

CG-4509 & Instruction

1. Justification

1. Circumstances that make the collection necessary.

I. Individual Training Plans

Title 46 U.S. Code (U.S.C.) 9303 authorizes the Coast Guard to prescribe by regulation standards of

competency to be met by each applicant for registration. Prior to 2018, associations used the same

template plan for the entire district, rather than individualizing plans. Individualized training plans

better ensure that Apprentice Pilots are gaining experience in all relevant transit areas, when

compared to the prior template plans. This improves safety for the pilots and supports pilots during

the training program by ensuring that Apprentice Pilots are qualified for Full Registration at the end of

their training.

The table below identifies the parts of the CFR that the Coast Guard is now responsible for, and

shows the populations that correspond to the applicable area of regulation.

Table 1

Individual Training Plans: CFR, Subject and Affected Population

46 CFR	Subject and Affected Population
401.110	Definitions. an outline of specific requirements reviewed and approved by the Director for an Apprentice Pilot, including but not limited to the length of time to complete the training, the minimum number of round trips required, the association’s determination of proficiency, the officer endorsement on the MMC, and the Apprentice Pilot’s pilotage experience on the Great Lakes. The plan communicates the qualifications and demonstrates skills the mariners must complete to meet the proficiency requirements for which the mariner is training. Minimum number of round trips is the fewest number of successful round trips an Apprentice Pilot must perform under the direct supervision of a fully registered United States Registered Pilot or Temporary Registered Pilot, according to their individual training plan. 46 CFR 402.220 contains the minimum number of round trips for certain officer endorsements.
401.211	Requirements for training of Apprentice Pilots and Limited Registration Authorization. The Apprentice Pilot must have a Director-approved individual training plan. The Apprentice Pilot, along with the pilotage association, will record all their round trips, as per their individual training plan, and provide this information to the Director for review. Round trips completed as an Apprentice Pilot will count toward Full Registration.
401.220	Registration of pilots. Completed the minimum number of round trips prescribed by the Commandant over the waters for which application is made on oceangoing vessels, in company with a United States Registered Pilot or Temporary Registered Pilot, and in accordance with the Apprentice Pilot’s approved individual training plan;

II. Semi-annual Performance Evaluation Reports for Apprentice Pilots.

46 CFR 401.211 requires the pilot associations perform a Semi-annual Performance Evaluation Report on the Apprentice Pilot twice a year, to assess the Apprentice Pilot’s progress in the approved U.S. Great Lakes pilot training and qualification program at the established pilotage pool. Requiring the associations to submit Semi-annual Performance Evaluation Reports allows the Coast Guard and the Director’s office to better track the progression of the apprentice through the training program. The reports show (1) if an apprentice is meeting expectations and (2) if an apprentice is ultimately a good fit for the pilotage program. Where an apprentice does not meet these two conditions, reports help the Director more quickly determine if further training or dismissal from training is appropriate.

Table 2

Semi-Annual Performance Evaluation Report: CFR, Subject and Affected Population

46 CFR	Subject and Affected Population
401.110	Definitions. is an assessment performed on an Apprentice Pilot twice a year, by the association, to report the Apprentice Pilot’s progress in the approved U.S. Great Lakes pilot training and qualification program at the established pilotage pool.
401.211	Requirements for training of Apprentice Pilots and Limited Registration Authorization. The appropriate pilot association must perform a Semi-annual Performance Evaluation Report on the Apprentice Pilot twice a year, to assess the Apprentice Pilot’s progress in the approved U.S. Great Lakes pilot training and qualification program at the established pilotage pool. The evaluation must be submitted to the Director by August 15 and January 15 of each year. The report should provide a recommendation to the Director on whether to keep the Apprentice Pilot in the training program. To facilitate the training of the Apprentice Pilot, the Director may authorize Limited Registration to the Apprentice Pilot, upon the request from the pilot association. The Apprentice Pilot obtains a Limited Registration by completing and recording the requirements set forth in §401.220(b)(1). Limited Registration periods will not exceed 6 months before the need to request a renewal; the specific period is determined by the Director per 46 CFR 401.110(9). The Apprentice Pilot must maintain a favorable performance evaluation via their Semi-annual Performance Evaluation Reports and the Director must determine a need for the pilot. At any time, this authorization may be revoked at the discretion of the Director.

III. Removing monthly availability reports.

Often availability reports do not communicate meaningful information because in practice pilots are listed as always available if they need to be called in. Eliminating this requirement will benefit the pilots and apprentices through saved time.

IV. Disputes

46 CFR part 401.431, the appeal, for a dispute must be official correspondence from either the vessel owner, vessel charterer, or an agent or employee empowered to speak on behalf of the owner or charterer. By changing “in writing” to “official correspondence” for disputes, the Coast Guard provides more flexibility in how a dispute can be formally submitted. The proposed revisions to the regulatory text more explicitly outline that the letter expressing the dispute must include the vessel name, date of service, and reference number for the invoice/bill, the exact amount of dispute, regulatory citation for dispute, and the requested resolution. Outlining these requirements should result in a more standardized, higher-quality submission that expedites the Director’s decision on the dispute leading to a quicker resolution for the submitter of the dispute.

Table 3

Disputes: CFR, Subject and Affected Population

46 CFR

Subject and Affected Population

401.431

Disputed charges. Any rate or charge applied against any vessel, owner, or master thereof by a registered pilot or pilot association that the owner or master disputes as a charge prohibited by §401.430 may be appealed to the Director, within 60 business days of the date the pilot association issues the bill, for an advisory opinion as to whether such rate or charge is a prohibited charge. The pilot association must be allowed 20 business days from receiving the notice of appeal in which to provide any data or arguments desired to be submitted in further defense of the disputed charges. The Director must consider all relevant matters presented and issue an advisory opinion within 30 business days of receiving the pilot association’s submission(s) per paragraph (d) of this section. The advisory opinion must set forth the rates and charges in dispute, a discussion of the facts and relevant information considered, and a statement of opinion. When the opinion of the Director is that the disputed rates or charges are prohibited by § 401.430, the respondent must refund moneys, adjust invoices, and otherwise conform to the advisory opinion within thirty (30) business days.

V. Submission of Medical Certificates

Aligning medical and vision requirements for Apprentice Pilots, United States Registered Pilots, and Temporary Registered pilots with the existing MMC medical certification standards. This change was a recommendation from the Great Lakes Pilotage Advisory Committee in 2018. Therefore, this practice began in 2018. Alignment of these requirements would prevent confusion and avoid delays when submitting and processing an apprentice pilot’s application.

Table 3

Submission of Medical Certificates: CFR, Subject and Affected Population

46 CFR	Subject and Affected Population
402.210	Requirements and qualifications for registration. Pursuant to §401.210(a)(4), each applicant for an original registration at the time of application and each Apprentice Pilot, United States Registered Pilot, and Temporary Registered Pilot is required to pass a physical examination in accordance with Subpart C of 46 CFR part 10.

2) Purpose of the information collection.

I. Individual Training Plans

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.  

II. Semi-annual Performance Evaluation Reports for Apprentice Pilots.

The Coast Guard adds a new language 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 year. 

 

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 a positive endorsement from the pilot association’s training committee or president for the Director’s consideration. The 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. 

III. Removing monthly availability reports.

The Coast Guard removes the requirement that Pilots and Apprentice Pilots submit monthly availability reports. Often these availability reports do not communicate meaningful information because, in practice, Pilots are listed as always available if they could be called in. Therefore, the Coast Guard no longer sees a benefit in requiring these reports.

IV. Disputes

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 days of the date the pilot association issues the bill. 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.   

This rule 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 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 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 days of receiving the original advisory opinion.  

V. Submission of Medical Certificates

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 MMC medical certification standards. 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.

3) Consideration of the use of improved information technology.

The information may be submitted in writing or electronically via ground carrier or email. All forms for this collection can be requested from the Great Lakes Pilotage Office via the share mailbox: HQS-SMB-CG-WWW2-GreatLakesPilotage LINK and will be provided via email. We estimate that 100% of the reporting and recordkeeping requirements can be done electronically. At this time, we estimate that 80% are done electronically.

I. Individual Training Plan

Individual training plans are generated in letter form by the pilot Associations, and may be submitted in hard copy or electronically via e­mail directly to the Director or to the Great Lakes Pilotage Office via the share mailbox: HQS-SMB-CG-WWW2-GreatLakesPilotage LINK. This collection is required by statute, and/or regulation as noted in section 1 of the Supporting Statement.

II. Semi-Annual Performance Evaluation Reports.

Semi-Annual Performance Evaluation Reports are generated in letter form by the pilot Associations, and may be submitted in hard copy or electronically via e­mail directly to the Director or to the Great Lakes Pilotage Office via the share mailbox: HQS-SMB-CG-WWW2-GreatLakesPilotage LINK. This collection is required by statute, and/or regulation as noted in section 1 of the Supporting Statement.

III. Disputes

Disputes are generated on official correspondence, usually in letter form, by the shippers and may be submitted in hard copy or electronically via e-mail directly to the Director or to the Great Lakes Pilotage Office via the share mailbox: HQS-SMB-CG-WWW2-GreatLakesPilotage LINK. This collection is required by statute, and/or regulation as noted in section 1 of the Supporting Statement.

Regarding Usability Testing, this ICR—

• The Office of Waterways & Ocean Policy (CG-WWM) conducted Usability testing to determine if the Instructions and Form associated with this collection used plain language. All participants were members of the United States Coast Guard but were not affiliated with the program office. CG-WWM found that respondents understood the Instructions and Form and had no questions regarding the content. As such, no changes were made to the collection.

• Is required by statute, and/or regulation as noted in sections 1 and 3 of the Supporting Statement.

4) Efforts to identify duplication.

There is no duplication of this information at the Federal level. The Coast Guard is the only Federal agency that collects this information from the marine industry and the public.

5) Methods used to minimize the burden to small businesses if involved.

This information collection does not have an impact on small businesses or other small entities.

6) Consequences to the Federal program if collection were conducted less frequently.

I. Individual Training Plan

Information is collected only upon occurrence of an Applicant being hired to participate in an approved training and qualifications program at an authorized pilotage pool. If there is not a need for more pilots, this collection is not necessary.

II. Semi-annual Performance Evaluation Reports for Apprentice Pilots.

Information is collected twice a year (NLT August 15 and January 15) on an Apprentice Pillot participating in an approved training and qualifications program at an authorized pilotage pool. If these reports were collected less frequently, the CG would not be able to fairly track the Apprentice Pilots progress in the training program. Also, this frequency provides a breaking point for the Director, Pilot Association, or Apprentice Pilot, if deemed the individual is not fit for the training program.

III. Disputes

Information is collected only upon occurrence of a disputed bill/invoice from shippers for pilotage services. This collection only comes to the CG, if the dispute cannot be rectified between the shipper and the Pilot Association.

7) Special collection circumstances.

This information collection is conducted in manner consistent with the guidelines in 5 CFR 1320.5(d)(2).

8) Consultation.

The Coast Guard published on November 21, 2023, a Notice of Proposed Rulemaking (NPRM) titled "Great Lakes Pilotage Modernization” [USCG-2022-0025, RIN 1625-AC79; 88 FR 81294]

The Coast Guard published on September 17, 2024, a Final Rule titled "Great Lakes Pilotage Modernization” [USCG-2022-0025, RIN 1625-AC79; 89 FR 76312]

Comment: Request further context on the joint vessel master/pilot agreement required by 401.420(c). What constitutes proof?

CG response: 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.”

Comment: Received comments from the American Association of Nurse Practitioners (AANP) and the American Academy of PA’s (AAPA), both supporting the proposed alignment of the medical requirements for Great Lakes pilots with the Merchant Mariner Credential (MMC) medical certification standards.

CG Response: The Coast Guard modified 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.

Also, the Coast Guard agreed in the proposed rule, we overlooked the mention of Great Lakes pilotage medical requirements in 10.302(b). With this final rule, we removed the language specific to Great Lakes Pilots medical examination from 10.302(b).

In addition to those comments that precipitated changes from what the Coast Guard 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.

Comment: Received from 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.

CG Response: Yes, a Canadian Pilot can train the Apprentice Pilot with the Director’s prior approval.

Comment: From the same commenter, asked to change the reporting deadlines from August and January 15th to the end of each month.

CG Response: The Coast Guard disagreed with adjusting the dates. Particularly when it comes to January, we believe that the closer the deadline is to the date when the Seaway Locks close, the easier it is for the districts to comply.

Comment: From the same commenter above, asked the Coast Guard to further define the term “weather,” within the context of the proposed § 401.420.

CG Response: The Coast Guard defers to the plain meaning of the word. And, 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.

Comment: From the same commenter above, 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.

CG Response: 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.

9) Provide any payment or gift to respondents.

There is no offer of monetary or material value for this information collection.

10) Assurances of confidentiality provided to respondents.

There are no assurances of confidentiality provided to the respondents for this information collection. This information collection request is covered by the Privacy Impact Assessment (PIA) and System of Records Notice (SORN).

11) Additional justification for any questions of a sensitive nature.

This collection does not include any sensitive information.

12) Estimate of annual hour and cost burden.

• The estimated annual number of respondents is 22.

• The estimated annual number of responses is 3625.

• The estimated annual hour burden is 3524 hours.

• The estimated annual cost burden is $8817.

The burden to respondents is provided in Appendix A

I. Individual Training Plan

We estimate that it takes about 2 hours for a captain, mate, and pilots of water vessels to generate and submit these plans when necessary. The base wage of captains, mates, and pilots of water vessels is $50.09 as of May 2022, per https://www.bls.gov/oes/2022/may/oes535021.htm. The load factor of 1.46 is obtained by dividing total hourly compensation for Transportation and Material Moving Occupations of $33.07 by hourly wages (CMU2010000520000D) and salaries of $22.64 (CMU2020000520000D).

II. Semi-annual Performance Evaluation Reports for Apprentice Pilots

We estimate that it takes about 6 hours for a captain, mate, and pilots of water vessels to generate and submit these reports twice a year for each Apprentice Pilot. The base wage of captains, mates, and pilots of water vessels is $50.09 as of May 2022, per https://www.bls.gov/oes/2022/may/oes535021.htm. The load factor of 1.46 is obtained by dividing total hourly compensation for Transportation and Material Moving Occupations of $33.07 by hourly wages (CMU2010000520000D) and salaries of $22.64 (CMU2020000520000D).

III. Disputes

We estimate that it takes about an additional 30 minutes (0.5 hours) for a captain, mate, and pilots of water vessels to generate and submit these disputes when necessary. The base wage of captains, mates, and pilots of water vessels is $50.09 as of May 2022, per https://www.bls.gov/oes/2022/may/oes535021.htm. The load factor of 1.46 is obtained by dividing total hourly compensation for Transportation and Material Moving Occupations of $33.07 by hourly wages (CMU2010000520000D) and salaries of $22.64 (CMU2020000520000D).

13) Estimate of annualized capital and start-up costs.

There are no capital, start-up or maintenance costs associated with this information collection.

14) Estimates of annualized cost to the Federal Government.

The estimated annual Federal Government cost is $935 (see Appendix B).

I. Individual Training Plan

We estimate that it takes 30 minutes (0.5 hours) for the Director’s office to review these plans. The loaded wage of $113.95 (rounded) comes from the base hourly wage of $68.55 for a GS-14 Step 5 from the DC region multiplied by a load factor of 1.66, per https://www.opm.gov/policy-data- oversight/pay-leave/salaries-wages/salary-tables/pdf/2022/DCB_h.pdf.

II. Semi-annual Performance Evaluation Reports for Apprentice Pilots

We estimate that it takes 20 minutes (0.33 hours) for the Director’s office to review these plans. The loaded wage of $113.95 (rounded) comes from the base hourly wage of $68.55 for a GS-14 Step 5 from the DC region multiplied by a load factor of 1.66, per https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/pdf/2022/DCB_h.pdf.

15) Explain the reasons for change in burden.

The change (i.e., increase) in burden is a REGULATORY CHANGE due to the 1625-AC79 Great Lakes Modernization rulemaking. The rulemaking proposes to update the regulatory requirements for submitting Individual Training Plans and Semi-Annual Performance Evaluation Reports. And to changing the correspondence method to submitting disputes. The methodology for pilot compensation rate calculation burden remains unchanged.

16) Plans for tabulation, statistical analysis and publication.

This information collection will not be published for statistical purposes.

17) Approval for not explaining the expiration date for 0MB approval.

The Coast Guard will display the expiration date for 0MB approval of this information collection.

18) Exception to the certification statement.

The Coast Guard does not request an exception to the certification of this information collection.

B. Collection of Information Employing Statistical Methods

This information collection does not employ statistical methods.

Appendix A: Total Estimated Annual Burden on Industry

Reporting and recordkeeping

Requirement	Respondents	Responses per Respondent	Responses	Burden/ Hours Response	Annual Hr Burden	Wage rate	Annual Cost Burden
46 CFR 401.211(g)
Individual Training Plan	6	1	6	2	12	$73.17	$878
46 CFR 401.211(h)
Semi-Annual Performance Evaluation Report	6	3	18	6	108	$73.17	$7902
46 CFR 401.431(b)
Disputes	1	1	1	.5	.5	$73.17	$37
Total Annual	13		25		121		$8817

NOTE: Estimates may not sum due to rounding.

Appendix B: Estimated Annual Federal Government Cost

Category	Responses	Buerden Hours/ Responses	Annual Hours	Wage Rate	Annual Cost
Individual Training Plan Reviews	5	.5	2.5	$113.95	$285
Semi-Annual Performance Evaluation Report	18	.33	5.94	$113.95	$677
Total Annual	23		8.0		$935

NOTE: Estimates may not sum due to rounding.