Subchapter B—Merchant Marine Officers and Seamen

SUBCHAPTER B—MERCHANT MARINE OFFICERS AND SEAMEN

PART 10—MERCHANT MARINER 10.403 General standards. 10.404 Substitution of training for required CREDENTIAL service, use of training-record books (TRBs), and use of towing officer assess- Subpart A—General ment records (TOARs). 10.405 Qualification as qualified assessor Sec. (QA) and designated examiner (DE). 10.101 Purpose. 10.406 Approved courses. 10.103 Incorporation by reference. 10.407 Approval of training programs. 10.105 Paperwork approval. [Reserved] 10.408 Coast Guard-accepted training other 10.107 Definitions in subchapter B. than approved courses and programs. 10.109 Classification of endorsements. 10.409 Coast Guard-accepted Quality Stand- ard System (QSS) organizations. Subpart B—General Requirements for All 10.410 Quality Standard System (QSS) re- Merchant Mariner Credentials quirements. 10.411 Simulator performance standards. 10.201 General characteristics of the mer- 10.412 Distance and e-learning. chant mariner credential. 10.203 Requirement to hold a TWIC and a AUTHORITY: 14 U.S.C. 633; 31 U.S.C. 9701; 46 merchant mariner credential. U.S.C. 2101, 2103, 2110; 46 U.S.C. chapter 71; 46 10.205 Validity of a merchant mariner cre- U.S.C. chapter 73; 46 U.S.C. chapter 75; 46 dential. U.S.C. 2104; 46 U.S.C. 7701, 8903, 8904, and 10.207 Identification number. 70105; Executive Order 10173; Department of 10.209 General application procedures. Homeland Security Delegation No. 0170.1. 10.211 Criminal record review. 10.213 National Driver Register. SOURCE: USCG–2006–24371, 74 FR 11216, Mar. 10.214 Security Check. 16, 2009, unless otherwise noted. 10.217 Merchant mariner credential application and examination locations. Subpart A—General 10.219 Fees. 10.221 Citizenship. § 10.101 Purpose. 10.223 Modification or removal of limitations or scope. The regulations in this part provide: 10.225 Requirements for original merchant (a) A means of determining and mariner credentials. verifying the qualifications an appli- 10.227 Requirements for renewal. cant must possess to be eligible for cer- 10.229 Replacement of lost merchant mar- tification to serve on merchant vessels; iner credentials. (b) A means of determining that an 10.231 Requirements for raises of grade or applicant is competent to serve under new endorsements. 10.232 Sea service. the authority of his or her merchant 10.233 Obligations of the holder of a mer- mariner credential (MMC); chant mariner credential. (c) A means of confirming that an ap- 10.235 Suspension or revocation of merchant plicant does not pose a threat to na- mariner credentials. tional security through the require- 10.237 Right of appeal. ment to hold a Transportation Worker 10.239 Quick reference table for MMC re- Identification Credential (TWIC); and quirements. (d) A means of determining whether Subpart C—Medical Certification the applicant for an MMC is a safe and suitable person. 10.301 General requirements. 10.302 Medical and physical requirements. [USCG–2006–24371, 74 FR 11216, Mar. 16, 2009, 10.303 Medical waivers, limitations, and re- as amended by USCG–2004–17914, 78 FR 77882, strictions. Dec. 24, 2013] 10.304 General medical exam. 10.305 Vision requirements. § 10.103 Incorporation by reference. 10.306 Hearing requirements. (a) Certain material is incorporated by reference into this part with the ap- Subpart D—Training Courses and Programs proval of the Director of the Federal 10.401 Applicability. Register under 5 U.S.C. 552(a) and 1 10.402 Approval of training courses. CFR part 51. To enforce any edition

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other than that specified in this sec- Able seafarer-deck means a rating tion, the Coast Guard must publish no- qualified in accordance with the provi- tice of change in the FEDERAL REG- sions of Regulation II/5 of the STCW ISTER and the material must be avail- Convention. able to the public. All approved mate- Able seafarer-engine means a rating rial is available for inspection at the qualified in accordance with the provi- National Archives and Records Admin- sions of Regulation III/5 of the STCW istration (NARA). For information on Convention. the availability of this material at Apprentice mate (steersman) of towing NARA, call 202–741–6030 or go to http:// vessels means a credentialed mariner in www.archives.gov/federallregister/ training to perform bridge codeloflfederallregulations/ watchkeeping duties onboard a towing ibrllocations.html. Also, it is available vessel, who must be under the direct for inspection at the Commandant (CG– supervision and in the continuous pres- OES–1), Attn: Marine Personnel Quali- ence of a master or mate (pilot) of tow- fications Division, U.S. Coast Guard ing vessels. Stop 7509, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593–7509, Approved means approved by the 202–372–1405 and is available from the Coast Guard. sources indicated in this section. Approved training means training (b) International Maritime Organiza- that is approved by the Coast Guard or tion (IMO), 4 Albert Embankment, meets the requirements of § 10.408 of London SE1 7SR, England, telephone: + this part. 44 (0)20 7735 7611, http://www.imo.org: Articulated tug barge or ATB means (1) The International Convention on any tug-barge combination which, Standards of Training, Certification through the use of an articulated or and Watchkeeping for Seafarers, 1978, ‘‘hinged’’ connection system between as amended, 2011 (the STCW Conven- the tug and barge, allows independent tion or the STCW), incorporation by movement in the critical area of fore reference approved for §§ 10.107, 10.109, and aft pitch. 10.201, and 10.410. Assistance towing means towing a dis- (2) The Seafarers’ Training, Certifi- abled vessel for consideration. cation and Watchkeeping Code, as Assistant engineer, for national en- amended, 2011 (the STCW Code), incor- dorsements, means a qualified officer in poration by reference approved for the engine department other than the §§ 10.107, 10.109, 10.201, 10.404, 10.411, and chief engineer. 10.412. Authorized official includes, but is not [USCG–2006–24371, 74 FR 11216, Mar. 16, 2009, limited to, a Federal, State or local as amended by USCG–2009–0702, 74 FR 49224, law enforcement officer. Sept. 25, 2009; USCG–2013–0671, 78 FR 60145, Ballast control operator or BCO means Sept. 30, 2013; USCG–2004–17914, 78 FR 77882, an officer restricted to service on mo- Dec. 24, 2013] bile offshore drilling units (MODUs) whose duties involve the operation of § 10.105 Paperwork approval. [Re- served] the complex ballast system found on many MODUs. When assigned to a § 10.107 Definitions in subchapter B. MODU, a ballast control operator is (a) With respect to part 16 of this equivalent to a mate on a conventional subchapter only, if the definitions in vessel. paragraph (b) of this section differ from Barge means a non-self propelled ves- those set forth in § 16.105, the definition sel as defined in 46 U.S.C 102. set forth in § 16.105 applies. Barge supervisor or BS means an offi- (b) As used in this subchapter, the cer restricted to service on MODUs following terms apply only to mer- whose duties involve support to the off- chant marine personnel credentialing shore installation manager (OIM) in and the manning of vessels subject to marine-related matters including, but the manning provisions in the naviga- not limited to, maintaining watertight tion and shipping laws of the United integrity, inspecting and maintaining States: mooring and towing components, and

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maintaining emergency and other ma- material or process meets the applica- rine-related equipment. A barge super- ble requirements. visor, when assigned to a MODU, is Coast Guard-accepted QSS organization equivalent to a mate on a conventional means an entity that has been ap- vessel. proved by the Coast Guard to accept Boatswain means the leading seaman and monitor training on behalf of the and immediate supervisor of deck crew Coast Guard. who supervises the maintenance of Coastwise seagoing vessel means a ves- deck gear. sel that is authorized by its Certificate Boundary line marks the dividing of Inspection to proceed beyond the point between internal and offshore Boundary Line established in part 7 of waters for the purposes of several U.S. this chapter. statutes and, with exceptions, gen- Coastwise voyage is a domestic voyage erally follows the trend of the seaward, and means a voyage in which a vessel highwater shorelines. See 46 CFR part proceeds— 7. (1) From one port or place in the Cargo engineer means a person hold- United States to another port or place ing an officer endorsement on a dan- in the United States; gerous-liquid tankship or a liquefied- (2) From a port or place in a United gas tankship whose primary responsi- States possession to another port or bility is maintaining the cargo system place in the same possession, and and cargo-handling equipment. passes outside the line dividing inland Ceremonial license means a document waters from the high seas; or that reflects a mariner’s existing na- (3) From a port or place in the United tional officer endorsement and is suit- States or its possessions and passes able for framing, but is not valid for outside the line dividing inland waters use as a Merchant Mariner Credential from the high seas and navigates on (MMC). the high seas, and then returns to the same port or place. Chemical tanker means a tank vessel Communicable disease means any dis- that is certificated to carry or carries ease capable of being transmitted from chemicals in bulk as cargo or cargo one person to another directly, by con- residue. For the purposes of qualifying tact with excreta or other discharges for an STCW endorsement for advanced from the body; or indirectly, via sub- chemical tanker cargo operations, this stances or inanimate objects contami- includes tank barges. nated with excreta or other discharges means the senior engi- Chief engineer from an infected person. Pursuant to 42 neer responsible for the mechanical U.S.C. 12113, the Department of Health propulsion and the operation and main- and Human Services periodically pub- tenance of the mechanical and elec- lishes in the FEDERAL REGISTER a list trical installations of the vessel. of infectious and communicable dis- Chief mate means the deck officer eases that are transmissible through next in rank to the master and upon the food supply, and that list provides whom the command of the vessel will examples of communicable diseases for fall in the event of incapacity of the purposes of § 10.304 of this title. master. Conviction means that the applicant Coast Guard-accepted means— for a merchant mariner credential has (1) That the Coast Guard has offi- been found guilty, by judgment or plea cially acknowledged in writing that by a court of record of the United the material or process at issue meets States, the District of Columbia, any the applicable requirements; State, territory, or possession of the (2) That the Coast Guard has issued United States, a foreign country, or an official policy statement listing or any military court, of a criminal fel- describing the material or process as ony or misdemeanor or of an offense meeting the applicable requirements; described in section 205 of the National or Driver Register Act of 1982, as amended (3) That an entity acting on behalf of (49 U.S.C. 30304). If an applicant pleads the Coast Guard under a Memorandum guilty or no contest, is granted de- of Agreement has determined that the ferred adjudication, or is required by

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the court to attend classes, make con- hours, and no additional credit is re- tributions of time or money, receive ceived for periods served over 8 hours. treatment, submit to any manner of For cadet service on a training ship probation or supervision, or forgo ap- furnished by the Maritime Administra- peal of a trial court’s conviction, then tion under 46 CFR 310.4, a day may be the Coast Guard will consider the ap- creditable as 11⁄2 days of service. plicant to have received a conviction. Deck crew (excluding individuals serv- A later expungement of the conviction ing under their officer endorsement) will not negate a conviction unless the means, as used in 46 U.S.C. 8702, only Coast Guard is satisfied that the the following members of the deck de- expungement is based upon a showing partment: able seamen, boatswains, that the court’s earlier conviction was and ordinary seamen. in error. Deck department means the depart- Credential means any or all of the fol- ment aboard a ship responsible for lowing: navigation, cargo, command, and con- (1) Merchant mariner’s document. trol functions. (2) License. Designated areas means those areas (3) STCW endorsement. within pilotage waters for which first- (4) Certificate of registry. class pilot’s endorsements are issued (5) Merchant Mariner Credential. under part 11, subpart G, of this chap- Criminal record review means the proc- ter, by the Officer in Charge, Marine ess or action taken by the Coast Guard Inspection (OCMI). The areas for which to determine whether an applicant for, first-class pilot’s endorsements are or holder of, a credential is a safe and issued within a particular Marine In- suitable person to be issued such a cre- spection Zone and the specific require- dential or to be employed on a vessel ments to obtain them may be obtained under the authority of such a creden- from the OCMI concerned. tial. Designated duty engineer or DDE Dangerous drug means a narcotic means a qualified engineer, who may drug, a controlled substance, or a con- be the sole engineer on vessels with a trolled-substance analogue (as defined periodically unmanned engine room. in section 102 of the Comprehensive Designated examiner or DE means a Drug Abuse and Control Act of 1970 (21 person who has been trained or in- U.S.C. 802)). structed in techniques of training or Dangerous liquid or DL means a liquid assessment on towing vessels and is listed in 46 CFR 153.40 of this chapter otherwise qualified to evaluate wheth- that is not a liquefied gas as defined in er an applicant has achieved the level this part. Liquid cargoes in bulk listed of proficiency required to hold a towing in 46 CFR part 153, Table 2, of this vessel endorsement on a merchant chapter are not dangerous-liquid car- mariner credential (MMC). This person goes when carried by non-oceangoing must be approved by the Coast Guard. barges. Designated medical examiner means a Day means, for the purpose of com- licensed physician, licensed physician’s plying with the service requirements of assistant, or licensed nurse practi- this subchapter, 8 hours of tioner who has been trained and ap- watchstanding or day-working not to proved to conduct medical and physical include overtime. On vessels authorized examinations of merchant mariners on by 46 U.S.C. 8104 and 46 CFR 15.705, to behalf of the U.S. Coast Guard and may operate a two-watch system, a 12-hour be delegated limited authority to grant working day may be creditable as 1 1/2 waivers and approve physical/medical days of service. On vessels of less than suitability for service. 100 GRT, a day is considered as 8 hours Directly supervised/direct supervision unless the Coast Guard determines (only when referring to issues related to that the vessel’s operating schedule tankermen) means being in the direct makes this criteria inappropriate; in line of sight of the person-in-charge or no case will this period be less than 4 maintaining direct, two-way commu- hours. When computing service on nications by a convenient, reliable MODUs for any endorsement, a day of means, such as a predetermined work- MODU service must be a minimum of 4 ing frequency over a handheld radio.

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Disabled vessel means a vessel that cluding deck machinery and cargo-han- needs assistance, whether docked, dling equipment. moored, anchored, aground, adrift, or Entry-level mariner means a mariner underway. This does not mean a barge holding no rating other than ordinary or any other vessel not regularly oper- seaman, wiper, steward’s department, ated under its own power. or steward’s department food handler Document of Continuity means a docu- (F.H.). ment issued by the Coast Guard to sea- Evaluation means processing an appli- farers who are unwilling or otherwise cation, from the point of receipt to ap- unable to meet the requirements of proval or denial of the application, in- § 10.227, for the sole purpose of main- cluding review of all documents and taining an individual’s eligibility for records submitted with an application renewal of an endorsement. as well as those obtained from public Domestic voyage means a voyage from records and databases. one United States port to another Fails a chemical test for dangerous United States port, without entering drugs means that the result of a chem- waters under the jurisdiction of an- ical test conducted under 49 CFR part other country unless the United States 40 was reported as ‘‘positive’’ by a Med- has entered into a treaty or an agree- ical Review Officer because the chem- ment with that country respecting mu- ical test indicated the presence of a tual recognition of national mariner dangerous drug at a level equal to or qualifications. This includes a voyage exceeding the levels established in 49 to nowhere that returns to the origi- CFR part 40. nating port. Drug test means a chemical test of an First assistant engineer means the en- individual’s urine for evidence of dan- gineer officer next in rank to the chief gerous drug use. engineer and upon whom the responsi- Dual-mode integrated tug barge means bility for the mechanical propulsion an integrated tug barge (ITB) involving and the operation and maintenance of an articulated (flexible) coupling sys- the mechanical and electrical installa- tem where the towing unit rolls and tions of the vessel will fall in the event heaves (articulates) about a horizontal of the incapacity of the chief engineer. pivot point. Dual mode units resemble Great Lakes, for the purpose of calcu- a conventional tug and are capable of lating service requirements for an en- towing in other configurations (astern dorsement, means the Great Lakes and or alongside). their connecting and tributary waters, Electro-technical officer means an offi- including the Calumet River as far as cer qualified in accordance with the the Thomas J. O’Brien Lock and Con- provisions of Regulation III/6 of the trolling Works (between miles 326 and STCW Convention. 327), the Chicago River as far as the Electro-technical rating means a rating east side of the Ashland Avenue Bridge qualified in accordance with the provi- (between miles 321 and 322), and the sions of Regulation III/7 of the STCW Saint Lawrence River as far east as the Convention. lower exit of Saint Lambert Lock. For Employment assigned to means the purposes of requiring MMCs with rat- total period of time a person is as- ing endorsements, the connecting and signed to work on MODUs, including tributary waters are not part of the time spent ashore as part of normal Great Lakes. crew rotation. Gross register tons or GRT means the Endorsement is a statement of a mari- gross ton measurement of the vessel ner’s qualifications and, for the pur- under 46 U.S.C. chapter 145, Regulatory poses of this chapter, includes only Measurement. those endorsements listed in § 10.109 of Gross tonnage or GT means the gross this part. tonnage measurement of the vessel Engine department means the depart- under 46 U.S.C. chapter 143, Convention ment aboard a ship responsible for the Measurement. main propulsion and auxiliary systems, Harbor assist means the use of a tow- and other mechanical, electrical, hy- ing vessel during maneuvers to dock, draulic, and refrigeration systems, in- undock, moor, or unmoor a vessel, or

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to escort a vessel with limited maneu- 15, means a vessel of more than 70,000 verability. gross tons, as measured under 46 U.S.C. High-speed craft type rating (HSC) 14302 and documented under the laws of means an endorsement for specific duty the United States, with capacity for at on a particular type and model of high- least 2,000 passengers and a coastwise speed craft (compliant with the high- endorsement under 46 U.S.C. chapter speed craft code). 121. Horsepower or HP means, for the pur- Lifeboatman means a mariner who is pose of this subchapter, the total max- qualified to take charge of, lower, and imum continuous shaft horsepower of operate survival craft and related sur- the entire vessel’s main propulsion ma- vival equipment on a vessel. chinery as determined by the manufac- Lifeboatman-Limited means a mariner turer. This term is used when describ- who is qualified to take charge of, ing a vessel’s propulsion power and also lower, and operate liferafts, rescue when placing limitations on an engi- boats, and other survival equipment on neer officer license or endorsement. vessels where lifeboats are not in- One horsepower equals 0.75 kW. stalled. ILO means the International Labour Liquefied gas or LG means a cargo Organization. that has a vapor pressure of 172 kPa (25 IMO means the International Mari- psia) or more at 37.8 °C (100 °F). time Organization. Liquefied gas tanker means a tank Increase in scope means additional au- vessel that is certificated to carry or thority added to an existing credential, carries liquefied gases in bulk as cargo such as adding a new route or increas- or cargo residue. For the purposes of ing the authorized horsepower or ton- qualifying for an STCW endorsement nage. for advanced liquefied gas tanker cargo Inland waters means the navigable operations, this includes tank barges. waters of the United States shoreward Liquid cargo in bulk means a liquid or of the Boundary Lines as described in liquefied gas listed in § 153.40 of this part 7 of this chapter, excluding the chapter and carried as a liquid cargo or Great Lakes, and, for towing vessels, liquid-cargo residue in integral, fixed, excluding the Western Rivers. or portable tanks, except a liquid cargo means any Integrated tug barge or ITB carried in a portable tank actually tug barge combination which, through loaded and discharged from a vessel the use of special design features or a with the contents intact. specially designed connection system, Management level means the level of has increased seakeeping capabilities responsibility associated with— relative to a tug and barge in the conventional pushing mode. An ITB can be (1) Serving as master, chief mate, divided into either a dual-mode ITB or chief engineer officer or second engi- a push-mode ITB. The definitions for neer officer onboard a seagoing ship; those categories can be found else- and where in this section. (2) Ensuring that all functions within Invalid credential means an MMC, the designated area of responsibility MMD, license, STCW endorsement, or are properly performed. Certificate of Registry that has been Marine chemist means a person cer- suspended or revoked, has expired, has tificated by the National Fire Protec- been tampered with, has not been tion Association as a marine chemist. signed, or has been superseded in ac- Master means the officer having com- cordance with § 10.205 of this part. mand of a vessel. ISM means the International Safety Mate means a qualified officer in the Management Code. deck department other than the mas- Kilowatt or kW means 11⁄3 horsepower. ter. This term is used when describing a Medical Certificate means a certificate vessel’s propulsion power and also issued by the Coast Guard under 46 when placing limitations on an engi- CFR part 10, subpart C that serves as neer officer license or endorsement. proof that the seafarer meets the med- Large passenger vessel, for the pur- ical and physical standards for mer- poses of subpart H of part 12, and part chant mariners.

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Merchant Mariner Credential or MMC NDR-listed convictions means a con- means a credential issued by the Coast viction of any of the following motor Guard under 46 CFR part 10. It com- vehicle-related offenses or comparable bines the individual merchant mari- offenses: ner’s document, license, and certificate (1) Operating a motor vehicle while of registry enumerated in 46 U.S.C. under the influence of, or impaired by, subtitle II part E as well as the STCW alcohol or a controlled substance; or endorsement into a single credential (2) A traffic violation arising in con- that serves as the mariner’s qualifica- nection with a fatal traffic accident, tion document, certificate of identi- reckless driving, or racing on the high- fication, and certificate of service. ways. MMC application means the applica- Near-coastal means ocean waters not tion for the MMC, as well as the appli- more than 200 miles offshore from the cation for any endorsement on an U.S. and its possessions, except for MMC. MMCs endorsed as Operator of Mobile offshore drilling unit or MODU Uninspected Passenger Vessel for means a vessel capable of engaging in which near-coastal is limited to waters drilling operations for the exploration not more than 100 miles offshore from for or exploitation of subsea resources. the U.S. and its possessions. This would MODU designs include the following: also include those near-coastal waters (1) Bottom bearing units, which in- identified by another Administration clude— when the U.S. has entered into a treaty or an agreement with that country re- (i) Self-elevating (or jack-up) units specting the recognition of the U.S. with moveable, bottom bearing legs ca- near-coastal endorsement. pable of raising the hull above the sur- Non-resident alien, for the purposes of face of the sea; and subchapter H of part 12, and part 15, (ii) Submersible units of ship-shape, means an individual who is not a cit- barge-type, or novel hull design, other izen or alien lawfully admitted to the than a self-elevating unit, intended for United States for permanent residence, operating while bottom bearing. but who is employable in the United (2) Surface units with a ship-shape or States under the Immigration and Na- barge-type displacement hull of single tionality Act (8 U.S.C. 1101 et seq.), in- or multiple hull construction intended cluding an alien crewman described in for operating in a floating condition, section 101(a)(15)(D)(i) of that Act who including semi-submersibles and drill meets the requirements of 46 U.S.C. ships. 8103(k)(3)(A). Month means 30 days, for the purpose Oceans means the waters seaward of of complying with the service require- the Boundary Lines as described in 46 ments of this subchapter. CFR part 7. For the purposes of estab- National Driver Register or NDR means lishing sea service credit, the waters of the nationwide repository of informa- the Inside Passage between Puget tion on drivers maintained by the Na- Sound and Cape Spencer, Alaska, and tional Highway Traffic Safety Admin- the inland waters of another country istration under 49 U.S.C. chapter 303. are not considered oceans. National officer endorsement means an Officer endorsement means an annota- annotation on an MMC that allows a tion on an MMC that allows a mariner mariner to serve in the capacities list- to serve in the capacities listed in ed in § 10.109(a) of this part. The officer § 10.109 of this part. endorsement serves as the license and/ Officer in Charge, Marine Inspection, or or certificate of registry pursuant to 46 OCMI means, for the purposes of this U.S.C. subtitle II part E. subchapter, the commanding officer of National rating endorsement means an the National Maritime Center, or any annotation on an MMC that allows a person designated as such by the Com- mariner to serve in those capacities set mandant, in accordance with 46 CFR out in § 10.109(b) and (c) of this part. 1.01–5(b). The rating endorsement serves as the Officer in charge of an engineering merchant mariner’s document pursu- watch in a manned engine room or des- ant to 46 U.S.C. subtitle II part E. ignated duty engineer in a periodically

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unmanned engine room (OICEW) means Participation, when used with regard an engineering officer qualified at the to the service on transfers required for operational level. tankerman by §§ 13.120, 13.203, or 13.303 Officer in charge of a navigational of this chapter, means either actual watch (OICNW) means a deck officer participation in the transfers or close qualified at the operational level. observation of how the transfers are Offshore installation manager or OIM conducted and supervised. means an officer restricted to service Passes a chemical test for dangerous on MODUs. An assigned offshore instal- drugs means that the result of a chem- lation manager is equivalent to a mas- ical test conducted according to 49 CFR ter on a conventional vessel and is the part 40 is reported as ‘‘negative’’ by a person designated by the owner or op- Medical Review Officer according to erator to be in complete and ultimate that part. command of the unit. Periodically unattended engine room Oil tanker means a tank vessel that is means a space containing main propul- certificated to carry or carries oil in sion and associated machinery and all bulk as cargo or cargo residue. For the sources of main electrical supply which purposes of qualifying for an STCW en- is not at all times manned under all op- dorsement for advanced oil tanker erating conditions, including maneu- cargo operations, this includes tank vering. barges. PIC means a person in charge. Pilot of towing vessels means a quali- On location means that a mobile off- fied officer of a towing vessel operated shore drilling unit is bottom bearing or only on inland routes. moored with anchors placed in the Pilotage waters means the navigable drilling configuration. waters of the United States, including Operate, operating, or operation (as ap- all inland waters and offshore waters plied to the manning requirements of ves- to a distance of 3 nautical miles from refers to a vessels carrying passengers) the baseline from which the Territorial sel any time passengers are embarked Sea is measured. whether the vessel is underway, at an- Practical demonstration means the per- chor, made fast to shore, or aground. formance of an activity under the di- Operational level means the level of rect observation of a designated exam- responsibility associated with— iner or qualified assessor for the pur- (1) Serving as officer in charge of a pose of establishing that the performer navigational or engineering watch, or is sufficiently proficient in a practical as designated duty engineer for periodi- skill to meet a specified standard of cally unmanned machinery spaces, or competence or other objective cri- as radio operator onboard a seagoing terion. ship; and Propulsion power means the total (2) Maintaining direct control over maximum continuous-rated output the performance of all functions within power of the main propulsion machin- the designated area of responsibility in ery of a vessel determined by the man- accordance with proper procedures and ufacturer, in either kilowatts or horse- under the direction of an individual power, which appears on the ship’s Cer- serving in the management level for tificate of Registry or other official that area of responsibility. document and excludes thrusters and Orally assisted examination means an other auxiliary machinery. examination as described in 46 CFR, Public vessel means a vessel that— part 11, subpart I of this subchapter ad- (1) Is owned, or demise chartered, and ministered orally and documented by a operated by the United States Govern- Coast Guard examiner. ment or a government of a foreign Overriding operational condition means country; and circumstances in which essential ship- (2) Is not engaged in commercial board work cannot be delayed due to service. safety or environmental reasons, or Push-mode ITBs means those ITBs could not have reasonably been antici- that involve a rigid coupling system pated at the commencement of the and, when not coupled to the barge, are voyage. incapable of conducting towing in any

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other configuration (such as astern or documents), and is allowed to sleep alongside) because, by themselves, they without interruption. have very limited seakeeping capa- Restricted tankerman endorsement bility. The propelling unit moves as means a valid tankerman endorsement one with the barge unit. on a merchant mariner credential re- Qualified Assessor or QA means a per- stricting its holder as the Coast Guard son who is qualified to evaluate, for deems appropriate. For instance, the STCW endorsements, whether an appli- endorsement may restrict the holder to cant has demonstrated the necessary one or a combination of the following: level of competence in the task for A specific cargo or cargoes; a specific which the assessment is being made. vessel or vessels; a specific facility or This person must be individually ap- facilities; a specific employer or em- proved by the Coast Guard. ployers; a specific activity or activities Qualified instructor means a person (such as loading or unloading in a who has been trained in instructional cargo transfer); or a particular area of techniques and is otherwise qualified water. to provide required training to can- Rivers means a river, canal, or other didates for an MMC endorsement. A similar body of water designated as faculty member employed at a State such by the Coast Guard. maritime academy or the U.S. Mer- Safe and suitable person means a per- chant Marine Academy operated under son whose prior record, including but 46 CFR part 310 and instructing a not limited to criminal record and/or course on merchant marine officer or NDR record, provides no information rating knowledge, understanding, or indicating that his or her character proficiency requirements is qualified to and habits of life would support the be- serve as a qualified instructor in his or lief that permitting such a person to her area of specialization without indi- serve under the MMC and/or endorse- vidual evaluation by the Coast Guard. ment sought would clearly be a threat Qualified rating means various cat- to the safety and security of life or egories of able seaman, qualified member of the engine department, or property, detrimental to good dis- tankerman endorsements issued on cipline, or adverse to the interests of MMCs. the United States. See 46 CFR 10.211 and 10.213 for the regulations associ- Quality Standard System or QSS means a set of policies, procedures, processes, ated with this definition. and data required to establish and ful- Seagoing service means service on- fill the organization’s objectives. board a ship/vessel relevant to the Raise of grade means an increase in issue of a credential or other qualifica- the level of authority and responsi- tion. bility associated with an officer or rat- Seagoing vessel means a ship that op- ing endorsement, such as from mate to erates beyond the boundary line speci- master or second assistant engineer to fied in 46 CFR part 7. first assistant engineer. Second engineer officer means an engi- Rating endorsement is an annotation neer officer next in rank to the chief on an MMC that allows a mariner to engineer officer and upon whom the reserve in those capacities set out in sponsibility for the mechanical propul- § 10.109 of this part. sion and the operation and mainte- Regional examination center or REC nance of the mechanical and electrical means a field office of the National installations of the ship will fall in the Maritime Center that receives and event of the incapacity of the chief en- screens credential applications, con- gineer officer. ducts approved course oversight, and Self propelled has the same meaning administers Coast Guard examinations as the terms ‘‘propelled by machinery’’ as required by this subchapter. and ‘‘mechanically propelled.’’ This Rest means a period of time during term includes vessels fitted with both which the person concerned is off duty, sails and mechanical propulsion. is not performing work (which includes Senior company official means the administrative tasks such as chart cor- president, vice president, vice presi- rection or preparation of port-entry dent for personnel, personnel director,

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or similarly titled or responsible indi- forming assigned tasks, duties, or re- vidual, or another employee designated sponsibilities onboard a seagoing ship in writing by one of these individuals under the direction of an individual for the purpose of certifying employ- serving in the operational or management. ment level. Service (as used when computing the re- Tank barge means a non-self-pro- quired service for endorsements) means pelled tank vessel. the time period, in days, a person is as- Tank vessel means a vessel that is signed to work. On MODUs, this ex- constructed or adapted to carry, or cludes time spent ashore as part of that carries, oil or hazardous material crew rotation. in bulk as cargo or cargo residue, and Ship means a vessel using any mode that— of propulsion, including sail and auxil- (1) Is a vessel of the United States; iary sail. (2) Operates on the navigable waters Simulated transfer means a transfer of the United States; or practiced in a course meeting the re- (3) Transfers oil or hazardous mate- quirements of § 13.121 of this subchapter rial in a port or place subject to the ju- that uses simulation to meet part of risdiction of the United States. the service on transfers required for Tankerman assistant means a person tankerman by §§ 13.203 or 13.303 of this holding a valid ‘‘Tankerman-Assist- subchapter. ant’’ endorsement on his or her MMC. Staff officer means a person who holds See 46 CFR, part 13, subpart D. an MMC with an officer endorsement Tankerman engineer means a person listed in § 10.109(a)(36) through (a)(43) of holding a valid ‘‘Tankerman-Engineer’’ this part. endorsement on his or her MMC. See 46 Standard of competence means the CFR part 13, subpart E. level of proficiency to be achieved for Tankerman PIC means a person hold- the proper performance of duties on- ing a valid ‘‘Tankerman-PIC’’ endorse- board vessels according to national and ment on his or her MMC. See 46 CFR international criteria. part 13, subpart B. Steward’s department means the de- Tankerman PIC (Barge) means a per- partment that includes entertainment son holding a valid ‘‘Tankerman-PIC personnel and all service personnel, in- (Barge)’’ endorsement on his or her cluding wait staff, housekeeping staff, MMC. See 46 CFR part 13, subpart C. and galley workers, as defined in the Tankship means any self-propelled vessel security plan approved by the tank vessel constructed or adapted pri- Secretary under 46 U.S.C. 70103(c). marily to carry oil or hazardous mate- These personnel may also be referred rial in bulk as cargo or as cargo res- to as members of the hotel department idue. on a large passenger vessel. Training program means a combina- STCW means the International Con- tion of training, practical assessment, vention on Standards of Training, Cer- and service which provides an indi- tification and Watchkeeping for Sea- vidual with all or part of the necessary farers, 1978, as amended (incorporated knowledge, understanding, and pro- by reference, see § 10.103 of this sub- ficiency required for a specific quali- part). fication. STCW Code means the Seafarers’ Transfer means any movement of Training, Certification and fuel, dangerous liquid, or liquefied gas Watchkeeping Code (incorporated by as cargo in bulk or as cargo residue to reference, see § 10.103 of this subpart). or from a vessel by means of pumping, STCW endorsement means an annota- gravitation, or displacement. tion on an MMC that allows a mariner Transportation Worker Identification to serve in those capacities under Credential or TWIC means an identifica- § 10.109(d) of this subpart. The STCW tion credential issued by the Transpor- endorsement serves as evidence that a tation Security Administration under mariner has met the requirements of 49 CFR part 1572. the STCW Convention. Underway means that a vessel is not Support level means the level of re- at anchor, made fast to the shore, or sponsibility associated with per- aground. When referring to a mobile

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offshore drilling unit (MODU), under- that an individual holding a valid MMC way means that the MODU is not in an with this endorsement is qualified to on-location or laid-up status and in- serve in that capacity and the endorse- cludes that period of time when the ment has been issued under the re- MODU is deploying or recovering its quirements contained in part 11 of this mooring system. subchapter: Undocumented vessel means a vessel (1) Master. not required to have a certificate of (2) Chief mate. documentation issued under the laws of (3) Second mate. the United States. (4) Third mate. Unlimited means an annotation on an (5) Mate. MMC authorizing service on vessels of (6) Master of towing vessels. any tonnage or any propulsion power. (7) Master of towing vessels, limited. Vessel personnel with designated secu- (8) Mate (pilot) of towing vessels. rity duties means a person, excluding (9) Apprentice mate (Steersman). the designated security officer (e.g., (10) Apprentice mate (Steersman), Company Security Officer (CSO), as de- limited. fined in 33 CFR chapter I, subchapter (11) Assistance towing. H, and Vessel Security Officer (VSO)), (12) Offshore installation manager having specific security duties and re- (OIM). sponsibilities in accordance with the (13) Barge supervisor (BS). ship security plan. (14) Ballast control operator (BCO). Vessel Security Officer (VSO) means a (15) Operator of uninspected pas- person onboard the vessel accountable senger vessels (OUPV). to the Master and designated by the (16) Master of uninspected fishing in- Company as responsible for security of dustry vessels. the vessel, including implementation (17) Mate of uninspected fishing in- and maintenance of the Vessel’s Secu- dustry vessels. rity Plan, and for liaison with the Fa- (18) Master (OSV). cility Security Officer and the vessel’s (19) Chief mate (OSV). Company Security Officer. (20) Mate (OSV). Western Rivers means— (21) Chief engineer. (1) The Mississippi River; (22) Chief engineer (limited). (2) The Mississippi River’s tribu- (23) First assistant engineer. taries, South Pass, and Southwest (24) Second assistant engineer. Pass, to the navigational demarcation (25) Third assistant engineer. lines dividing the high seas from har- (26) Assistant engineer (limited). bors, rivers, and other inland waters of (27) Designated duty engineer (DDE). the United States; (28) Chief engineer (OSV). (3) The Port Allen-Morgan City Al- (29) Assistant engineer (OSV). ternate Route; (30) Chief engineer MODU. (4) That part of the Atchafalaya (31) Assistant engineer MODU. River above its junction with the Port (32) Chief engineer uninspected fish- Allen-Morgan City Alternate Route in- ing industry vessels. cluding the Old River and the Red (33) Assistant engineer uninspected River; and fishing industry vessels. (5) Those waters specified in 33 CFR (34) Radio officer. 89.25. (35) First-class pilot. Year means 360 days for the purpose (36) Chief purser. of complying with the service require- (37) Purser. (38) Senior assistant purser. ments of this subchapter. (39) Junior assistant purser. [USCG–2004–17914, 78 FR 77882, Dec. 24, 2013] (40) Medical doctor. (41) Professional nurse. § 10.109 Classification of endorse- (42) Marine physician assistant. ments. (43) Hospital corpsman. (a) National officer endorsements. The (44) High-speed craft type rating. following national officer endorse- (45) Radar observer. ments are established in part 11 of this (b) National rating endorsements. The subchapter. The endorsements indicate following national rating endorsements

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are established in part 12 of this sub- 12 or 13 of this subchapter as well as chapter. The endorsements indicate the STCW Convention and STCW Code that an individual holding a valid MMC (incorporated by reference, see § 10.103 with this endorsement is qualified to of this subpart): serve in that capacity and the endorse- (1) Master. ment has been issued under the re- (2) Chief mate. quirements contained in part 12 of this (3) Officer in charge of a navigational subchapter: watch (OICNW). (1) Able seaman: (4) Chief engineer officer. (i) Unlimited; (ii) Limited; (5) Second engineer officer. (iii) Special; (6) Officer in charge of an engineering (iv) Special (OSV); watch in a manned engineroom or des- (v) Sail; and ignated duty engineer in a periodically (vi) Fishing industry. unmanned engineroom (OICEW). (2) Ordinary seaman. (7) Electro-technical officer (ETO). (3) Qualified member of the engine (8) Rating forming part of a naviga- department (QMED), including the fol- tional watch (RFPNW). lowing specialty endorsements: (9) Able seafarer-deck. (i) Oiler; (10) Rating forming part of an engi- (ii) Fireman/Watertender; neering watch in a manned engineroom (iii) Junior engineer; or designated to perform duties in a pe- (iv) Pumpman/Machinist; and riodically unmanned engineroom (v) Electrician/Refrigerating engi- (RFPEW). neer. (11) Able seafarer-engine. (4) Lifeboatman. (12) Electro-technical rating. (5) Lifeboatman-Limited. (6) Wiper. (13) Basic training (BT). (7) Steward’s department. (14) Advanced firefighting. (8) Steward’s department (F.H.). (15) Proficiency in survival craft and (9) Cadet (deck or engine). rescue boats other than fast rescue (10) Student observer. boats (PSC). (11) Apprentice engineer. (16) Proficiency in survival craft and (12) Apprentice mate. rescue boats other than fast rescue (c) The following ratings are estab- boats—limited (PSC—limited). lished in part 13 of this subchapter. The (17) Proficiency in fast rescue boats. national endorsements indicate that an (18) Person in charge of medical care. individual holding a valid MMC with (19) Medical first-aid provider. this endorsement is qualified to serve (20) GMDSS at-sea maintainer. in that capacity and the endorsement (21) GMDSS operator. has been issued under the requirements (22) Advanced oil tanker cargo oper- contained in part 13 of this subchapter: (1) Tankerman-PIC. ation. (2) Tankerman-PIC (Barge). (23) Advanced chemical tanker cargo (3) Restricted Tankerman-PIC. operation. (4) Restricted Tankerman-PIC (24) Advanced liquefied gas tanker (Barge). cargo operation. (5) Tankerman assistant. (25) Basic oil and chemical tanker (6) Tankerman engineer. cargo operation. (d) STCW endorsements. The following (26) Basic liquefied gas tanker cargo STCW endorsements are issued accord- operation. ing to the STCW Convention, the (27) Vessel Security Officer. STCW Code, and parts 11, 12, and 13 of (28) Vessel personnel with designated this subchapter. The endorsements in- security duties. dicate that an individual holding a (29) Security awareness. valid MMC with this endorsement is (30) High-speed craft (HSC) type rat- qualified to serve in that capacity and ing certificate. the endorsement has been issued under the requirements contained in parts 11, [USCG–2004–17914, 78 FR 77887, Dec. 24, 2013]

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Subpart B—General Requirements verify qualifications when requested by for All Merchant Mariner Cre- an authorized official as identified in 33 dentials CFR 101.515(d). Posting of the officer endorsement may be necessary as re- § 10.201 General characteristics of the quired in 46 U.S.C. 7110. merchant mariner credential. (d) Although an MMD and an MMC (a) A merchant mariner credential serve as certificates of identification, a (MMC) (Coast Guard Form CG–4610), is TWIC must be retained by the mariner a credential combining the elements of to whom it was issued and, while valid, the merchant mariner’s document serves as the mariner’s primary identi- (MMD), merchant mariner’s license (li- fication document. The TWIC must be cense), and certificate of registry produced to verify identity when re- (COR) enumerated in 46 U.S.C. subtitle quired by an authorized official as II part E as well as the STCW endorse- identified in 33 CFR 101.515(d). ment issued pursuant to the STCW Convention and STCW Code (incor- § 10.205 Validity of a merchant mariner credential. porated by reference, see § 10.103 of this part). MMDs, licenses, STCW endorse- (a) An MMC is valid for a term of 5 ments and CORs are no longer issued as years from the date of issuance. Except separate documents and all qualifica- upon the written request for the imme- tions formerly entered on those sepa- diate issuance by the applicant, the rate documents appear in the form of Coast Guard will post-date the issuance an endorsement(s) on an MMC. of an MMC renewal that includes no (b) An MMC authorizes the holder to other transactions up to 8 months from serve in any capacity endorsed thereon, the date that the Coast Guard accepts or in any lower capacity in the same a complete application as required in department, or in any capacity covered this part. If the expiration date of the by a general endorsement. mariner’s active credential is beyond 8 (c) An MMC may be issued to quali- months of the date that the Coast fied applicants by the Coast Guard. Guard accepts a complete application as required in this part, the new cre- [USCG–2006–24371, 74 FR 11216, Mar. 16, 2009, as amended by USCG–2004–17914, 78 FR 77888, dential issue date will be 8 months Dec. 24, 2013] from the date of application acceptance at which time the currently ac- § 10.203 Requirement to hold a TWIC tive credential will become invalid in and a merchant mariner credential. accordance with paragraph (d) of this (a) Any mariner required to hold a li- section. Otherwise, the new credential cense, MMD, COR, and/or an STCW en- issue validity date will coincide with dorsement by a regulation in 33 CFR the expiration date of the active cre- chapter I or 46 CFR chapter I must hold dential held by the mariner. All other an MMC. A mariner may continue to MMC transactions will be processed for serve under the authority of and within immediate issuance. any restriction on their license, MMD, (b) All endorsements, unless other- COR, and/or STCW endorsement until wise noted, are valid until the expira- the first renewal or upgrade of that tion date of the MMC on which they credential, but not later than April 15, appear. 2014. (c) A mariner may not serve under (b) Failure to obtain or hold a valid the authority of an MMC past its expi- TWIC serves as a basis for the denial of ration date. An expired MMC may be an application for an original, renewal, renewed during an administrative new endorsement, duplicate, or raise of grace period of up to 1 year beyond its grade of a mariner’s credential and expiration date as per § 10.227(h) of this may serve as a basis for suspension and part. revocation under 46 U.S.C. 7702 and (d) When an MMC is renewed or re- 7703. issued before its expiration date in ac- (c) An MMC, license, MMD, COR, or cordance with § 10.227, of this part the STCW endorsement must be retained MMC that has been replaced becomes by the mariner to whom it was issued invalid unless otherwise noted in para- and, while valid, must be produced to graph (a) of this section.

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(e) An MMC is not valid until signed contained in § 10.225 of this part, the re- by the applicant and a duly authorized quirements for a renewal MMC applica- Coast Guard official. tion are contained in § 10.227 of this (f) A mariner’s endorsements author- part, the requirements for a duplicate ize the holder to serve in any capacity MMC application are contained in endorsed on the MMC, or in any lower § 10.229 of this part, and the require- capacity in the same department, or in ments for an application for a new en- any capacity covered by a general endorsement or raise of grade are con- dorsement thereon. tained in § 10.231 of this part. (g) If a mariner chooses to renew his (c) Applications are valid for 12 or her license, MMD, COR, or STCW en- months from the date that the Coast dorsement and receive their first MMC, the Coast Guard may also renew all Guard approves the application. other credentials for which the mariner (d) The application may be submitted is qualified. in person, by mail, fax, or other elec- (h) When a Document of Continuity tronic means. A complete MMC appli- is replaced with an MMC re-issued in cation, which is described in §§ 10.225, accordance with § 10.227 of this part, 10.227, 10.229, and 10.231 may include— the Document of Continuity that has (1) The application, consent for Na- been replaced becomes invalid. In the tional Driver Register (NDR) check, event that not all endorsements on a and notarized oath on Coast Guard-fur- Document of Continuity are activated, nished forms, and the evaluation fee re- a new Document of Continuity will be quired by § 10.219 of this part; issued for the remaining endorsements. (2) The applicant’s continuous dis- [USCG–2006–24371, 74 FR 11216, Mar. 16, 2009, charge book, certificate of identifica- as amended by USCG–2004–17914, 78 FR 77888, tion, MMD, MMC, license, STCW en- Dec. 24, 2013] dorsement, Certificate of Registry (COR), or, if it has not expired, a pho- § 10.207 Identification number. tocopy of the credential, including the For recordkeeping purposes only, a back and all attachments; mariner’s official MMC identification (3) Proof, documented on CG–719K or number is the individual’s social secu- CG–719K/E, as appropriate, that the ap- rity number. However, a unique serial plicant passed the applicable vision, number, called the mariner reference hearing, medical, or physical exam as number, and not the social security required by subpart C of this part, or number, will appear on the credential. an unexpired medical certificate issued [USCG–2006–24371, 74 FR 11216, Mar. 16, 2009, by the Coast Guard; as amended by USCG–2004–17914, 78 FR 77888, (4) Copies of course completion cer- Dec. 24, 2013] tificates or other evidence of course completion; § 10.209 General application procedures. (5) Evidence of sea service, or an accepted substitute for sea service, if re- (a) The applicant for an MMC, wheth- quired; er for an original, renewal, duplicate, raise of grade, or a new endorsement on (6) For an endorsement as a medical a previously issued MMC, must estab- doctor or professional nurse as required lish that he or she satisfies all the re- in § 11.807 of this subchapter, evidence quirements for the MMC and endorse- that the applicant holds a currently ment(s) sought before the Coast Guard valid, appropriate license as physician, will issue the MMC. This section con- surgeon, or registered nurse, issued tains the general requirements for all under the authority of a state or terri- applicants. Additional requirements tory of the United States, the Com- for duplicates, renewals, new endorse- monwealth of Puerto Rico, or the Dis- ments, and raises of grade appear later trict of Columbia. Any MMC issued will in this part. retain any limitation associated with (b) The Coast Guard may refuse to the medical license; process an incomplete MMC applica- (7) Any certificates or other supple- tion. The requirements for a complete mentary materials required to show application for an original MMC are that the mariner meets the mandatory

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requirements for the specific endorse- §§ 10.225(b)(5), 10.227(d)(5), and ment sought, as established in parts 11, 10.231(c)(6). 12 or 13 of this subchapter; and (i) Ceremonial licenses. A mariner may (8) An open-book exercise, in accord- obtain a ceremonial license when ap- ance with § 10.227(e)(1) of this part. plying for his or her credential or Doc- (e) The following requirements must ument of Continuity. be satisfied before an original or renewal MMC, or new endorsement or a [USCG–2004–17914, 78 FR 77888, Dec. 24, 2013] raise of grade added to a previously § 10.211 Criminal record review. issued MMC, will be issued. These materials will be added to the individual’s (a) The Coast Guard may conduct a record by the Coast Guard: criminal record review to determine (1) Determination of safety and suit- the safety and suitability of an appli- ability. No MMC will be issued as an cant for an MMC and any endorse- original or reissued with a new expira- ments. An applicant conducting simul- tion date, and no new officer endorse- taneous MMC transactions will under- ment will be issued if the applicant go a single criminal record review. At fails the criminal record review as set the time of application, each applicant forth in § 10.211 of this part. must provide written disclosure of all (2) NDR review. No MMC will be prior convictions not previously dis- issued as an original or reissued with a closed to the Coast Guard on an appli- new expiration date, and no new officer cation. endorsement will be issued if the appli- (b) A criminal record review is not cant fails the NDR review as set forth required for applicants seeking a dupli- in § 10.213 of this part. cate MMC under § 10.229. (3) Information supplied by the Trans- (c) Fingerprints. The Transportation portation Security Administration (TSA). Security Administration (TSA) will No MMC or endorsement will be issued provide to the Coast Guard the appli- until the Coast Guard receives the fol- cant’s fingerprints submitted by the lowing information from the appli- applicant with his or her TWIC applica- cant’s TWIC enrollment: the appli- tion and, if applicable, the applicant’s cant’s fingerprints, FBI number and FBI number and criminal record gen- criminal record (if applicable), photo- erated in the TWIC review process. graph, proof of citizenship, or Nation- This information, or the fingerprints ality with proof of legal resident status taken by the Coast Guard at an REC, (if applicable). If the information is not will be used by the Coast Guard to de- available from TSA, the mariner may termine whether the applicant has a be required to visit a Regional Exam record of any criminal convictions. Center or a TWIC enrollment center to (d) When a criminal record review provide this information. leads the Coast Guard to determine (f) Upon determining that the appli- that an applicant is not a safe and suit- cant satisfactorily meets all requirements for an MMC or an endorsement able person or cannot be entrusted thereon, the Coast Guard will issue the with the duties and responsibilities of properly endorsed MMC to the appli- the MMC or endorsement applied for, cant. The Coast Guard will not issue an the application may be denied. MMC until it has received proof that (e) If an application is denied, the ap- the mariner holds a valid TWIC. plicant will be notified in writing of (g) When a new MMC is issued, the that fact, the reason or reasons for de- mariner must return any previously nial, and advised that the appeal proce- issued and unexpired MMC, license, dures in subpart 1.03 of part 1 of this MMD, COR, or STCW endorsement to chapter apply. No examination will be the Coast Guard, unless the new MMC given pending decision on appeal. is being issued to replace a lost or sto- (f) No person who has been convicted len credential. of a violation of the dangerous drug (h) No MMC will be issued if the ap- laws of the United States, the District plicant fails a chemical test for dan- of Columbia, any State, territory, or gerous drugs as required in possession of the United States, or a

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foreign country, by any military or ci- (g) The Coast Guard will use table 1 vilian court, is eligible for an MMC, ex- to § 10.211 of this section to evaluate cept as provided elsewhere in this sec- applicants who have criminal conviction. No person who has ever been the tions. The table lists major categories user of, or addicted to the use of a dan- of criminal activity and is not to be gerous drug, or has ever been convicted construed as an all-inclusive list. If an of an offense described in section 205 of applicant is convicted of an offense the National Driver Register Act of that does not appear on the list, the 1982, as amended (49 U.S.C. 30304) be- Coast Guard will establish an appro- cause of addiction to or abuse of alco- priate assessment period using the list as a guide. The assessment period com- hol is eligible for an MMC, unless he or mences when an applicant is no longer she furnishes satisfactory evidence of incarcerated. The applicant must es- suitability for service in the merchant tablish proof of the time incarcerated marine as provided in paragraph (l) of and periods of probation and parole to this section. A conviction for a drug of- the satisfaction of the Coast Guard. fense more than 10 years before the The assessment period may include su- date of application will not alone be pervised or unsupervised probation or grounds for denial. parole.

TABLE 1 TO 10.211—GUIDELINES FOR EVALUATING APPLICANTS FOR MMCS WHO HAVE CRIMINAL CONVICTIONS

Assessment periods Crime 1 Minimum Maximum

Assessment Periods for Officer and Rating Endorsements

Crimes Against Persons: Homicide (intentional) ...... 7 years ...... 20 years. Homicide (unintentional) ...... 5 years ...... 10 years. Assault (aggravated) ...... 5 years ...... 10 years. Assault (simple) ...... 1 year ...... 5 years. Sexual Assault (rape, child molestation) ...... 5 years ...... 10 years. Robbery ...... 5 years ...... 10 years. Other crimes against persons 2

Vehicular Crimes

Conviction involving fatality ...... 1 year ...... 5 years. Reckless Driving ...... 1 year ...... 2 years. Racing on the Highways ...... 1 year ...... 2 years. Other vehicular crimes 2

Crimes Against Public Safety

Destruction of Property ...... 5 years ...... 10 years. Other crimes against public safety 2

Dangerous Drug Offenses 345

Trafficking (sale, distribution, transfer) ...... 5 years ...... 10 years. Dangerous drugs (Use or possession) ...... 1 year ...... 10 years. Other dangerous drug convictions 6

Assessment Periods for Officer Endorsements Only

Criminal Violations of Environmental Laws

Criminal violations of environmental laws involving improper handling of 1 year ...... 10 years. pollutants or hazardous materials.

Crimes Against Property

Burglary ...... 3 years ...... 10 years. Larceny (embezzlement) ...... 3 years ...... 5 years. Other crimes against property 2 1 Conviction of attempts, solicitations, aiding and abetting, accessory after the fact, and conspiracies to commit the criminal conduct listed in this table carry the same minimum and maximum assessment periods provided in the table.

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2 Other crimes will be reviewed by the Coast Guard to determine the minimum and maximum assessment periods depending on the nature of the crime. 3 Applicable to original applications only. Any applicant who has ever been the user of, or addicted to the use of, a dangerous drug shall meet the requirements of paragraph (f) of this section. Note: Applicants for reissue of an MMC with a new expiration date including a renewal or additional endorsement(s), who have been convicted of a dangerous drug offense while holding a license, MMC, MMD, STCW endorsement or COR, may have their application withheld until appropriate action has been completed by the Coast Guard under the regulations which appear in 46 CFR part 5 governing the administrative actions against merchant mariner credentials. 4 The Coast Guard may consider dangerous drug convictions more than 10 years old only if there has been another dangerous drug conviction within the past 10 years. 5 Applicants must demonstrate rehabilitation under paragraph (l) of this section, including applicants with dangerous drug use convictions more than 10 years old. 6 Other dangerous drug convictions will be reviewed by the Coast Guard on a case by case basis to determine the appropriate assessment period depending on the nature of the offense.

(h) When an applicant has convic- factors, will grant the applicant the tions for more than one offense, the MMC and/or endorsement for which he minimum assessment period will be the or she has applied. Offsetting factors longest minimum in table 1 to § 10.211 include such factors as multiple con- of this section and table 10.213(c) in victions, failure to comply with court § 10.213 based upon the applicant’s con- orders (e.g., child support orders), pre- victions; the maximum assessment pe- vious failures at rehabilitation or re- riod will be the longest shown in table form, inability to maintain steady em- 1 to § 10.211 of this section and table ployment, or any connection between 10.213(c) of § 10.213 based upon the appli- the crime and the safe operation of a cant’s convictions. vessel. If the Coast Guard considers the (i) If a person with a criminal conviction applies before the minimum as- applicant unsuitable for service in the sessment period shown in table 1 to merchant marine at the time of appli- § 10.211 of this section of this section or cation, the Coast Guard may deny the established by the Coast Guard under application. paragraph (g) of this section has (k) If a person with a criminal con- elapsed, then the applicant must pro- viction submits his or her MMC appli- vide, as part of the application pack- cation after the maximum assessment age, evidence of suitability for service period shown in table 1 to § 10.211 of in the merchant marine. Factors that this section or established by the Coast are evidence of suitability for service Guard under paragraph (g) of this sec- in the merchant marine are listed in tion has elapsed, then the Coast Guard paragraph (l) of this section. The Coast will grant the applicant the MMC or Guard will consider the applicant’s evi- endorsement for which he or she has dence submitted with the application applied unless the Coast Guard con- and may issue the MMC and/or endorse- siders the applicant still unsuitable for ment in less than the listed minimum service in the merchant marine. If the assessment period if the Coast Guard is Coast Guard disapproves an applicant satisfied that the applicant is suitable with a conviction older than the max- to hold the MMC and/or endorsement imum assessment period listed in table for which he or she has applied. If an 1 to § 10.211 of this section , the Coast application filed before the minimum Guard will notify the applicant in writ- assessment period has elapsed does not ing of the reason(s) for the disapproval. include evidence of suitability for serv- The Coast Guard will also inform the ice in the merchant marine, then the application will be considered incom- applicant, in writing, that the recon- plete and will not be processed by the sideration and appeal procedures con- Coast Guard. tained in subpart 1.03 of this chapter (j) If a person with a criminal convic- apply. tion submits his or her MMC applica- (l) If an applicant has one or more al- tion during the time between the min- cohol or dangerous drug related crimi- imum and maximum assessment peri- nal or NDR-listed convictions, if the ods shown in table 1 to § 10.211 or estab- applicant has ever been the user of, or lished by the Coast Guard under para- addicted to the use of, a dangerous graph (g) of this section, then the drug, or if the applicant applies before Coast Guard will consider the convic- the minimum assessment period has tion and, unless there are offsetting elapsed for his or her conviction, the

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Coast Guard may consider the fol- or (B) of the NDR Act (i.e., operation of lowing factors, as applicable, in assess- a motor vehicle while under the influ- ing the applicant’s suitability to hold ence of, or impaired by, alcohol or a an MMC. This list is intended as a controlled substance; and any traffic guide for the Coast Guard. The Coast violations arising in connection with a Guard may consider other factors ap- fatal traffic accident, reckless driving, propriate to a particular applicant, or racing on the highways). such as: (b) The Coast Guard will not consider (1) Proof of completion of an accred- NDR-listed civil convictions that are ited alcohol or drug abuse rehabilita- more than 3 years old from the date of tion program; request unless that information relates (2) Active membership in a rehabili- to a current suspension or revocation tation or counseling group, such as Al- of the applicant’s license to operate a coholics Anonymous or Narcotics motor vehicle. The Coast Guard may Anonymous; determine minimum and maximum as- (3) Character references from persons sessment periods for NDR-listed crimi- who can attest to the applicant’s sobri- nal convictions using table 10.213(c) of ety, reliability, and suitability for em- this section. An applicant conducting ployment in the merchant marine in- simultaneous MMC transactions is sub- cluding parole or probation officers; ject to only one NDR check. (4) Steady employment; and (c) The guidelines in table 1 to para- (5) Successful completion of all con- graph (c) will be used by the Coast ditions of parole or probation. Guard in evaluating applicants who [USCG–2006–24371, 74 FR 11216, Mar. 16, 2009, have drug or alcohol related NDR-list- as amended by USCG–2006–24371, 74 FR 39218, ed convictions. Non-drug or alcohol re- Aug. 6, 2009; USCG–2004–17914, 78 FR 77889, lated NDR-listed convictions will be Dec. 24, 2013; USCG–2014–0688, 79 FR 58275, evaluated by the Coast Guard under Sept. 29, 2014] table 1 to § 10.211 of this part as applicable. The Coast Guard may consider § 10.213 National Driver Register. non-drug or alcohol related NDR-listed (a) No MMC will be issued as an origi- convictions that are more than 3 years nal or reissued with a new expiration old from the date of the request when date, and no new officer endorsement the information relates to a current will be issued, unless the applicant con- suspension or revocation of the appli- sents to a check of the NDR for of- cant’s license to operate a motor vehi- fenses described in section 205(a)(3)(A) cle.

TABLE 1 TO § 10.213(c)—GUIDELINES FOR EVALUATING APPLICANTS FOR MMCS WHO HAVE NDR MOTOR VEHICLE CONVICTIONS INVOLVING DANGEROUS DRUGS OR ALCOHOL 1

Number of convictions Date of conviction Assessment period

1 ...... Less than 1 year ...... 1 year from date of conviction. 1 ...... More than 1, less than 3 Application will be processed, unless suspension, or revocation 2 is still years. in effect. Applicant will be advised that additional conviction(s) may jeopardize merchant mariner credentials. 1 ...... More than 3 years old ...... Application will be processed. 2 or more ...... Any less than 3 years old .... 1 year since last conviction and at least 3 years from 2nd most recent conviction, unless suspension or revocation is still in effect. 2 or more ...... All more than 3 years old ..... Application will be processed unless suspension or revocation is still in effect. 1 Any applicant who has ever been the user of, or addicted to the use of, a dangerous drug must meet the requirements of paragraph (f) of this section. 2 Suspension or revocation, when referred to in table 10.213, means a State suspension or revocation of a motor vehicle operator’s license.

(d) Any application may be denied if dorsement for which the application is information from the NDR check leads made. If an application is denied, the the Coast Guard to determine that the Coast Guard will notify the applicant applicant cannot be entrusted with the in writing of the reason(s) for denial duties and responsibilities of the en-

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and advise the applicant that the ap- ployment in the merchant marine, in- peal procedures in subpart 1.03 of part cluding parole or probation officers; 1 of this chapter apply. No examination (4) Steady employment; and will be given pending decision on ap- (5) Successful completion of all con- peal. ditions of parole or probation. (e) Before denying an application be- [USCG–2004–17914, 78 FR 77889, Dec. 24, 2013] cause of information received from the NDR, the Coast Guard will make the § 10.214 Security Check. information available to the applicant for review and written comment. The Until April 15, 2009, the Coast Guard applicant may submit records from the may conduct a security check on an applicable State concerning driving applicant for an MMC, utilizing the record and convictions to the Coast criminal record review discussed in Guard processing the application. The § 10.211 of this part. Coast Guard will hold an application § 10.217 Merchant mariner credential with NDR-listed convictions pending application and examination loca- the completion of the evaluation and tions. delivery by the individual of the under- (a) Applicants for an MMC may apply lying State records. to any of the Regional Examination (f) If an applicant has one or more al- Centers (RECs) or any other location cohol or dangerous drug-related crimi- designated by the Coast Guard. Appli- nal or NDR-listed convictions, if the cants may contact the National Mari- applicant has ever been the user of, or time Center at 100 Forbes Drive, Mar- addicted to the use of, a dangerous tinsburg, WV 25404, by telephone 1–888– drug, or if the applicant applies before 427–5662 or 304–433–3400, or by email at the minimum assessment period for his [email protected]. A list of locations or her conviction has elapsed, the approved for application submittal is Coast Guard may consider the fol- available through the Coast Guard Web lowing factors, as applicable, in assess- site at http://www.uscg.mil/nmc. ing the applicant’s suitability to hold (b) Exam Locations. (1) Coast Guard an MMC. This list is intended as a units abroad may conduct exams for guide for the Coast Guard. The Coast ratings at locations other than the Guard may consider other factors RECs, but are not prepared to conduct which it judges appropriate to a par- practical examinations. ticular applicant, such as— (2) The Coast Guard may designate (1) Proof of completion of an accred- additional exam facilities/locations to ited alcohol or drug abuse rehabilita- provide services to applicants for tion program; MMCs. (2) Active membership in a rehabilitation or counseling group, such as Al- [USCG–2004–17914, 78 FR 77890, Dec. 24, 2013] coholics Anonymous or Narcotics Anonymous; § 10.219 Fees. (3) Character references from persons (a) Use table 1 to § 10.219(a) to cal- who can attest to the applicant’s sobri- culate the mandatory fees for MMCs ety, reliability, and suitability for em- and associated endorsements.

TABLE 1 TO § 10.219(a)—FEES

And you need If you apply for Evaluation then Examination then Issuance then the fee is . . . the fee is . . . the fee is . . .

MMC with officer endorsement: Original: Upper level 1 ...... $100 $110 $45 Lower level 2 ...... 100 95 45 Renewal ...... 50 45 45 Raise of grade ...... 100 45 45 Modification or removal of limitation or scope ...... 50 45 45 Radio officer endorsement: Original ...... 50 45 45 Renewal ...... 50 n/a 45

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TABLE 1 TO § 10.219(a)—FEES—Continued

And you need If you apply for Evaluation then Examination then Issuance then the fee is . . . the fee is . . . the fee is . . .

Staff officer endorsements: Original ...... 90 n/a 45 Renewal ...... 50 n/a 45 MMC with rating endorsement: Original endorsement for ratings other than qualified ratings 95 n/a 45 Original endorsement for qualified rating ...... 95 140 45 Upgrade or raise of Grade ...... 95 140 45 Renewal endorsement for ratings other than qualified ratings 50 n/a 45 Renewal endorsement for qualified rating ...... 50 45 45 Modification or removal of limitation or scope ...... 50 45 45 STCW endorsement: Original ...... (4) (4) (4) Renewal ...... (4) (4) (4) Reissue, replacement, and duplicate ...... n/a n/a 3 45 1 Upper level means credentials authorizing service on vessels of any gross tons/unlimited tonnage or unlimited propulsion power. 2 Lower level means credentials authorizing service on vessels of less than 1,600 GRT/3,000 GT. 3 Duplicate for MMC lost as result of marine casualty—No Fee. 4 No Fee.

(b) Fee payment procedures. Appli- should specify the type of credential cants may pay— sought and the type of fee (e.g., evalua- (1) All fees required by this section at tion, examination, issuance) being the time the application is submitted; paid. The address for sending payment or by mail can be found at the NMC Web (2) A fee for each phase as follows: site, www.uscg.mil/nmc. (i) An evaluation fee when the appli- (5) Checks or money orders must be cation is submitted. made payable to the U.S. Coast Guard, (ii) An examination fee before the and the full legal name and last four first examination section is taken. digits of applicant’s social security (iii) An issuance fee before issuance number must appear on the front of of the MMC. each check or money order. (c) If the examination is adminis- (e) Unless otherwise specified in this tered at a place other than a Regional part, when two or more endorsements Examination Center (REC), the exam- are processed on the same application ination fee must be paid to the REC at the fees will be as follows: least one week before the scheduled ex- (1) Evaluation fees. If an applicant si- amination date. multaneously applies for a rating en- (d) Unless the Coast Guard provides dorsement and a deck or engineer offi- additional payment options, fees must cer’s endorsement, only the evaluation be paid as follows: fee for the officer’s endorsement will be (1) Fee payments must be for the charged. If an applicant simulta- exact amount. neously applies for a staff officer or (2) Fee payments may be made by radio officer endorsement along with electronic payment in a manner speci- the deck or engineer officer endorse- fied by the Coast Guard. For informa- ment, only the evaluation fee for the tion regarding current forms of elec- deck or engineer officer’s endorsement tronic payment, go to the National will be charged. No evaluation fee is Maritime Center’s (NMC) Web site, charged for an STCW endorsement. www.uscg.mil/nmc. To assist with the (2) Examination fees. One examination automation of mariner credential ap- fee will be charged for each exam or se- plications, applicants are encouraged ries of exams for an original, raise of to pay the fees electronically. grade, or renewal of an endorsement on (3) Payments may be made by cash, an MMC taken within 1 year from the check, money order, or credit card. date of the application approval. An ex- (4) Payments submitted by mail may amination fee will also be charged to not be made in cash. Mailed payments process an open-book exercise used to

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renew an MMC. If an officer endorse- of this section must also accompany ment examination under part 11 of this the person’s MMC application to the chapter also fulfills the examination Coast Guard. The letter must state requirements in part 12 of this chapter that the purpose of the person’s appli- for rating endorsements, only the fee cation is solely to further the conduct for the officer endorsement examina- of the organization’s maritime activi- tion is charged. ties. The applicant will then be eligible (3) Issuance fees. Only one issuance under this section to obtain a no-fee fee will be charged for each MMC MMC if other requirements for the issued, regardless of the number of en- MMC are met. dorsements placed on the credential. (k) An MMC issued to a person under There is no fee for a Document of Con- paragraph (h) of this section will be en- tinuity. dorsed restricting its use to vessels (f) The Coast Guard may assess addi- owned or operated by the sponsoring tional charges to anyone to recover organization. collection and enforcement costs asso- (l) The holder of a no-fee MMC issued ciated with delinquent payments or under paragraph (h) of this section may failure to pay a fee. The Coast Guard have the restriction removed by paying will not provide credentialing services the appropriate evaluation, examina- to a mariner who owes money for tion, and issuance fees that would have credentialing services previously pro- otherwise applied. vided. (g) Anyone who fails to pay a fee or [USCG–2004–17914, 78 FR 77890, Dec. 24, 2013] charge established under this section is § 10.221 Citizenship. liable to the United States Government for a civil penalty of not more than (a)(1) MMCs with officer Endorsements. $6,500 for each violation. Only individuals with valid U.S. citi- (h) No-fee MMC for certain applicants. zenship may apply for officer endorse- For the purpose of this section, a no- ments, except individuals applying for fee MMC applicant is a person who is a endorsements as operators of volunteer or a part- or full-time em- uninspected passenger vessels author- ployee of an organization that is— izing service on undocumented vessels (1) Charitable in nature; in accordance with § 11.201(d) of this (2) Not for profit; and subchapter. (3) Youth oriented. (2) All other MMCs. All other appli- (i) Determination of eligibility. (1) An cants, except as noted in § 12.809 of this organization may submit a written re- subchapter, must be either: quest to U.S. Coast Guard National (i) A citizen of the United States; Maritime Center, 100 Forbes Drive, (ii) An alien, as defined under section Martinsburg, WV 25404, in order to be 101(a)(3) of the Immigration and Na- considered an eligible organization tionality Act (8 U.S.C. 1101 et seq.) (the under the criteria set forth in para- Act), who is lawfully admitted to the graph (h) of this section. With the writ- United States for permanent residence, ten request, the organization must pro- as defined by section 101(a)(20) of the vide evidence of its status as a youth- Act.; or oriented, not-for-profit, charitable or- (iii) A foreign national who is en- ganization. rolled in the United States Merchant (2) The following organizations are Marine Academy (USMMA). accepted by the Coast Guard as meet- (b) Beginning April 15, 2009, proof of ing the requirements of paragraph (h) citizenship or alien status must be sub- of this section and need not submit evi- mitted to the Transportation Security dence of their status: Boy Scouts of Administration (TSA) with the appli- America, Sea Explorer Association, cant’s TWIC application in accordance Girl Scouts of the United States of with 49 CFR 1572.17(a)(11). Until April America, and Young Men’s Christian 15, 2009, proof of citizenship or alien Association of the United States of status must be submitted by appearing America. at a Regional Exam Center. (j) A letter from an organization de- (c) TSA and the Coast Guard may re- termined eligible under paragraph (h) ject any evidence of citizenship that is

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not believed to be authentic. Accept- in the United States Merchant Marine able evidence of citizenship may be an Academy (USMMA) in the form of an original or a copy certified as true by original letter from the USMMA, the agency responsible for issuing the signed by the Superintendent attesting document of the following: to the individual’s enrollment along (1) If the individual is applying for an with an unexpired foreign passport officer endorsement (with the excep- issued by the government of the coun- tion of those applying for an MMC entry in which the alien is a citizen or dorsed only as Operator of an subject, with a valid U.S. visa affixed Uninspected Passenger Vehicle (OUPV) to the passport, will be acceptable evi- of an undocumented vessel), the indi- dence of lawful status in the United vidual must provide an original of any States. one of the following documents: (4) If the individual is applying for an (i) Certified copy of a birth certifi- MMC endorsed only as OUPV of an un- cate, issued by a State, county, mu- documented vessel, the individual must nicipality or outlying possession of the provide an original of any one of the U.S. bearing an official seal; documents enumerated in paragraphs (ii) U.S. passport (expired or unex- (c)(1)(i) through (v) or (c)(2)(i) or (ii) of pired); this section, or proof of acceptable (iii) Certificate of Citizenship issued alien status as provided in 49 CFR by U.S. Citizenship and Immigration 1572.105. Services or the Immigration and Natu- ralization Service; [USCG–2006–24371, 74 FR 11216, Mar. 16, 2009, (iv) Certificate of Naturalization as amended by USCG–2004–17914, 78 FR 77892, issued by U.S. Citizenship and Immi- Dec. 24, 2013] gration Services or the Immigration and Naturalization Service; or § 10.223 Modification or removal of (v) Merchant mariner’s document limitations or scope. issued by the Coast Guard after Feb- (a) If the Coast Guard is satisfied by ruary 3, 2003, that shows that the hold- the documentary evidence submitted er is a citizen of the United States. that an applicant is entitled by experi- (2) If the individual is applying for a ence, training, and knowledge to an en- rating endorsement and they hold one dorsement or increase in the scope of of the documents listed in paragraph any MMC held, any limitations that (c)(1)(i) through (v) of this section, were previously placed upon the MMC these documents are also acceptable as by the Coast Guard may be changed or evidence of citizenship. If the indi- removed. Such an increase in scope vidual does not hold any one of those may include a change in horsepower or documents listed in paragraph (c)(1)(i) tonnage limitations, or geographic through (v), the individual must pro- route restrictions. vide an original unexpired foreign pass- (b) Modifications or removal of limi- port and an original of any one of the tations or scope to MMC endorse- following documents: ment(s) under this section will not (i) Permanent resident card (form I– change the expiration date of the mari- 551) issued by U.S. Citizenship and Im- ner’s MMC unless the applicant renews migration Services bearing the certifi- all endorsements that would appear on cation that the alien was admitted to the MMC under § 10.227 of this part. the United States as an immigrant, (ii) A declaration of intention to be- (c) A complete application for modi- come a citizen of the United States fication or removal of limitation of issued by a naturalization court; or scope must contain the following: (iii) A certificate issued by the con- (1) A completed signed application; sular representative of the country of (2) Proof that the mariner either which the alien is a citizen or subject. holds a valid TWIC or has applied for a (3) If the individual is the holder of or TWIC. applying for a rating endorsement and (3) All supplementary materials re- the individual does not hold any of the quired to show that the mariner meets documents listed in paragraphs (c)(1) or the mandatory requirements for the (2) of this section, proof of enrollment transaction sought:

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(i) The mandatory requirements for (b) A complete application for an officer endorsements are contained in original MMC must contain the fol- part 11 of this subchapter. lowing, except as otherwise noted in (ii) The mandatory requirements for § 10.227(i) of this subpart: rating endorsements are contained in (1) A completed, signed application. part 12 of this subchapter. (2) Proof that the mariner either (iii) The mandatory requirements for holds a valid TWIC or has applied for a tankerman rating endorsements are TWIC. contained in part 13 of this subchapter. (3) All supplementary materials re- (iv) The mandatory requirements for quired to show that the mariner meets STCW endorsements are contained in the mandatory requirements for all en- parts 11, 12, and 13 of this subchapter. dorsements sought as follows: (4) The appropriate fee as set forth in (i) The mandatory requirements for § 10.219 of this part; and officer endorsements are contained in (5) Any uncanceled MMD, MMC, li- part 11 of this subchapter. cense, STCW endorsement, or COR held (ii) The mandatory requirements for by the applicant. If one or more of rating endorsements are contained in these credentials are still valid at the part 12 of this subchapter. time of application, a photocopy, front (iii) The mandatory requirements for and back of all pages, and all attach- tanker rating endorsements are con- ments, will satisfy this requirement. If tained in part 13 of this subchapter. the applicant submits a photocopy, (iv) The mandatory requirements for upon the issuance of the new MMC, the STCW endorsements are contained in applicant must surrender the old, origi- parts 11, 12, and 13 of this subchapter. nal credential to the Coast Guard. If (4) The appropriate fee as set forth in requested in writing at the time of sub- § 10.219 of this part. mission, the old MMD, MMC, license, (5) Evidence of having passed a chem- COR, or STCW endorsement may be re- ical test for dangerous drugs or of turned to the applicant after cancella- qualifying for an exemption from test- tion. ing in § 16.220 of this subchapter. (d) No limitation on any endorsement (6) Where sea service is required, doc- may be changed before the applicant umentary evidence in accordance with has made up any deficiency in the ex- § 10.232 of this part. perience prescribed for the endorse- (7) Proof, documented on CG–719–K or ment or endorsement desired and CG–719–K/E, as appropriate, that the passed any necessary examination. applicant passed all applicable vision, hearing, medical, and/or physical [USCG–2006–24371, 74 FR 11216, Mar. 16, 2009, exams as required by subpart C of this as amended by USCG–2004–17914, 78 FR 77892, part or a valid medical certificate Dec. 24, 2013] issued by the Coast Guard. (8) Consent to a Coast Guard check of § 10.225 Requirements for original the NDR for offenses described in sec- merchant mariner credentials. tion 205(a)(3)(A) or (B) of the National (a) An applicant must apply as an Driver Register Act of 1982, as amend- original if the MMC sought is— ed. (1) The first credential issued to the (9) The oath as required in paragraph applicant; (c) of this section. (2) The first credential issued to ap- (c) Oath. Every person who receives plicants after their previous credential an original MMC must first take an has expired beyond the grace period oath, before an official authorized to and they do not hold a Document of give such an oath, that he or she will Continuity under § 10.227(g) of this part faithfully and honestly, according to or an equivalent unexpired continuity his or her best skill and judgment, endorsement on their license or MMD; without concealment or reservation, or perform all the duties required by law (3) The first credential issued to ap- and obey all lawful orders of superior plicants after their previous credential officers. An oath may be administered was revoked pursuant to § 10.235 of this by any Coast Guard-designated indi- part. vidual or any person legally permitted

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to administer oaths in the jurisdiction (7) Consent to a Coast Guard check of where the person taking the oath re- the NDR for offenses described in sec- sides. An oath administered at a location 205(a)(3)(A) or (B) of the National tion other than the Coast Guard must Driver Register Act of 1982, as amend- be verified in writing by the admin- ed. istering official and submitted to the (e) Except as provided in paragraph same Regional Examination Center (e)(8) of this section and 46 CFR 13.120, (REC) where the applicant applied for the applicant must meet the following his or her MMC. This oath remains professional requirements for renewal: binding for any subsequently issued (1) The applicant must either— MMC and endorsements added to the (i) Present evidence of at least 1 year MMC, unless specifically renounced in of sea service during the past 5 years; writing. (ii) Pass a comprehensive, open-book exercise covering the general subject [USCG–2004–17914, 78 FR 77892, Dec. 24, 2013] matter contained in appropriate sec- § 10.227 Requirements for renewal. tions of subpart (I) of this part; (iii) Complete an approved refresher (a) Except as provided in paragraph training course; (g) of this section, an applicant for re- (iv) Provide evidence of employment newal of a credential must establish as a qualified instructor or in a posi- possession of all of the necessary quali- tion closely related to the operation, fications before the MMC will be re- construction, or repair of vessels (ei- newed. ther deck or engineer as appropriate) (b) A credential may be renewed at for at least 3 years during the past 5 any time during its validity and for 1 years. An applicant for a deck license year after expiration. or officer endorsement with this type (c) No credential will be renewed if it of employment must also demonstrate has been suspended without probation knowledge on an applicable Rules of or revoked as a result of action under the Road open-book exercise; or part 5 of this chapter or if facts that (v) Provide evidence of being a quali- would render a renewal improper have fied instructor who has taught a Coast come to the attention of the Coast Guard-approved or -accepted course Guard. relevant to the endorsement or creden- (d) Except as provided in paragraph tial being applied for, at least twice (g) of this section, a complete applica- within the past 5 years, therefore meet- tion for renewal must contain the fol- ing the standards needed to receive a lowing: course completion certificate for that (1) A completed, signed application. course. (2) Proof that the mariner either (2) The qualification requirements holds a valid TWIC or has applied for a for renewal of radar observer endorse- TWIC. ment as contained in § 11.480 of this (3)The appropriate fee as set forth in subchapter. § 10.219 of this part. (3) Additional qualification require- (4) Any uncanceled MMD, MMC, li- ments for renewal of an officer endorse- cense, STCW endorsement, Certificate ment as first-class pilot as contained in of Registry (COR), or Document of Con- § 11.713 of this subchapter. tinuity held by the applicant. If one or (4) An applicant for renewal of a more of these credentials are still valid radio officer’s endorsement must, in at the time of application, a photo- addition to meeting the requirements copy—front, back, and all attach- of this section, present a copy of a cur- ments—will satisfy this requirement. rently valid license as first- or second- (5) Evidence of having passed a chem- class radiotelegraph operator issued by ical test for dangerous drugs or of the Federal Communications Commis- qualifying for an exemption from test- sion. ing in § 16.220 of this subchapter. (5) An applicant for renewal of an en- (6) Applicants seeking a national endorsement as medical doctor or profes- dorsement must either hold an unex- sional nurse must, in addition to meet- pired medical certificate or submit a ing the requirements of this section, medical certificate application. present evidence that he or she holds a

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currently valid, appropriate license as quirements, and TWIC, may apply for a physician, surgeon, or registered nurse Document of Continuity issued by the issued under the authority of a State Coast Guard. Documents of Continuity or territory of the United States, the do not expire and are issued solely to Commonwealth of Puerto Rico, or the maintain an individual’s eligibility for District of Columbia. Any such renewal renewal. A Document of Continuity will retain the limitations placed upon does not entitle an individual to serve the medical license by the issuing as a merchant mariner. A holder of a body. There are no professional re- Document of Continuity may obtain a quirements for renewal of an endorse- properly endorsed, valid MMC at any ment as marine physician assistant or time by satisfying the requirements for hospital corpsman. renewal as provided in paragraphs (d), (6) An applicant for renewal of an en- (e), or (f) of this section as applicable. dorsement as master or mate (pilot) of When a valid MMC is issued to replace towing vessels, in addition to the other a previously held Document of Con- requirements in this paragraph, must tinuity, the previously issued Docu- also submit satisfactory evidence of— ment of Continuity becomes void. (i) Having completed a practical dem- (2) Applications for a Document of onstration of maneuvering and han- Continuity must include the following: dling a towing vessel to the satisfac- (i) The endorsements to be placed tion of a designated examiner; or into continuity. (ii) Ongoing participation in training (ii) An application including a signed and drills during the validity of the li- statement from the applicant attesting cense or MMC being renewed. to an awareness of the limited purpose (7) An applicant seeking to renew a of the Document of Continuity, his or tankerman endorsement must meet the her inability to serve, and the require- additional requirements listed in ments to obtain an MMC. § 13.120 of this subchapter. (3) If not all MMC endorsements are (8) There are no professional require- to be converted into a Document of ments for renewal for the following en- Continuity, a new MMC will be issued dorsements: with the active endorsements. Once the (i) Staff officers (all types). new MMC and/or Document of Con- (ii) Ordinary seaman. tinuity is issued the previous MMC is (iii) Wiper. no longer valid and must be returned (iv) Steward’s department. to the Coast Guard. (v) Steward’s department (F.H.). (4) STCW endorsements may not be (vi) Cadet. placed in continuity. If an individual (vii) Student observer. continues to maintain a valid MMC (viii) Apprentice engineer. while placing specific national endorse- (ix) Apprentice mate (issued under ments into continuity, those STCW en- part 12 of this subchapter). dorsements associated with the na- (x) Person in charge of medical care. tional endorsements that were placed (xi) Medical first-aid provider. in continuity are no longer valid. (xii) GMDSS at-sea maintainer. (5) No credential expired beyond the (xiii) GMDSS operator. 12-month administrative grace period (f) Except as otherwise provided, each in paragraph (h) of this section can be candidate for a renewal of an STCW en- converted into a Document of Con- dorsement must meet the applicable tinuity. requirements of part 11, subpart C, and/ (6) A holder of a Document of Con- or part 12, subpart F. tinuity may obtain a properly en- (g) Document of Continuity. (1) Appli- dorsed, valid MMC, including STCW en- cants for renewal of national endorse- dorsements, at any time by satisfying ments, who are unwilling or otherwise the requirements for renewal as pro- unable to meet the requirements of vided in paragraphs (d) and (f) of this paragraph (d) of this section, including section. but not limited to the medical and (h) Administrative grace period. A cre- physical standards of subpart C of this dential may be renewed up to 12 part, suitability standards of § 10.211 of months after expiration. For a creden- this part, drug tests, professional re- tial to be re-issued by the Coast Guard

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more than 12 months after its expira- or mate (pilot) of towing vessels more tion, an applicant must comply with than 12 months after expiration of the the requirements of paragraph (i) of previous endorsement must complete this section. When an applicant’s cre- the practical demonstration of maneu- dential expires during a time of service vering and handling a towing vessel re- with the Armed Forces and there is no quired under (e)(6)(i) of this section. reasonable opportunity for renewal, in- (4) Applicants applying for re- cluding by mail, this period may be ex- issuance of an endorsement as any tended. The period of military service tankerman rating more than 12 months following the date of expiration which after expiration of the previous en- precluded renewal may be added to the dorsement must meet the requirements 12-month grace period. The 12-month in § 13.117 of this subchapter. grace period and any extensions do not affect the expiration date of the cre- [USCG–2004–17914, 78 FR 77892, Dec. 24, 2013] dential. A license, MMD, COR, STCW endorsement, MMC, and any endorse- § 10.229 Replacement of lost merchant ments thereon, are not valid for use mariner credentials. after the expiration date. (a) Upon request and without exam- (i) Re-issuance of expired credentials. ination, a mariner may be issued a du- (1) If an applicant applies for re- plicate credential and medical certifi- issuance of an endorsement as deck of- cate after submitting an application ficer, engineer officer, or qualified rat- with an affidavit describing the cir- ing more than 12 months after its expi- cumstances of the loss. The Coast ration, instead of the requirements of Guard will only issue the duplicate cre- paragraph (e) of this section, the applicant must demonstrate continued pro- dential, MMC and/or medical certifi- fessional knowledge by completing a cate, after confirming the validity of course approved for this purpose, or by the mariner’s credentials and the valid- passing the complete examination for ity of the mariner’s TWIC. original issue of the endorsement. The (b) The duplicate credential will have examination may be oral-assisted if the same authority, wording, and expi- the expired credential was awarded ration date as the lost credential. The based on the results of an oral exam. duplicate issued will be in the form of The fees set forth in § 10.219 of this part an MMC. Until April 15, 2014, if a mar- apply to these examinations. In the iner seeks a duplicate of more than one case of an expired radio officer’s en- credential, the MMC issued will reflect dorsement, the endorsement may be endorsements for all credentials lost, issued upon presentation of a valid and the expiration date will match the first- or second-class radiotelegraph earliest expiration date of the creden- operator license issued by the Federal tials lost. Communications Commission. (c) If a person loses a credential by (2) An endorsement for chief purser, shipwreck or other casualty, a dupli- purser, senior assistant purser, junior cate credential will be issued free of assistant purser, hospital corpsman, charge. The term ‘‘other casualty’’ in- marine physician assistant, medical cludes any damage to a ship caused by doctor, or professional nurse that has collision, explosion, tornado, wreck, been expired for more than 12 months flooding, beaching, grounding, or fire; must be renewed in the same way as a or personal loss associated with a fed- current endorsement of that type. There are no additional requirements erally declared natural disaster. for re-issuing endorsements for chief (d) If a person loses a credential by purser, purser, senior assistant purser, means other than those noted in para- junior assistant purser, hospital corps- graph (c) of this section and applies for man, marine physician assistant, med- a duplicate, the appropriate fee set out ical doctor, or professional nurse that in § 10.219 of this part must be paid. have been expired for more than 12 (e) No application from an alien for a months. duplicate credential will be accepted (3) Applicants applying for re- unless the alien complies with the reissuance of an endorsement as master quirements of § 10.221 of this part.

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(f) Applications for duplicate creden- front, back, and all attachments—will tials will not be subject to a criminal satisfy this requirement. record review. (6) Applicants for the following endorsements must produce evidence of [USCG–2006–24371, 74 FR 11216, Mar. 16, 2009, as amended by USCG–2004–17914, 78 FR 77894, having passed a chemical test for dan- Dec. 24, 2013] gerous drugs or of qualifying for an exemption from testing in § 16.220 of this § 10.231 Requirements for raises of subchapter: grade or new endorsements. (i) Any officer endorsement. (a) This section applies to applicants (ii) The first endorsement as able who already hold a valid credential and seaman, lifeboatman, lifeboatman-lim- want to make either of the following ited, qualified member of the engine transactions: department, or tankerman. (1) Add a new endorsement. (7) Where sea service is required, doc- (2) Obtain a raise of grade of an exist- umentary evidence in accordance with ing endorsement. § 10.232 of this part. (b) If an applicant for new endorse- (8) Applicants seeking a new endorsement or raise of grade meets the re- ment must either hold an unexpired newal requirements under § 10.227 of medical certificate or submit a medical this subpart for every endorsement certificate application. listed on the MMC and requests re- (9) Consent to a Coast Guard check newal, the applicant will receive a cre- for offenses described in section dential valid for 5 years. When an ap- 205(a)(3)(A) or (B) of the National Driv- plicant does not meet the renewal re- er Register Act of 1982, as amended. quirements for every endorsement (d) Additional requirements for an held, the applicant’s new endorsement applicant seeking a raise of grade of an will be issued with the expiration date officer endorsement are as follows: that is the same as the current MMC. (1) Sea service acquired before the (c) A complete application for a new issuance of an officer endorsement is endorsement or raise of grade must generally not accepted as any part of contain the following: the service required for a raise of grade (1) A completed, signed application. of that endorsement. However, service (2) Proof that the mariner either acquired before issuance of an officer holds a valid TWIC or has applied for a endorsement will be accepted for cer- TWIC. tain crossovers, endorsements, or in- (3) All supplementary materials re- creases in scope of an MMC, as appro- quired to show that the mariner meets priate. In the limited tonnage cat- the mandatory requirements for the egories for deck officers, total accumu- new endorsements sought as follows: lated service is a necessary criterion (i) The mandatory requirements for for most raises of grade; therefore, officer endorsements as contained in service acquired before the issuance of part 11 of this subchapter and para- such officer endorsements will be ac- graph (d) of this section. cepted. (ii) The mandatory requirements for (2) An applicant remains eligible for rating endorsements as contained in a raise of grade while on probation as a part 12 of this subchapter. result of action under part 5 of this (iii) The mandatory requirements for chapter. A raise of grade issued to a tankerman rating endorsements are person on probation will be subject to contained in part 13 of this subchapter. the same probationary conditions im- (iv) The mandatory requirements for posed against his or her other creden- STCW endorsements as contained in tials. The offense for which he or she parts 11, 12, and 13 of this subchapter. was placed on probation will be consid- (4) The appropriate fee as contained ered on the merits of the case in deter- in § 10.219 of this part. mining fitness to hold the endorsement (5) Any uncanceled MMD, MMC, li- applied for. No applicant will be exam- cense, STCW endorsement, or COR held ined for a raise of grade during any pe- by the applicant. If one or more of riod when a suspension without proba- these credentials are still valid at the tion or a revocation imposed under time of application, a photocopy— part 5 of this chapter is effective

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against his or her credential or while (viii) Any other information nec- an appeal from these actions is pend- essary to determine the applicability ing. of STCW to the vessel. (3) Professional examination. (i) When (ix) Whether the vessel is manned the Coast Guard finds an applicant’s and equipped in accordance with experience and training for raise of SOLAS. grade is satisfactory, and the applicant (x) Where required for an officer en- is eligible in all other respects, the dorsement, time served as bridge Coast Guard will authorize a profes- watchkeeping or engine watchkeeping sional examination. duties under the supervision of a quali- (ii) Oral-assisted examinations may fied officer. be administered in accordance with (3) An MMC endorsement, in certain § 11.201(j) of this subchapter. cases, may be considered as satisfac- (iii) The general instructions for ad- tory evidence of any qualifying experi- ministration of examinations and the ence for obtaining other endorsements. lists of subjects for all endorsements (4) For service on vessels of less than are found in part 11, subpart I; part 12, 200 GRT, owners of vessels may attest subpart E; and part 13, subpart A of to their own service and provide proof this subchapter. of ownership. Those who do not own a [USCG–2004–17914, 78 FR 77894, Dec. 24, 2013] vessel must obtain letters or other evidence from licensed personnel or the § 10.232 Sea service. owners of the vessels listed. (a) Documenting sea service. (1) Sea (5) If the required sea service is asso- service may be documented in various ciated with watchkeeping functions forms such as certificates of discharge, and the performance of duties, as re- pilotage service and billing forms, and quired in §§ 11.323, 11.329, and 11.333, the service letters or other official docu- service must be documented as having ments from marine companies signed been carried out under the direct su- by the owner, operator, master, or pervision of the appropriate person. If chief engineer of the vessel. The Coast the required sea service is associated Guard must be satisfied as to the au- with the performance of duties, as re- thenticity and acceptability of all evi- quired in §§ 11.470, 11.472, and 11.474, the dence of experience or training pre- service must be documented as having sented. been carried out under the supervision (2) Documentary evidence produced of the appropriate person. by the applicant, unless in the form of (6) An applicant who has been acting a Certificate of Discharge conforming as a pilot may submit a letter from a to § 14.307 of this subchapter, must con- pilot’s association attesting to the ap- tain all of the following information: plicant’s sea service. Pilots not part of (i) Vessel name(s) and official num- an association may submit other rel- bers listed on the registration, certifi- evant records indicating service, such cate, or document issued. as billing forms. For a raise-of-grade, (ii) Gross tonnage of the vessel. pilots must comply with the require- (iii) Propulsion power and mode of ments of paragraph (a)(2) of this sec- propulsion of the vessel. tion. (iv) The amount and nature (e.g. (b) Service toward an oceans, near- chief mate, assistant engineer, etc.) of coastal, or STCW endorsement will be the applicant’s experience. credited as follows: (v) Applicable dates of service for (1) Service on the Great Lakes will be each vessel, and the ports or terminals credited on a day-for-day basis up to if applicable. 100 percent of the total required serv- (vi) The routes upon which the expe- ice. rience was acquired. (2) Service on inland waters, other (vii) For those seeking service credit than Great Lakes, that are navigable on towing vessels in accordance with waters of the United States, will be § 11.211(e) of this subchapter, the aggre- credited on a day-for-day basis for up gate tonnage of the tug and barges dur- to 50 percent of the total required serving the mariner’s service. ice.

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(3) Service on vessels to which STCW subpart C; part 12, subpart F; and part applies, whether inland or coastwise, 13, subpart F of this subchapter. will be credited on a day-for-day basis. (3) Service in deck ratings on mili- For establishing credit for sea service, tary vessels such as seaman apprentice, the waters of the Inside Passage be- seaman, boatswain’s mate, quarter- tween Puget Sound and Cape Spencer, master, or Radarman/Operations Spe- Alaska will be credited for a near- cialist are considered deck service for coastal and STCW endorsement. the purposes of this part. Service in (c) Service toward a near-coastal or a other ratings may be considered if the Great Lakes endorsement will be cred- applicant establishes that his or her ited on a day-for-day basis and in ac- duties required a watchstanding pres- cordance with the individual require- ence on or about the bridge of a vessel. ments for the specific credential. Service in engineer ratings on military (d) Sea service as a member of the vessels such as fireman apprentice, Armed Forces of the United States and ci- fireman, engineman, machinists mate, vilian service on vessels owned by the machinery technician, or boiler tender United States as required experience. (1) are considered engineer service for the Sea service as a member of the Armed purposes of this part. There are also Forces of the United States will be ac- other ratings such as electrician, hull cepted as required experience for an technician, or damage controlman, original, raise of grade, renewal, or in- which may be credited when the appli- crease in scope of all endorsements. In cant establishes that his or her duties most cases, military sea service will required watchstanding duties in an have been performed upon ocean wa- operating engine room. ters; however, inland service, as may (4) In addition to service on vessels be the case on smaller vessels, will be that get underway regularly, members credited in the same manner as conven- of the Armed Forces may obtain cred- tional evaluations. The applicant must itable service for assignment to vessels submit an official transcript of sea that get underway infrequently, such service or history of assignments as as tenders and repair vessels. Nor- verification of the service claimed mally, a 25-percent factor is applied to when the application is submitted. A these time periods. This experience can DD–214 is not acceptable evidence of be equated with general shipboard fa- sea service. The applicant must also miliarity, training, ship’s business, and provide the Coast Guard with other other related duties. necessary information as to tonnage, (5) Sea service obtained on sub- routes, propulsion power, percentage of marines is creditable, as if it were sur- time underway, and assigned duties face vessel service, for deck and engi- upon the vessels on which he or she neer officer and qualified ratings en- served. Such service will be evaluated dorsements under the provision of by the Coast Guard for a determination paragraph (a) of this section. For appli- of its equivalence to sea service ac- cation for deck officer and qualified quired on merchant vessels and the ap- ratings endorsements, submarine serv- propriate grade, class, and limit of en- ice may be creditable if at least 25 per- dorsement for which the applicant is cent of all service submitted for the en- eligible. Normally, 60 percent of the dorsement was obtained on surface ves- total time onboard is considered equiv- sels (e.g. if 4 years’ total service were alent underway service; however, the submitted for an original officer en- periods of operation of each vessel may dorsement, at least 1 year must have be evaluated separately. In order to be been obtained on surface craft in order eligible for a master’s or chief engi- for the submarine service to be eligible neer’s unlimited endorsement, the ap- for evaluation). plicant must have acquired military (6) Service gained in a civilian capac- service in the capacity of commanding ity as commanding officer, master, officer or engineer officer, respectively. mate, engineer, or pilot, etc., of any (2) Applicants for management-level, vessel owned and operated by the operational-level or support-level United States, in any service in which STCW endorsements must demonstrate a license or officer endorsement as competence in accordance with part 11, master, mate, engineer, or pilot was

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not required at the time of such serv- (3) An applicant who has obtained ice, will be evaluated by the Coast qualifying experience on foreign ves- Guard for a determination of equiva- sels must submit satisfactory docu- lence. mentary evidence of such service (in- (e) Sea service on vessels that do not get cluding any necessary official trans- underway. This requirement applies to lation to the English language) in ac- service obtained on vessels mandated cordance with paragraph (a)(1) and by the Certificate of Inspection (COI) (a)(2) of this section. which are in operation but do not get (g) Closely related service. The Coast underway or occasionally get underway Guard may accept evidence of employ- for short voyages. Service while the ment in a position closely related to vessel is not underway must be cred- the operation, construction, or repair ited as follows: of vessels (either deck or engineer as (1) Engineering department. Service appropriate) as meeting the sea service may be credited day-for-day for up to requirements for renewal under 50 percent of the service credit for re- § 10.227(e)(1)(iv). Service as port engi- newal, raise in grade, and original issue neer, port captain, shipyard super- for each day the engineering plant is intendent, qualified instructor, or simi- operational. lar related service may be creditable (2) Deck department. Service may be for service for raise of grade of an engineer or deck officer endorsement; how- credited as follows: ever, it may not be used for obtaining (i) Original issue and raise in grade. an original management-level endorse- Service is creditable on a 3-for-1 basis ment. The service is creditable as fol- (12 months of experience equals 4 lows: months of creditable service) for up to (1) Port engineer, port captain or 6 months of service credit. shipyard superintendent experience is (ii) Renewal. Service in any capacity creditable on a 3-for-1 basis for a raise in the deck department is creditable as of grade (e.g., 12 months of experience closely related service under equals 4 months of creditable service). § 10.227(e)(1)(iv). When submitted in For a raise-of-grade, this credit is lim- combination with underway service, ited to 6 months of service. service is creditable on a 3-for-1 basis (2) Service as a qualified instructor (12 months of experience equals 4 in a Coast Guard approved course or a months of creditable service) for up to training program is creditable on a 2- 6 months of service credit. for-1 basis for a raise of grade (e.g., 12 (f) Foreign sea service. (1) Experience months of experience equals 6 months and service acquired on foreign vessels of creditable service). For a raise-of- is creditable for establishing eligibility grade, this credit is limited to 6 for an original or renewal of an officer, months of service. rating, or STCW endorsement, subject (h) Day. (1) Except as noted other- to evaluation by the Coast Guard to de- wise, for the purpose of calculating termine that it is a fair and reasonable service in this subchapter, a day is equivalent to service acquired on mer- equal to 8 hours of watchstanding or chant vessels of the United States with day-working not to include overtime. respect to grade, tonnage, horsepower, (2) On vessels authorized by 46 U.S.C. waters, and operating conditions. This 8104 and 46 CFR 15.705, to operate a experience and service is also cred- two-watch system, a 12-hour working itable to meet recency requirements. day may be creditable as 11⁄2 days of (2) Experience and service acquired service. on foreign vessels while holding a valid (3) On vessels of less than 100 GRT, a U.S. endorsement is creditable for es- day is considered as 8 hours unless the tablishing eligibility for a raise of Coast Guard determines that the ves- grade of an officer, rating, or STCW en- sel’s operating schedule makes this cri- dorsement, subject to evaluation as terion inappropriate; in no case will specified in paragraph (d)(1) of this sec- this period be less than 4 hours. tion. This experience and service is (4) When computing service on also creditable to meet recency re- MODUs for any endorsement, a day of quirements. MODU service must be a minimum of 4

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hours, and no additional credit is re- MMC containing any rating endorse- ceived for periods served over 8 hours. ment for which the holder is qualified. (5) For cadet service on a training (c) An applicant who has had a TWIC, ship furnished by the Maritime Admin- credential, or endorsement revoked, istration under 46 CFR 310.4, a day may and who is applying for a subsequent be creditable as 11⁄2 days of service. MMC or endorsement, must state in his (i) Tonnage equivalency. For the pur- or her application the date of revoca- pose of parts 10, 11 and 12, 200 GRT will tion, the serial number of the docu- be considered equivalent to 500 GT, and ment revoked, and the type of docu- 1,600 GRT will be considered equivalent ment or endorsement revoked. to 3,000 GT. (d) A person whose credential or endorsement has been revoked or sus- [USCG–2004–17914, 78 FR 77894, Dec. 24, 2013] pended without probation may not be issued a replacement credential or en- § 10.233 Obligations of the holder of a merchant mariner credential. dorsement without approval of the Commandant. If a mariner has mul- (a) The holder of a credential may tiple endorsements and one or more, not voluntarily part with it or place it but not all, of those endorsements are beyond his or her personal control by suspended or revoked, he or she will be pledging or depositing it with any issued, without payment of a fee, a re- other person, except as required by reg- placement MMC reflecting those en- ulation or as necessary to safeguard dorsements for which the mariner re- the credential. If the holder violates mains qualified. this section, the Coast Guard may pur- (e) When a credential or endorsement sue suspension or revocation of the li- that is about to expire has been sus- cense, MMD, COR, or MMC under the pended, without probation, the renewal provisions of part 5 of this chapter. of the credential or endorsement will (b) Whenever a mariner loses a cre- be withheld until expiration of the sus- dential, he or she must immediately pension period. report the loss to the Coast Guard. The (f) When applying for an original en- report must be made in writing, giving dorsement on an MMC, pursuant to the facts incident to its loss. paragraph (d) of this section, an indi- (c) Invalid credentials must be re- vidual’s existing service and training turned to the Coast Guard. Upon writ- may be considered by the Coast Guard ten request, the Coast Guard will re- when determining the grade of the en- turn the cancelled credential to the dorsement to be issued. mariner. (g) An applicant for renewal or return of a credential with endorsement § 10.235 Suspension or revocation of as master or mate (pilot) of towing ves- merchant mariner credentials. sels whose most recent credential has (a) Any MMC or endorsement is sub- been suspended or revoked by an ad- ject to suspension or revocation on the ministrative law judge for incom- same grounds, in the same manner, and petence must complete the practical with like procedure as provided in 46 demonstration required under U.S.C. chapter 77. § 10.227(e)(6)(i) of this subpart. (b) When any individual’s credential (h) If the Coast Guard is advised by is revoked, it is no longer valid for any the Transportation Security Adminis- purpose, and any MMC subsequently tration (TSA) that a mariner has ei- requested must be applied for as an ther been denied a TWIC or their TWIC original following the procedures of has been revoked, the Coast Guard may §§ 5.901–5.905 of this subchapter. When initiate suspension and revocation ac- an endorsement on an individual’s tion against the mariner’s MMC, li- MMC is revoked, it is no longer valid, cense, MMD, and COR under 46 U.S.C. and any endorsement of the same type 7702 and 7703. During the subsequent subsequently requested must be applied suspension and revocation proceeding, for as an original following the proce- the TSA decision to deny issuance of, dures of §§ 5.901–5.905 of this subchapter. or to revoke, a mariner’s TWIC will not When an officer’s endorsement is re- be subject to review, and the mariner’s voked, the Coast Guard will issue an failure to hold a TWIC will be treated

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by the Coast Guard as proof that the certificate, or endorsement it will pro- mariner is not eligible for an MMC, li- vide, a written statement listing the cense, MMD or COR. reason(s) for denial. (i) A mariner that has either been de- (b) Any person directly affected by a nied issuance of a TWIC or whose TWIC decision or action taken under this has been revoked for a reason, other subchapter, by or on behalf of the than administrative reasons (e.g., Coast Guard, may appeal under the being lost or stolen, not functioning, or provisions of subpart 1.03 of part 1 of having a misspelling) will be deemed this chapter. ineligible for an MMC, license, MMD or COR. (c) The Coast Guard will not review decisions made by the Transportation [USCG–2006–24371, 74 FR 11216, Mar. 16, 2009, Security Administration to suspend, as amended by USCG–2006–24371, 74 FR 39218, revoke, or deny a mariner’s TWIC. Aug. 6, 2009; USCG–2004–17914, 78 FR 77894, Dec. 24, 2013] [USCG–2006–24371, 74 FR 11216, Mar. 16, 2009, as amended by USCG–2004–17914, 78 FR 77894, § 10.237 Right of appeal. Dec. 24, 2013] (a) If the Coast Guard refuses to grant an applicant an MMC, medical

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VerDate Sep<11>2014 10:49 Nov 12, 2014 Jkt 232198 PO 00000 Frm 00141 Fmt 8010 Sfmt 8010 Q:\46\46V1.TXT 31 § 10.239 46 CFR Ch. I (10–1–14 Edition) CPR exceptions. Note exceptions. First aid and § 11.201(i) Note: §§ 11.201(i): § 11.201(i). § 11.201(i). § 11.201(i). § 11.201(i). (c)(2). § 10.227(e) (c)(2). § 10.227(e) (c)(2). § 10.227(e). (c)(2). § 10.227(e) (c)(2). § 10.227(e) (c)(2). § 10.227(e) ...... § 11.335(a)(3)(i). Recency of service renewal renewal original § 11.201 renewal renewal original § 11.201 renewal renewal ability

Demonstration of professional .311; .315; .317. .313;. 11.319; 11.321. § 11.331;. § 11.327; § 11.333. § 11.329. § 11.335(b) & (c). N/A ...... original § 11.201 N/A ...... original § 11.201 Chief Mate § 11.307; OICNW § 11.309; N/A ...... original § 11.201 2nd engineer officer; OICEW/DDE note exception in EQUIREMENTS § 11.903; § 11.910. 11.903; § 11.910. 11.903; § 11.950. Note: § 11.903(b) N/A ...... Master § 11.305; Note: § 11.903(b) N/A ...... Chief § 11.325; MMC R Firefighting Professional exam Firefighting Professional § 11.303(b) and (c) § 11.303(b) and (c) § 11.201(h) ...... § 11.201(j); N/A ...... §§ 11.201(j); § 11.303 ...... Renewal: N/A ...... N/A ...... § 11.1105(a)(1); (2) .. § 11.1105(c) ...... N/A. § 11.201(h) ...... § 11.201(j); § 11.303 ...... Renewal: § 11.201(h)(1)(iv) § 11.903 ...... N/A§11.201 ...... original § 11.335(a)(3)(ii) N/A ...... § 11.335(a)(2), (3) .... ABLE FOR T EFERENCE in § 11.201(g) for original national or STCW endorsements. in § 11.201(g) for original national or STCW endorsements. in § 11.201(g) for original national or STCW endorsements. in § 11.201(g) for original national or STCW endorsements. in § 11.201(g) for original national or STCW endorsements. in § 11.201(g) for original national or STCW endorsements. in § 11.201(g) for original national or STCW endorsements. R Recommendations and character check N/A: Note exceptions N/A: Note exceptions N/A: Note exceptions N/A: Note exceptions N/A: Note exceptions N/A: Note exceptions UICK Experience [For tankerman endorsements, see table 1 to § 13.129.] Subpart D. (e); (f); (g). Subpart C. Subpart E. Subpart C. § 11.335(b) & § 11.33 5(c). note exception in § 10.239: Q TO 1 Medical and physical exam § 10.302(a) ...... 46 CFR Part 11— § 10.302(a) ...... § 11.467(c); (d); § 10.302(a) ...... 46 CFR Part 11— 10.302(a) ...... 46 CFR Part 11— § 10.302(a) ...... 46 CFR Part 11— § 10.302(a) ...... 11.524(b) ...... N/A: Note exceptions § 10.302(a) ...... § 11.335(a)(1) ...... ABLE T § 11.201(d). § 11.201(d). § 11.201(d). U.S., § 10.221(a)(1) § 10.221(a)(1) ...... § 11.201(d). U.S., § 10.221(a)(1) § 11.201(d). U.S., § 10.221(a)(1) U.S., § 10.221(a)(1) U.S., § 10.221(a)(1) § 11.201(d). U.S., § 10.221(a)(1) § 11.201(d). tions. tions here and in § 11.201(l). tions. tions. tions. tions. tions. Minimum age Citizenship Note: excep- § 11.201(e) .... Note: excep- § 11.201(e) .... Note: excep- N/A ...... N/A ...... N/A ...... N/A ...... N/A ...... § 11.201(e) .... Note: excep- § 11.201(e) .... Note: excep- § 11.201(e) .... Note: excep- § 11.201(e) .... Note: excep- category Table 1 to § 10.239 provides a guide to the requirements for officer endorsements. Provisions in reference section Uninspected Passenger Vessels (OUPV). Officer endorsements. passenger ship when on an international voyage. (original). neering Offi- cer endorsements. ignated Duty Engineer (DDE). nical officer. Endorsement Master, mates § 11.201(e) .... Operator of STCW Deck Officer on a Engineers STCW Engi- National Des- Electro-tech- § 10.239 Quick reference table for MMC requirements. are controlling.

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VerDate Sep<11>2014 10:49 Nov 12, 2014 Jkt 232198 PO 00000 Frm 00142 Fmt 8010 Sfmt 8010 Q:\46\46V1.TXT 31 Coast Guard, DHS § 10.239 § 11.201(i). § 11.201(i). § 11.201(i). § 11.201(i). § 11.201(i). N/A. N/A. § 11.713. (c)(2). § 10.227(e) (c)(2). § 10.227(e). (c)(2). § 10.227(e). (c)(2). § 10.227(e). years, § 11.201 (c)(2). § 10.227(e) and (f). renewal original § 11.201 renewal renewal renewal 3 months in past 1 year in past 5, Note: alternative...... N/A ...... N/A. and E. § 10.227(d) and (e). § 11.705 ...... § 11.705(e), § 11.464; § 11.465 .... original § 11.201 Master § 11.493 ...... Chief Mate § 11.495 Mate § 11.497 C/E § 11.553 Engineer § 11.555 N/A ...... original § 11.201 N/A ...... original § 11.201 Part 11, subparts D § 11.910. § 11.903; § 11.910. § 11.495 § 11.903 § 11.903. § 11.903; § 11.920. § 11.903; § 11.910. § 11.903; § 11.910; § 11.920; § 11.950. § 11.201(j); Master § 11.493 Chief Mate Mate § 11.497 C/E § 11.553; Eng § 11.555; § 11.201(j); § 11.201(j); exceptions. N/A ...... § 11.707; § 11.903; § 11.201(h)(1)(ii) § 11.201(h)(2)(ii) Note: exceptions § 11.201(h) ...... § 11.201(j); ...... § 11.201(h): note § 11.201(h) ...... Note: exceptions N/A ...... N/A ...... § 11.603 ...... N/A ...... N/A § ...... 11.201(i). N/A ...... 11.604 ...... N/A ...... N/A. N/A ...... N/A ...... § 11.807 ...... N/A ...... § 11.201(i). in § 11.201(g) for original national or STCW endorsements. in § 11.201(g) for original national or STCW endorsements. in § 11.201(g) for original national or STCW endorsements. in § 11.201(g) for original national or STCW endorsements. in § 11.201(g) for original national or STCW endorsements. in § 11.201(g) for original national or STCW endorsements. in § 11.201(g) for original national or STCW endorsements. N/A: Note exceptions N/A: Note exceptions N/A: Note exceptions N/A: Note exceptions N/A ...... N/A ...... § 10.231(d); N/A ...... N/A ...... N/A ...... Towing officers, Subpart D. § 11.495. § 11.544. (d);. § 11.530(c); (d); (e). 11, subparts D and E. § 11.703; § 11.705 N/A: Note exceptions Chief Mate Mate § 11.497 C/E § 11.553 Engineer § 11.555 B.S.: § 11.472 BCO: § 11.474 ChEng: § 11.542 Asst. Eng: Engine: Note: exceptions § 10.302(a); ...... § 11.709 ...... § 10.302(a) ...... 46 CFR Part 11— § 10.302(a) ...... Master § 11.493 ... § 10.302(a) ...... OIM: § 11.470 ...... § 10.302(a) ...... Deck: § 11.462(c); § 10.302(a) ...... N/A ...... N/A: Note exceptions § 10.302(a) ...... § 10.231(c); Part § 10.302(a) ...... § 10.227(d) and (e) § 10.302(a) ...... § 11.807 ...... N/A: Note exceptions § 10.302(a) ...... N/A ...... N/A ...... N/A ...... N/A ...... N/A § 11.201(d). § 11.201(d). § 11.201(d). U.S., § 10.221(a)(1) U.S., § 10.221(a)(1) U.S., § 10.221(a)(1) U.S., § 10.221(a)(1) § 11.201(d). U.S., § 10.221(a)(1) § 11.201(d). U.S., § 10.221(a)(1) § 11.201(d). U.S., § 10.221(a)(1) § 11.201(d). U.S., § 10.221(a)(1) § 11.201(d). U.S., § 10.221(a)(1) § 11.201(d). U.S., § 10.221(a)(1) § 11.201(d). tions. tions. tions. tions. tions. tions. tions. tions. tions. tions. Note: excep- Note: excep- § 11.201(e) .... Note: excep- Note: excep- § 11.201(e) .... Note: excep- Note: excep- N/A ...... N/A ...... § 11.201(e) N/A ...... Note: excep- N/A ...... N/A ...... § 11.201(e) .... Note: excep- Note: excep- § 11.201(e) .... Note: excep- ply Vessels. fishing industry vessels. ator. of grade. als. newals. Pilot ...... § 11.201(e) .... Towing vessels § 11.201(e) .... Offshore Sup- MODU licenses § 11.201(e) .... Uninspected Radio officer ... § 11.201(e) .... GMDSS Oper- Officer raises Officer renew- Staff officer ..... § 11.201(e) .... Staff officer re-

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VerDate Sep<11>2014 10:49 Nov 12, 2014 Jkt 232198 PO 00000 Frm 00143 Fmt 8010 Sfmt 8010 Q:\46\46V1.TXT 31 § 10.239 46 CFR Ch. I (10–1–14 Edition) CPR First aid and § 12.601(c). § 12.601(c). § 12.601(c). § 12.601(c). § 12.601(c). N/A. N/A. N/A. year in past 5, § 10.227(e) and (f). year in past 5, § 10.227(e) and (f). year in past 5, § 10.227(e) and (f). year in past 5, § 10.227(e) and (f). year in past 5, § 10.227(e) and (f). year in past 5, § 10.227(e) and (f). year in past 5, § 10.227(e) and (f). year in past 5, § 10.227(e) and (f). Recency of service Note: alternative Note: alternative Note: alternative Note: alternative Note: alternative. Renewal only, 1 Renewal only, 1 Renewal only, 1 Renewal only, 1 Note: alternative Note: alternative Note: alternative. 3) .... Renewal only, 1 ...... N/A ...... N/A. )(2) )(3) ...... Renewal only, 1 )(2); (4) )(3) ...... Renewal only, 1 )(3); ...... Renewal only, 1 ability Demonstration of professional § 12.603(a)(4) § 12.603(a)(5). § 12.607(b); (c). § 12.611(b). § 12.405. —Continued EQUIREMENTS MMC R Firefighting Professional exam Firefighting Professional ABLE FOR T Recommendations and character check EFERENCE R UICK Experience [For tankerman endorsements, see table 1 to § 13.129.] § 12.403 ...... N/A ...... N/A ...... § 12.401(c)(5) ...... § 12.401(c)(6) N/A ...... N/A ...... N/A ...... N/A ...... N/A ...... § 10.239: Q Medical and § 12.401(c)(2). ception in § 12.811(a)(2). dler (F.H.) requirements in Table § 10.302(a). (xiv). physical exam TO § 10.302(a), § 10.302(a) ...... § 12.603(a)(3) ...... N/A ...... N/A ...... § 10.302(a) N/A ...... § § 12.605(a)(2) 12.603(a ...... N/A ...... N/A ...... § 10.302(a) N/A ...... § § 12.503 12.605(a ...... N/A ...... N/A ...... § 10.302(a) § 12.505 ...... N/A § 12.607(a)(3) ...... N/A ...... N/A ...... § 10.302(a) N/A ...... § § 12.609(a)(2) 12.607(a ...... N/A ...... N/A ...... § 10.302(a) N/A ...... § § 12.611(a)(2) 12.609(a ...... N/A ...... N/A ...... N/A; note ex- N/A ...... § 12.611(a Note: Food Han- (xiii) § 10.302(a) § 10.302(a) ...... § 12.407(b)(1) ...... N/A ...... N/A ...... § 12.407(b)(2); (4) § 12.407(b)(2); ( 1 ABLE T ted for permanent residence, § 10.221(a)(2). ted for permanent residence, § 10.221(a)(2). ted for permanent residence, § 10.221(a)(2). ted for permanent residence, § 10.221(a)(2). ted for permanent residence, § 10.221(a)(2). ted for permanent residence, § 10.221(a)(2). ted for permanent residence, § 10.221(a)(2). ted for permanent residence, § 10.221(a)(2). ted for permanent residence, § 10.221(a)(2). § 12.803; § 12.809 .... Minimum age Citizenship § 12.603(a)(1) U.S. or alien admit- § 12.605(a)(1) U.S. or alien admit- § 12.501(c)(1) U.S. or alien admit- § 12.607(a)(1) U.S. or alien admit- § 12.609(a)(1) U.S. or alien admit- § 12.611(a)(1) U.S. or alien admit- N/A ...... U.S. or alien admit- category deck. forming a navigational watch. bers of engine department. engine. forming an engineering watch. nical rating. ings. Endorsement Able seaman .. § 12.401(c)(1) U.S. or alien admit- Able-seafarer Ratings for Qualified mem- Able-seafarer Ratings for Electro-tech- Entry level rat- Lifeboatman .... N/A ...... U.S. or alien admit-

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VerDate Sep<11>2014 10:49 Nov 12, 2014 Jkt 232198 PO 00000 Frm 00144 Fmt 8010 Sfmt 8010 Q:\46\46V1.TXT 31 Coast Guard, DHS § 10.239 § 12.601(c). N/A. N/A. § 12.601(c). § 12.601(c). § 11.201(i). N/A. N/A. year in past 5, § 10.227(e) and (f). § 12.617(b)(2). § 11.821(e). year in past 5, § 10.227(e) and (f). year in past 5, § 10.227(e) and (f). § 12.613(b)(2). year in past 5, § 10.227(e) and (f). § 12.615(b)(2). (c)(2). § 10.227(e). § 11.201(c)(2). year in past 5, § 10.227(e) and (f). Note: alternative. Renewal Renewal only, 1 Note: alternative. Note: alternative. Renewal: Note: alternative. Renewal: renewal Note: alternative. 3) .... Renewal only, 1 (1) ...... Renewal only, 1 613(a)(3) ...... Renewal only, 1 615(a)(3) ...... Renewal only, 1 (4). .. § 12.617(a)(2); (3); ...... N/A ...... § 12.623(b) ...... N/A ...... N/A ...... § 12.619(a)(1); (2) .... N/A. N/A ...... N/A ...... § 12.621(a)(1); (2) .... § 12.619(a)(1). N/A ...... § 12.621(a)(1)...... § 11.482 ...... § 11.482 ...... original N/A ...... N/A ...... § 11.821(b)(2) ...... Renewal: N/A ...... N/A ...... § 11.480(d); (h) ...... N/A ...... N/A N/A ...... N/A. § 11.337(a) ...... original § 11.201 in § 11.201(g) for original national or STCW endorsements. in § 11.201(g) for original national or STCW endorsements. N/A: Note exceptions § 11.821(c). § 10.302(a) ...... § 12.409(b)(1) ...... N/A ...... N/A ...... N/A § 12.409(b)(2); (4) ...... N/A § 12.409(b)(2); ( ...... N/A ...... N/A ...... N/A ...... N/A ...... § 12.613(a)(2) ...... N/A ...... N/A ...... N/A ...... § 12. N/A ...... § 12.615(a)(2) ...... N/A ...... N/A ...... N/A ...... § 12. § 10.302(a) ...... § 11.337(a) ...... N/A: Note exceptions § 12.625(a)(2) ... § 12.625(a)(1) ...... N/A ...... N/A ...... N/A ...... § 12.625(a) ted for permanent residence, § 10.221(a)(2). ted for permanent residence, § 10.221(a)(2). ted for permanent residence, § 10.221(a)(2). ted for permanent residence, § 10.221(a)(2). ted for permanent residence, § 10.221(a)(1) § 10.221(a)(2. ted for permanent residence, § 10.221(a)(2). § 12.803 ...... N/A ...... U.S. or alien admit- § 12.617(a)(1) U.S. or alien admit- § 12.613(a)(1) U.S. or alien admit- § 12.615(a)(1) U.S. or alien admit- N/A ...... N/A ...... N/A ...... N/A ...... § 11.482 ...... N/A ...... N/A ...... N/A ...... § N/A 11.337(a) .... N/A ...... U.S. or alien admit- N/A ...... N/A ...... U.S. § 10.221(a)(1) .. N/A ...... § 11.821(b)(1) § 12.623(a) .... N/A ...... N/A ...... N/A ...... N/A ...... N/AN/A ...... N/A ...... N/A N/A ...... § 12.619(b) ...... N/A N/A ...... N/A§ 12.625(a)(1) ...... § 12.621(b) U.S. or alien admit- ...... N/A .. N/A ...... N/A .. Limited. fast rescue boats. survival craft and rescue boats other than fast rescue boats. survival craft and rescue boats other than lifeboats and fast rescue boats- limited. Towing endorsement. server endorsement. Officer. Craft. maintainer. aid provider. charge of medical care. sonnel with designated security duties. Lifeboatman- Proficiency in Proficiency in Proficiency in Assistance Radar Ob- Vessel Security High Speed GMDSS at sea Medical first- Person in Vessel per-

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VerDate Sep<11>2014 10:49 Nov 12, 2014 Jkt 232198 PO 00000 Frm 00145 Fmt 8010 Sfmt 8010 Q:\46\46V1.TXT 31 § 10.239 46 CFR Ch. I (10–1–14 Edition) CPR First aid and N/A. N/A. § 12.905(d). year in past 5, § 10.227(e) and (f). Recency of service Note: alternative. (1) ...... Renewal only, 1 ability Demonstration of professional —Continued EQUIREMENTS MMC R Firefighting Professional exam Firefighting Professional N/A ...... N/A ...... § 12.905(a); (b) ...... Renewal ABLE FOR T Recommendations and character check EFERENCE R UICK Experience [For tankerman endorsements, see table 1 to § 13.129.] § 10.239: Q Medical and physical exam TO § 12.627(a)(2) ... § 12.627(a)(1) ...... N/A ...... N/A ...... N/A ...... § 12.627(a) 1 ABLE T ted for permanent residence, § 10.221(a)(2). § 12.803 ...... Minimum age Citizenship § 12.627(a)(1) U.S. or alien admit- N/A ...... N/A ...... N/A ...... N/A ...... N/A ...... category ness. on passenger ships on international voyages. Endorsement Security aware- Ratings serving [USCG–2004–17914, 78 FR 77896, Dec. 24, 2013]

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under the age of 18, in which case the maximum period of validity will be 1 Subpart C—Medical Certification year. (2) Medical certificates issued to a SOURCE: USCG–2004–17914, 78 FR 77900, Dec. mariner who is serving as a first-class 24, 2013, unless otherwise noted. pilot, or acting as a pilot under § 15.812 of this subchapter, will be issued for a § 10.301 General requirements. maximum period of 2 years. (a) The Coast Guard will issue a med- (3) Medical certificates issued to all ical certificate to a mariner meeting other mariners will be issued for a the medical and physical standards for maximum period of 5 years. merchant mariners. The medical cer- (4) Applicants seeking additional tificate will be issued for various peri- MMC endorsements holding a current ods of time based upon the endorse- medical certificate are not required to ments the mariner holds. The Coast submit a new medical physical exam if Guard will review all information pro- their existing medical certification vided and will determine whether— meets all of the requirements of this (1) The applicant is physically and section for the endorsement sought. medically qualified for the medical cer- (c) Applicants holding no endorse- tificate without any limitations, waiv- ment other than a staff officer endorse- ers and/or other conditions; ment need not meet the medical and (2) The applicant is physically and physical requirements of this section. medically qualified for the medical certificate with limitations and/or other § 10.302 Medical and physical require- conditions as specified by the Coast ments. Guard; (3) For an applicant who does not (a) To qualify for a medical certifi- possess the vision, hearing, or general cate, a mariner must provide evidence physical condition necessary, a med- of meeting the medical and physical ical certificate may be issued with ap- standards in this section on a CG–719–K propriate limitations, waivers and/or or CG–719–K/E, as appropriate. The other conditions as specified by the Coast Guard retains final authority for Coast Guard; determining whether a mariner is (4) Additional information is nec- medically and physically qualified. essary to determine if the applicant is Columns 2 through 5 of Table 1 to para- physically and/or medically qualified graph (a) of this section provide the for the medical certificate. The Coast specific exam, test, or demonstrations Guard will request additional informa- required to obtain the corresponding tion from the applicant. The Coast credential listed in column 1. Further Guard may hold the package pending clarifications of the requirements con- receipt of that information before the tained in the table are found through- package and/or application is denied; out this subpart. or (b) Any required test, exam, or dem- (5) The applicant is not physically onstration must have been performed, and/or medically qualified for the med- witnessed, or reviewed by a licensed ical certificate. The application for a medical doctor, licensed physician as- medical certificate will be denied by sistant, licensed nurse practitioner, or the Coast Guard. a designated medical examiner. All li- (b) Except as otherwise noted, med- censed medical practitioners must hold ical certificates will be issued for the a valid license issued in the United following periods of time: States. Medical examinations for Great (1) All persons employed or engaged Lakes Pilots must be conducted by a li- onboard vessels to which STCW applies censed medical doctor in accordance will be issued a medical certificate with the physical exam requirements valid for 2 years unless the mariner is in 46 CFR 402.210.

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TABLE 1 TO § 10.302(a)—MEDICAL AND PHYSICAL REQUIREMENTS FOR MARINER ENDORSEMENTS

5 1 2 3 4 Demonstration Credential Vision Hearing General of physical test test medical exam ability

(1) Deck officer, including pilot ...... § 10.305(a) § 10.306 § 10.304(a) § 10.304(c) (2) Engineering officer ...... § 10.305(b) § 10.306 § 10.304(a) § 10.304(c) (3) Radio officer ...... § 10.305(b) § 10.306 § 10.304(a) § 10.304(c) (4) Offshore installation manager, barge supervisor, or ballast control operator ...... § 10.305(b) § 10.306 § 10.304(a) § 10.304(c) (5) Able seaman ...... § 10.305(a) § 10.306 § 10.304(a) § 10.304(c) (6) QMED ...... § 10.305(b) § 10.306 § 10.304(a) § 10.304(c) (7) Able seafarer deck ...... § 10.305(a) § 10.306 § 10.304(a) § 10.304(c) (8) RFPNW ...... § 10.305(a) § 10.306 § 10.304(a) § 10.304(c) (9) Able seafarer engine ...... § 10.305(b) § 10.306 § 10.304(a) § 10.304(c) (10) RFPEW ...... § 10.305(b) § 10.306 § 10.304(a) § 10.304(c) (11) Electro-technical rating ...... § 10.305(b) § 10.306 § 10.304(a) § 10.304(c) (12) Tankerman ...... § 10.305(b) § 10.306 § 10.304(a) § 10.304(c) (13) Lifeboatman and Proficiency in survival craft and rescue boats other than fast rescue boats (PSC) ...... § 10.305(b) § 10.306 § 10.304(a) § 10.304(c) (14) Lifeboatman-Limited and Proficiency in survival craft and rescue boats other than fast rescue boats—limited (PSC—limited) ...... § 10.305(b) § 10.306 §10.304(a) §10.304(c) (15) Fast Rescue Boat ...... § 10.305(b) § 10.306 § 10.304(a) § 10.304(c) (16) Food handler serving on vessels to which STCW does not apply ...... § 10.304(b) (17) Food handler serving on vessels to which STCW applies ...... § 10.304(b) § 10.304(c) (18) Ratings, including entry level, serving on vessels to which STCW applies, other than those listed above ...... § 10.304(c) (19) Ratings, including entry level, serving on vessels to which STCW does not apply, other than those listed above ...... (20) Vessel security officer ...... § 10.305(a) § 10.306 § 10.304(a) § 10.304(c)

§ 10.303 Medical waivers, limitations, Guard retains final authority for the and restrictions. issuance of medical waivers. (c) Medical waivers may be granted (a) The Coast Guard may grant a with specific conditions to which the waiver if, after review of all relevant applicant must adhere, such as more supporting medical documents and frequent monitoring of the medical consultation with the examining physi- conditions, submission of medical cian, as needed, an applicant does not exams and/or tests at varying intervals possess the vision, hearing, or general to track the ongoing status of the med- physical condition necessary; and ex- ical condition, or operational limita- tenuating circumstances warrant spe- tions in the manner the mariner may cial consideration. An applicant may serve under the MMC. submit to the Coast Guard additional (d) The Coast Guard may place an correspondence, records, and reports in operational limitation on medical and support of a waiver. In this regard, rec- physical conditions. Any operational ommendations from agencies of the limitations will be reflected in the Federal Government operating govern- medical certificate. ment vessels, as well as owners and op- (e) The Coast Guard may place a re- erators of private vessels, made on be- striction on a medical certificate based half of their employees, will be given upon medical and physical conditions full consideration. of an applicant. Any restriction will be (b) In general, medical waivers are reflected on the medical certificate and approved when an applicant does not may include restriction of route or meet the applicable medical standards, trade. but objective medical evidence indicates that the condition is sufficiently § 10.304 General medical exam. controlled and the effects of medica- (a) The general medical exam must tion pose no significant risk to mari- be documented and of such scope to en- time and public safety. The Coast sure that there are no conditions that

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pose significant risk of sudden inca- (ix) Is capable of normal conversa- pacitation or debilitating complica- tion. tion. This exam must also document (3) Guidance on demonstration of any condition requiring medication physical ability is contained in the rel- that impairs cognitive ability, judg- evant Coast Guard guidance for the ment, or reaction time. The Coast conduct of general medical exams. Guard will provide guidance on the (d) Reports of medical and physical conduct of general medical exams. Ex- exams, demonstrations, and tests. These aminers should be familiar with the reports must be submitted within 12 content and recommended medical months from the date signed by the li- evaluation data compiled in the med- censed medical professional. When sub- ical guidelines. mitted with a complete application (b) Food handlers are not required to package, these reports remain valid for submit to a general medical exam, but 12 months from the date the Coast must obtain a statement from a li- Guard accepts a complete application. censed physician, physician assistant, or nurse practitioner attesting that § 10.305 Vision requirements. they are free of communicable diseases (a) Deck standard. (1) A mariner must that pose a direct threat to the health have correctable vision to at least 20/40 or safety of other individuals in the in one eye and uncorrected vision of at workplace. least 20/200 in the same eye. The color (c) Demonstration of physical ability. sense must be determined to be satis- (1) A demonstration of physical ability factory when tested by any of the fol- is required only if— lowing methods or an alternative test (i) The medical practitioner con- acceptable to the Coast Guard, without ducting the general medical exam is the use of color-sensing lenses: concerned that an applicant’s physical (i) Pseudoisochromatic Plates ability may impact maritime safety; or (Dvorine, 2nd Edition; AOC; revised (ii) Table 1 to § 10.302(a) of this sub- edition or AOC–HRR; Ishihara 14-, 24- , part shows that the mariner must pass or 38-;plate editions). a demonstration of physical ability. (ii) Farnsworth Lantern. (2) For an applicant to satisfactorily (iii) Titmus Vision Tester/OPTEC pass a demonstration of physical abil- 2000. ity, the examiner must be satisfied (iv) Optec 900. that the applicant— (v) Richmond Test, 2nd and 4th edi- (i) Has no disturbance in the sense of tion. balance; (2) After January 1, 2017, applicants (ii) Is able, without assistance, to for an STCW endorsement must have climb up and down vertical ladders and correctable vision to at least 20/40 in inclined stairs; both eyes and uncorrected vision of at (iii) Is able, without assistance, to least 20/200 in both eyes. A mariner who step over a door sill or coaming; meets these requirements and who suf- (iv) Is able to move through a refers loss of vision in one eye after being stricted opening of 24-by-24 inches (61- issued an MMC is subject to the re- by-61 centimeters); quirements of paragraphs (c), (d), and (v) Is able to grasp, lift, and manipu- (e) of this section, as applicable. A late various common shipboard tools, mariner holding an MMC prior to Janu- move hands and arms to open and close ary 1, 2017, must continue to meet the valve wheels in vertical and horizontal requirements of paragraph (a)(1) of this directions, and rotate wrists to turn section. handles; (b) Engineering, radio officer, (vi) Does not have any impairment or tankerman, and MODU standard. A mar- disease that could prevent normal iner must have correctable vision to at movement and physical activities; least 20/50 in one eye and uncorrected (vii) Is able to stand and walk for ex- vision of at least 20/200 in the same eye tended periods of time; and need only the ability to distinguish (viii) Does not have any impairment the colors red, green, blue, and yellow. or disease that could prevent response The color sense must be determined to to a visual or audible alarm; and be satisfactory when tested by any

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color-vision test listed in paragraph (a) threshold of 30 decibels or less in at of this section, or an alternative test least one ear. acceptable to the Coast Guard, without (c) The functional speech discrimina- the use of color-sensing lenses. The tion test must be carried out at a level Coast Guard will accept Farnsworth D– of 65 decibels. For issuance of an origi- 15 Hue Test as a color vision test to nal MMC or endorsement the applicant meet the requirements of this para- must demonstrate functional speech graph. discrimination of at least 90 percent. (c) Vision waiver. Any applicant For renewal or raise of grade, the ap- whose uncorrected vision does not plicant must demonstrate functional meet the 20/200 standard and is correct- speech discrimination of at least 80 able to listed standards above may be percent. granted a medical waiver in accordance (d) Hearing waivers. An applicant who with § 10.303 of this subpart. If a vision is unable to meet the hearing stand- waiver is granted, a limitation will be ards of the audiometer test, but who placed on his or her MMC indicating can pass the functional speech dis- the mariner may not serve under the crimination test; or who requires hear- authority of the endorsement unless ing aids to meet the hearing standards, corrective lenses are worn and spare may be eligible for a medical waiver in lenses are carried onboard a vessel. accordance with § 10.303 of this subpart. Waivers are not normally granted to an (e) Hearing operational limitation. If applicant whose corrected vision in the hearing aids are required in order to better eye is not at least 20/40 for deck meet the hearing standards above, a officers or 20/50 for engineer officers. mariner may not serve under the au- (d) Vision operational limitation. If cor- thority of the endorsement unless rective lenses are required in order to hearing aids are worn in the oper- meet the vision standards above, a ational mode, and spare batteries are mariner may not serve under the au- carried onboard a vessel. This oper- thority of the endorsement unless cor- ational limitation will be placed on his rective lenses are worn and spare or her medical certificate. lenses are carried onboard a vessel. This operational limitation will be Subpart D—Training Courses and placed on his or her medical certificate. Programs (e) Loss of vision. A mariner having lost vision in one eye must wait 6 SOURCE: USCG–2004–17914, 78 FR 77903, Dec. months from the date of the vision loss 24, 2013, unless otherwise noted. before submitting any application, and § 10.401 Applicability. must provide a statement of demonstrated ability on his or her medical This subpart prescribes the general examination. requirements applicable to offerors of all approved courses and training pro- § 10.306 Hearing requirements. grams which may be accepted instead (a) If the medical practitioner con- of sea service, examination required by ducting the general medical exam has the Coast Guard, or STCW assess- concerns that an applicant’s ability to ments, or which satisfy course comple- hear may impact maritime safety, the tion requirements. examining medical practitioner must refer the applicant to an audiologist or § 10.402 Approval of training courses. other hearing specialist to conduct an (a) Categories. The Coast Guard may audiometer test and a speech discrimi- approve courses designed to substitute nation test, as appropriate. for or fulfill any or all of the following: (b) The audiometer test must include (1) A portion of sea service require- testing at the following thresholds: 500 ment. Hz; 1,000 Hz; 2,000 Hz; and 3,000 Hz. The (2) Examinations required by the frequency responses for each ear must Coast Guard. be averaged to determine the measure (3) Professional competency require- of an applicant’s hearing ability. Appli- ments. cants must demonstrate an unaided (4) Regulatory requirements.

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(b) Request for approval. Organiza- contact with the local Regional Exam tions desiring course approval by the Center and approval by the National Coast Guard must submit a written re- Maritime Center; and quest and a complete curriculum pack- (v) A description of the following ma- age to the National Maritime Center, terials used for development, instruc- either by mail or electronically. The tion, and performance measurement: curriculum package must be provided (A) Equipment. in a format specified by the Office of (B) Teaching aids. Vessel Activities (CG–CVC) and in- (C) Textbooks and presentations. clude: (D) Reference bibliography. (1) A cover letter. The cover letter must contain— (3) Part B: Course outline. The course (i) The name of the organization pro- outline must contain— viding the instruction and the course (i) Course subjects/topics; and name; (ii) Course schedule, including the (ii) The locations where the course duration and order of lessons, and an will be held; indication as to whether each lesson (iii) A general description and over- is— view of the course; (A) A classroom lecture; (iv) The category of acceptance being (B) A practical demonstration; sought, as listed in paragraph (a) of (C) A simulator exercise; this section; and (D) An examination; or (v) Reference to regulatory require- (E) Another method of instructional ments met by the training. reinforcement. (2) Part A: Course framework. The (4) Part C: Detailed teaching sylla- course framework must contain— bus. The detailed teaching syllabus (i) The following specific course in- must be written in a learning objective tentions: format in which the objectives describe (A) Course scope. what the student must do to dem- (B) Course objective; onstrate that the specific knowledge (ii) The following conditions relative has been transferred. The detailed to students: teaching syllabus must contain— (A) Student entry standards. (i) The learning objectives as related (B) Class-size limitations. to the subjects/topics; (C) Student/teacher ratio; (ii) The specific references from (iii) Documentary evidence that each which the instruction was developed; instructor and/or assessor— and (A) Has either experience, training, or evidence of instruction in effective (iii) Reference to the specific teach- instructional techniques and/or effec- ing aids, textbooks, or technical mate- tive assessment techniques; rials used for instruction and perform- (B) Is qualified in the task for which ance measurement. the training is being conducted and (5) Part D–1: Lesson plans. The lesson have relevant experience; and plans must contain the following spe- (C) Has attained a level of experience cific instructional contents of the indi- and qualification equal or superior to vidual course lessons: the relevant level of knowledge, skills, (i) The main element learning objec- and abilities described in the perform- tive. ance objective; (ii) Student assignments. (iv) Site information, which must in- (iii) Training outcomes, which are clude— statements that identify the specific (A) A description of the facility, knowledge, skill, or ability that stu- measurements of the instructional dents must gain and display as a result space, pictures showing multiple views of the training or instructional activ- of the space, and a description of the ity. A training outcome is made up of instruction or assessment being per- three elements: expected student performed; and formance, condition, and criterion. (B) A request, if applicable, to teach (6) Part D–2: Instructor notes. The in- at an alternative site. This requires structor notes must contain—

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(i) The specific instructional meth- (2) The school gives notice that it odologies utilized in the particular les- will no longer offer the course; son; and (3) The owner or operator fails to (ii) The instructional materials, in- submit any required information; or cluding instructional directions con- (4) Any change occurs in the owner- taining the following: ship of the school to which the ap- (A) Pre-instructional activities. proval was issued. (B) Content presentation. (e) Significant changes to the course ap- (C) Student participation. proval. (1) Any significant changes to (D) Assessment process. the course approval or the content of (E) Other instructional activities, such as homework and reading assign- the course will be handled as a request ments. for renewal of an approval (as specified (7) Part E: Evaluations. The evalua- in paragraph (f) of this section), or as a tions section must contain— request for an original approval (as (i) Any methodology that is used to specified in paragraph (b) of this sec- measure a student’s knowledge, per- tion), depending on the nature and formance, or level of achievement, in- scope of the change. cluding— (2) The Coast Guard may not accept (A) Homework; course completion certificates if the (B) Quizzes; course does not follow the conditions of (C) Exams; the course approval. (D) Laboratory projects; (f) Renewal of course approval. (1) If (E) Competency assessments; the owner or operator of a training (F) Remediation; and school desires to have a course’s ap- (G) Testing strategies; proval renewed, the owner or operator (ii) Assessment instruments, which must submit a request to the NMC ac- are any tools used to determine wheth- companied by the information from er the student has achieved the desired paragraph b of this section. level of knowledge, understanding, or (2) If satisfied that the content and proficiency; and quality of instruction remain satisfac- (iii) Any methodology that is used to measure the effectiveness of the train- tory, the Coast Guard will approve the ing or instructor, including— request. (A) Instructor evaluations; (3) The renewed approval is valid as (B) Course evaluations/surveys; and detailed in paragraph (d) of this sec- (C) Other feedback. tion. (8) Course completion certificate. A (g) Suspension of approval. (1) The sample course completion certificate Coast Guard may suspend the approval, that allows for the following informa- require the holder to surrender the cer- tion to be entered: tificate of approval, and may direct the (i) Course provider number. holder to cease claiming the course is (ii) Course number. Coast Guard-approved, if it determines (iii) Terms of approval. that a specific course does not comply (c) Approval notification. The Coast with the— Guard will notify each applicant for (i) Applicable provisions of 46 CFR course approval when an approval is parts 10, 11, 12, or 13; granted or denied. If the Coast Guard (ii) Requirements specified in the denies a request for approval, the Coast course’s approval; or Guard will inform the applicant of the reasons for the denial and describe the (iii) Course’s curriculum package as corrections required for granting an submitted for approval. approval. (2) The Coast Guard will notify the (d) Validity of course approval. Unless approval holder in writing of the intent surrendered, suspended, or withdrawn, to suspend course approval and the rea- an approval for a course is valid for up sons for suspension. If the approval to a maximum of 5 years after holder fails to correct the conditions issuance, unless— leading to suspension, the course will (1) The school ceases operation;

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be suspended. The Coast Guard will no- (4) Administer written examinations tify the approval holder that the spe- to each student appropriate for the cific course fails to meet applicable re- course material and the knowledge requirements and explain how the defi- quirements of the position or endorse- ciencies can be corrected. ment for which the student is being (3) The Coast Guard may grant the trained. For a course approved to sub- approval holder up to 90 days to correct stitute for a Coast Guard-administered the deficiency. examination, the courses must be of (4) Course completion certificates such a degree of difficulty that a stu- will not be accepted for training pro- dent who successfully completes them vided during a period of suspension or would most likely pass, on the first at- expiration. tempt, an examination prepared by the (h) Withdrawal of approval. The Coast Coast Guard; Guard may withdraw approval for any (5) Require each student to success- course— fully demonstrate practical skills ap- (1) When the approval holder fails to propriate for the course material and correct the deficiency of a suspended equal to the level of endorsement for course within 90 days; or which the course is approved; (2) Upon determining that the ap- (6) Effective March 24, 2014, keep proval holder has demonstrated a pat- physical or electronic copies of the fol- tern or history of any of the following: lowing records for at least 5 years after (i) Failing to comply with the appli- the end of each student’s completion or cable regulations or the course ap- disenrollment from a course or pro- proval requirements. gram: (ii) Deviating from approved course (i) A copy of each student’s examina- curricula. tion scores. (iii) Presenting courses in a manner (ii) A copy of each examination or, in that does not achieve the learning ob- the case of a practical test, a report of jectives. such test. (iv) Falsifying any document re- (iii) A record of each student’s class- quired and integral to the conduct of room attendance. the course, including, but not limited (iv) A copy of each student’s course to, attendance records, written test completion certificate or program com- grades, course completion grades, or pletion certificate, as appropriate. assessment of practical demonstra- (v) A summary of changes or modi- tions. fication to the last course submittal. (i) Appeals of suspension or withdrawal (vi) A list of all locations at which of approval. Anyone directly affected the training course was presented and by a decision to suspend or withdraw the number of times it was presented an approval may appeal the decision to at each location. the Commandant as provided in § 1.03– (vii) The name(s) of the instructor(s) 40 of this chapter. who taught the course, which does not include lab assistants or other non- § 10.403 General standards. teaching assistants. (a) Each school with an approved (viii) The number of students who course must— began the training. (1) Have a well-maintained facility (ix) The number of students who suc- that accommodates the students in a cessfully completed the training. safe and comfortable environment con- (x) The number of students who were ducive to learning; required to retest. (2) Have the necessary equipment, in- (xi) The number of students who were cluding simulators where appropriate, required to retake the entire course. sufficient for the number of students to (xii) The number of students who be accommodated, and support the ob- were required to retake a portion of jectives of the course; the course; (3) Administer training entirely in (7) Not significantly change its ap- the English language unless specifi- proved curriculum without approval cally approved to be presented in an- from the NMC as specified in § 10.402(e) other language; of this subpart;

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(8) Conduct an internal audit midway training on a simulator; however, un- through the term of the course’s ap- derway service obtained as a portion of proval and maintain the results of the an approved course or program may be audit for a period of not less than 5 used for this purpose. years. The audit will evaluate wheth- (3) Unless otherwise allowed, training er— obtained before receiving an endorse- (i) Records are being maintained ac- ment may not be used for service credit cording to these regulations; for subsequent raises of grade, in- (ii) The course is being presented in creases in scope, or renewals. accordance with the approval letter; (4) This provision for crediting serv- and ice for training is not applicable to (iii) Surveys from students indicate STCW endorsements unless provided that the course is meeting their needs; otherwise. and (9) At any time, allow the Coast (b) Use of training-record books (TRBs). Guard to— (1) Approved training programs for (i) Inspect its facilities, equipment, STCW endorsements for OICNW and and records, including scholastic OICEW must maintain a TRB for each records; student where training and/or assess- (ii) Conduct interviews and surveys ments of competence are conducted on- of students to aid in course evaluation board the ship. The TRB must contain and improvement; at least the following information: (iii) Assign personnel to observe or (i) The name of the applicant. participate in the course of instruc- (ii) The tasks to be performed or the tion; and skills to be demonstrated, with ref- (iv) Supervise or administer the re- erence to the standards of competence quired examinations or practical dem- set forth in the tables of the appro- onstrations, including the substitution priate sections in part A of the STCW of an applicable Coast Guard examina- Code (incorporated by reference, see tion in a course approved to substitute § 10.103 of this part). for a Coast Guard administered exam- (iii) The method for demonstrating ination. competence to be used in determining (b) [Reserved] that the tasks or skills have been performed properly, with reference to the § 10.404 Substitution of training for re- standards of competence set forth in quired service, use of training- the tables of competence in the appro- record books (TRBs), and use of towing officer assessment records priate sections in part A of the STCW (TOARs). Code (incorporated by reference, see § 10.103 of this part). (a) Substitution of training for required service. (1) Satisfactory completion of (iv) A place for a qualified instructor an approved training course may be to indicate by his or her initials that substituted for a portion of the re- the applicant has received training in quired service on deck or in the engine the proper performance of the task or department for national deck or engi- skill. neer endorsements. Satisfactory com- (v) A place for a qualified assessor pletion of an approved training pro- (QA) to indicate by his or her initials gram which includes sea service may that the applicant has successfully be substituted for a portion of or all of completed a practical demonstration the required service on deck or in the and has proved competent in the task engine department, except as limited or skill under the criteria, when assess- by law for ratings. The list of all cur- ment of competence is to be docu- rently approved courses and programs, mented in the record books. including the equivalent service and (vi) The printed name of each quali- applicable endorsements, is maintained fied instructor, including any MMC en- by the NMC. dorsements held, and the instructor’s (2) Unless otherwise allowed, recency signature. requirements may not be achieved by (vii) The printed name of each quali- service granted as a result of successful fied assessor, when any assessment of completion of approved training or by competence is recorded, including any

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MMC endorsement, license, or docu- (1) Experience, training, or instruc- ment held by the assessor, and the as- tion in assessment techniques; sessor’s signature confirming that his (2) Qualifications in the task for or her initials certify that he or she which the assessment is being con- has witnessed the practical demonstra- ducted; and tion of a particular task or skill by the (3) Possession of the level of endorse- applicant. ment, or other professional credential, (2) The TRB referred to in paragraph which provides proof that he or she has (b) of this section may be maintained attained a level of experience and qual- electronically, provided the electronic ification equal or superior to the rel- record meets Coast Guard-accepted evant level of knowledge, skills, and standards for accuracy, integrity, and abilities to be assessed. availability. (b) To become a DE for towing officer (3) The Coast Guard may accept assessment records (TOARs), an appli- other forms of documentation as meet- cant must have documentary evidence ing the requirements to maintain the to establish— training-record book. (1) Experience, training, or instruc- (c) Use of towing officer assessment tion in assessment techniques on tow- records (TOARs). Each applicant for an ing vessels; endorsement as master or mate (pilot) (2) Qualifications on towing vessels of towing vessels, and each master or in the task for which the assessment is mate of self-propelled vessels of 200 being conducted; and GRT or more, seeking an endorsement (3) Possession of the level of endorse- for towing vessels, must complete a ment on towing vessels, or other pro- TOAR approved by the Coast Guard fessional credential, which provides that contains at least the following: proof that he or she has attained a (1) Identification of the applicant, in- level of qualification equal or superior cluding his or her full name, and ref- to the relevant level of knowledge, erence number. skills, and abilities described in the (2) Objectives of the training and as- training objectives. sessment. (c) Documentary evidence may be in (3) Tasks to perform or skills to dem- the form of performance evaluations, onstrate. which include an evaluation of effec- (4) Criteria to use in determining tiveness in on-the-job organization and that the tasks or skills have been per- delivery of training, or a certificate of formed properly. successful completion from an ‘‘asses- (5) A means for a designated exam- sor training’’ course. iner (DE) to attest that the applicant (d) In order to renew his or her quali- has successfully completed a practical fications, each QA and DE must have demonstration and has proved pro- either experience, training, or evidence ficient in the task or skill under the of instruction in effective assessment criteria. within the past 5 years. (6) Identification of each DE by his or her full name and reference number, § 10.406 Approved courses. job title, ship name and official num- The NMC maintains the list of train- ber, and serial number of the MMC, li- ing organizations and the approvals cense, or document held, and printed given to the training they offer. This name and signature confirming that information is available online at his or her initials certify that he or she www.uscg.mil/nmc. has witnessed the practical demonstration of a particular task or skill by the § 10.407 Approval of training pro- applicant. grams. (a) Training programs approved to § 10.405 Qualification as qualified as- qualify a mariner to hold an STCW or sessor (QA) and designated exam- national endorsement must meet the iner (DE). standards in this section or the re- (a) To become a QA, an applicant quirements in § 10.402 of this subpart. must have documentary evidence to es- All such programs must also meet the tablish— same standards as those found in

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§ 10.403 of this subpart. The Coast (4) Assessment instruments. Assess- Guard will accept information sub- ment instruments are any tools used to mitted by training providers to state, determine whether the student has regional, and/or national accrediting achieved the desired level of knowl- bodies as evidence such providers sat- edge, understanding, or proficiency. isfy one or more of the requirements of (5) Instructor information. Documen- this section. tary evidence that each instructor and (b) Categories. The Coast Guard may assessor— approve programs designed to sub- (i) Has either experience, training, or stitute for or fulfill any or all of the evidence of instruction in effective in- following: structional techniques and/or in effec- (1) A portion of sea service require- tive assessment techniques; ments. (ii) Is qualified in the task for which (2) Examinations required by the the training is being conducted and Coast Guard. have relevant experience; and (3) Professional competency require- (iii) Has attained a level of experi- ments. ence and qualification equal or supe- (4) Regulatory requirements. rior to the relevant level of knowledge, (c) Request for approval. Organizations skills, and abilities described in the desiring program approval by the Coast performance objective. Guard must submit a written request (6) Site information. Site information and a complete curriculum package to must include a description of the facil- the National Maritime Center (NMC), ity or facilities at which the training either by mail or electronically. The will be held. Authority to teach at an curriculum package must include the alternative site requires approval by following information: the NMC. (1) A cover letter. The cover letter (7) A teaching syllabus. A detailed must contain— teaching syllabus providing the fol- (i) The name of the organization pro- lowing information: viding the instruction; (i) Instructional strategy. Aspects of (ii) The location(s) where it will be instructional strategies should in- held; clude— (iii) A general description and over- (A) The order of presentation; view of the program, including the in- (B) The level of interaction, includ- dividual courses that are part of the ing the student-to-teacher ratio; program; (C) Feedback; (iv) The category of acceptance being (D) Remediation; sought as listed in paragraph (b) of this (E) Testing strategies; and section; and (F) Media used to present informa- (v) Reference to regulatory require- tion. ments met by the training. (ii) Instructional materials, includ- (2) A goal statement(s). The goal state- ing lesson plans containing— ment should describe— (A) Pre-instructional activities; (i) The specific performance behav- (B) Content presentation; iors to be measured; (C) Student participation; (ii) The conditions under which the (D) Assessment processes; and performance behavior(s) will be exhib- (E) Other instructional activities, ited; and such as homework and reading assign- (iii) The level of performance behav- ments. ior(s) that is to be achieved. (iii) Course surveys on the relevance (3) Performance objectives. Perform- and effectiveness of the training com- ance objectives are statements, which pleted by students. identify the specific knowledge, skill, (iv) Course schedule, including the or ability the student should gain and duration and order of lessons, and an display as a result of the training or in- indication as to whether each lesson structional activity. A performance ob- is— jective is made up of three elements: (A) A classroom lecture; Expected student performance, condi- (B) A practical demonstration; tion, and criterion. (C) A simulator exercise;

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(D) An examination; or tificate of approval, and may direct the (E) Another method of instructional holder to cease claiming the program reinforcement. is Coast Guard-approved, if it deter- (8) Program completion certificate. A mines that a specific program does not sample program completion certificate. comply with the— (d) Approval notification. The Coast (i) Applicable provisions of 46 CFR Guard will notify each applicant for parts 10, 11, 12, or 13; program approval when an approval is (ii) Requirements specified in the granted or denied. If the Coast Guard program’s approval; or denies a request for approval, the Coast (iii) Program’s curriculum package Guard will inform the applicant of the as submitted for approval. reasons for the denial and describe the (2) The Coast Guard will notify the corrections required for granting an approval holder in writing of the intent approval. to suspend program approval and the (e) Validity of program approval. Un- reasons for suspension. If the approval less surrendered, suspended, or with- holder fails to correct the reasons for drawn, an approval for a program is suspension, the program will be sus- valid for up to a maximum of 5 years pended. The Coast Guard will notify after issuance, unless— the approval holder that the specific (1) The school ceases operation; program fails to meet applicable re- (2) The school gives notice that it quirements and explain how the defi- will no longer offer the program; ciency can be corrected. (3) The owner or operator fails to (3) The Coast Guard may grant the submit any required report; or approval holder up to 90 days to correct (4) Any change occurs in the owner- the deficiency. ship of the school to which the ap- (4) Program completion certificates proval was issued. will not be accepted for training pro- (f) Significant changes to the course vided during a period of suspension or program approval. (1) Any significant expiration. changes to the program approval or the (i) Withdrawal of approval. The Coast content of the program will be handled Guard may withdraw approval for any as a request for renewal of an approval program— (as specified in paragraph (f) of this (1) When the approval holder fails to section), or as a request for an original correct the deficiency of a suspended approval (as specified in paragraph (b) program within 90 days; or of this section), depending on the na- (2) Upon determining that the ap- ture and scope of the change. proval holder has demonstrated a pat- (2) The Coast Guard may not accept tern or history of any of the following: program completion certificates if the (i) Failing to comply with the appli- program does not follow the conditions cable regulations or the program ap- of its approval. proval requirements. (g) Renewal of program approval. (1) If (ii) Deviating from approved program the owner or operator of a training curricula. school desires to have a program’s ap- (iii) Presenting instructional mate- proval renewed, the owner or operator rial in a manner that does not achieve must submit a request to the NMC ac- the learning objectives. companied by the information from (iv) Falsifying any document re- paragraphs (c)(1), (c)(5), (c)(6), and (c)(7) quired and integral to the conduct of of this section. the program, including, but not limited (2) If satisfied that the content and to, attendance records, written test quality of instruction remain satisfac- grades, course completion grades, or tory, the Coast Guard will approve the assessment of practical demonstra- request. tions. (3) The renewed approval is valid as (j) Appeals of suspension or withdrawal detailed in paragraph (d) of this sec- of approval. Anyone directly affected tion. by a decision to suspend or withdraw (h) Suspension of approval. (1) The an approval may appeal the decision to Coast Guard may suspend the approval, the Commandant as provided in § 1.03– require the holder to surrender the cer- 40 of this chapter.

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§ 10.408 Coast Guard-accepted training (3) If the appeal is denied—or if the other than approved courses and deficiency is not corrected in the allot- programs. ted time, or within any additional time (a) When the training and assessment period judged by the Coast Guard to be of competence required by this part are appropriate, considering progress to- not subject to Coast Guard approval ward compliance—the Coast Guard will under §§ 10.402 and 10.407 of this sub- remove the training from the list part, but are used to qualify a mariner maintained under paragraph (b) of this to hold an endorsement, the offeror of section until it can verify full compli- the course or program must ensure ance. The Coast Guard may deny appli- that such training and assessment cations for endorsements based, in meets the same standards as those whole or in part, on training not on the found in §§ 10.402 and 10.403 of this sub- list, until additional training or assess- part. ment is documented. (b) The Coast Guard will accept courses approved and monitored by a § 10.409 Coast Guard-accepted Quality Coast Guard-accepted Quality Stand- Standard System (QSS) organiza- ard System (QSS) organization. The tions. Coast Guard maintains a list of train- (a) Organizations wishing to serve as ing organizations conducting accepted a Coast Guard-accepted QSS organiza- training that are independently mon- tion, to accept and monitor training on itored by a Coast Guard-accepted QSS behalf of the Coast Guard, should apply organization. The Coast Guard-accepted QSS organization must comply with to the National Maritime Center. An the following requirements: organization submitting an application (1) Submit a certificate of acceptance may not act as a Coast Guard-accepted of training to the Coast Guard. QSS organization until it has received (2) Submit an updated certificate of its letter of acceptance. acceptance to the Coast Guard if the (b) Validity of acceptance. Organiza- terms of acceptance have been tions meeting the requirements in changed. paragraph (e) of this section will be (3) Sign each certificate to the train- issued a letter of acceptance valid for a ing organization owner or operator, or maximum period of 5 years from the its authorized representative(s), stat- date of issuance. ing that the training fully complies (c) An organization wishing to be- with the requirements of this section, come a Coast Guard-accepted QSS or- and identifying the Coast Guard-ac- ganization must have processes for re- cepted QSS organization being used for viewing, accepting, and monitoring independent monitoring. training that are equal to the Coast (c) The training must be audited peri- Guard’s course approval and oversight odically in accordance with the re- processes in §§ 10.402 through 10.410 of quirements of § 10.409(e)(7) of this sub- this subpart. part. If the Coast Guard determines, on (d) Each person conducting evalua- the basis of its own observations or tion and monitoring of the training conclusions or those of the Coast must be knowledgeable about the sub- Guard-accepted QSS organization, that the particular training does not satisfy jects being evaluated or monitored and one or more of the conditions described about the national and international in paragraph (a) of this section— requirements that apply to the train- (1) The Coast Guard or Coast Guard- ing, and must not be involved in the accepted QSS organization will so no- training and assessment of students. tify the offeror of the training by let- (e) The documentation submitted to ter, enclosing a report of the observa- the Coast Guard must contain the in- tions and conclusions; formation listed below. An organiza- (2) The offeror may, within a period tion approved as a recognized classi- of time specified in the notice, either fication society in accordance with 46 appeal the observations or conclusions CFR part 8, subpart B, need not present to the Commandant (CG–CVC) or bring evidence of compliance with para- the training into compliance; and graphs (e)(1) and (e)(8) of this section.

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(1) Identification of the organization: system that includes the following ele- Name of the organization, address, con- ments: tact information, and organizational (i) A documented statement of a structure (including the QSS depart- quality policy and quality objectives. ment). (ii) A quality manual. (2) Scope of approval: Training and (iii) Documented procedures and assessment the organization wishes to records. accept and monitor. (iv) Documents, including records, (3) Background of the organization: determined by the organization to be Historical information outlining the necessary to ensure the effective plan- organization’s experience reviewing ning, operation, and control of its proc- and accepting training and/or assess- esses. ment activities. (f) Coast Guard-accepted QSS organi- (4) Staffing and support infrastruc- zations must notify the NMC of the ture, including— training they have accepted within 14 (i) Names and qualifications of the days of the acceptance date. The notifi- individuals who will be involved in the cation must include the name and ad- review, acceptance, and monitoring of dress of the institution, the course training and assessment; title and the requirement the course (ii) Description of the training given meets, and a one-paragraph description to individuals who will be conducting of the course’s content. review, acceptance, and monitoring ac- (g) Audits. (1) A Coast Guard-accepted tivities; and QSS organization must conduct inter- (iii) Technical and support resources nal audits at least once in 5 years with within the organization that support a minimum of 2 years between reviews. the review, acceptance and monitoring Results of the internal audits must be activities. available upon request to the Coast (5) Submission guidelines: Informa- Guard within 60 days of completion. tion for client organizations to submit (2) Each Coast Guard-accepted QSS courses for review and acceptance, in- organization may be audited by the cluding criteria for course design, in- Coast Guard at least once every 5 structor/assessor qualifications, syl- years. The results of the audit will be labi, equipment, and facilities. available to the Coast Guard-accepted (6) Review and acceptance procedures. QSS organization within 60 days of (i) Descriptions of the methods of eval- completion of the audit. uation of the physical, administrative, (3) Results of Coast Guard-accepted and infrastructure support aspects of QSS organizations’ audits to client or- client organizations; ganizations must be available upon re- (ii) Descriptions of the methods of quest to the Coast Guard within 60 evaluation of the instructors or quali- days of completion. fied assessors of a client organization (h) Disenrollment. (1) A Coast Guard- and the maintenance of their records; accepted QSS organization must give (iii) Descriptions of format for ac- each client organization it serves a 180- cepting training material; day notice of its intention to cease to (iv) Descriptions of the methods by function as a Coast Guard-accepted which the course acceptance process QSS organization. responds to the client organization (2) If the Coast Guard determines modifications to the training cur- that a Coast Guard-accepted QSS orga- riculum, changes to instructors or ex- nization is not meeting its obligations aminers, changes to the infrastructure to review, accept, and monitor training support; and and assessment, the NMC will notify (v) Descriptions of the renewal proce- the organization in writing and will en- dures. close information about the events (7) Audit procedures: Description of that led to this determination. The or- the methods for auditing accepted ganization will then have a specified courses. Client organizations must be period of time to correct the deficiency audited once in a 5-year period. or appeal the conclusions to the Com- (8) Quality commitment: Provide evi- mandant (CG–5P). If the organization dence of having a quality management appeals, and the appeal is denied, or

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the deficiencies are not corrected with- (d) Documentation from a nationally in the allotted time, the NMC will recognized academic accreditation withdraw the acceptance of the Coast body may be accepted by the Coast Guard-accepted QSS organization. The Guard as meeting one or more of the NMC will notify all client organiza- requirements listed in paragraph (c) of tions affected by this decision so that this section. The documentation must they may make arrangements to trans- be readily available for inspection upon fer to another Coast Guard-accepted request. QSS organization or seek NMC ap- (e) The Coast Guard will accept docu- proval for their training. mentation from a training institution (i) A Coast Guard-accepted QSS orga- certified under a national or inter- nization may not approve courses pro- national Quality Management System vided by subsidiary organizations. Standard as meeting one or more of the § 10.410 Quality Standard System requirements listed in paragraph (c) of (QSS) requirements. this section. The documentation must be readily available for inspection upon (a) Providers of Coast Guard-ap- request. proved courses, programs, training, and Coast Guard-accepted training cred- (f) Coast Guard-approved courses, itable towards an STCW endorsement programs, and training creditable to- must establish and maintain a Quality wards an STCW endorsement must Standard System (QSS), in accordance meet the requirements of this section with Regulation I/8 of the STCW Con- by January 1, 2017. vention (incorporated by reference, see (g) The Coast Guard will accept com- § 10.103 of this part). pany ISM documentation as meeting (b) The QSS must be monitored by one or more of the requirements listed the Coast Guard or monitored through in paragraph (c) of this section. a third party that is designated as a (h) Organizations are subject to au- Coast Guard-accepted QSS organiza- dits at least twice in a 5-year period. tion. Organizations must cooperate with (c) The Coast Guard-monitored QSS Coast Guard audits. must— (1) Have a documented quality policy § 10.411 Simulator performance stand- and quality objectives that align with ards. the commitment by the training insti- Simulators used in assessment of tution to achieve its missions and competence must meet the appropriate goals; performance standards set out in Sec- (2) Maintain a manual that docu- tion A–I/12 of the STCW Code (incor- ments the objectives, authorities, and porated by reference, see § 10.103 of this responsibilities that are essential con- part). However, a simulator installed trols for the implementation of the or brought into use before February 1, QSS, including— 2002, need not meet those standards if (i) The core procedures required to it fulfills the objectives of the assess- meet the missions and goals of the in- ment of competence or demonstration stitution; of proficiency. (ii) The documents necessary for effective design, planning, operation, and § 10.412 Distance and e-learning. control for the delivery of courses meeting the regulatory requirements; The Coast Guard may allow the (iii) The filing and archiving of training of mariners by means of dis- records so they are retrievable and leg- tance learning and e-learning in ac- ible; cordance with the standards of training (iv) Action taken to stop recurrence and assessment set forth in section B– of system, process, and product non- I/6 (Training and assessment) of the conformity; and STCW Code (incorporated by reference, (v) Auditing, reviewing, and improv- see § 10.103 of this part). ing the performance of the training management system.

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PART 11—REQUIREMENTS FOR 11.325 Requirements to qualify for an STCW endorsement as chief engineer officer on OFFICER ENDORSEMENTS vessels powered by main propulsion machinery of 3,000 kW/4,000 HP propulsion Subpart A—General power or more (management level). 11.327 Requirements to qualify for an STCW Sec. endorsement as second engineer officer 11.101 Purpose of regulations. on vessels powered by main propulsion 11.102 Incorporation by reference. machinery of 3,000 kW/4,000 HP propul- 11.103–11.105 [Reserved] sion power or more (management level). 11.107 Paperwork approval. 11.329 Requirements to qualify for an STCW 11.109–11.113 [Reserved] endorsement as Officer in Charge on an Engineering Watch (OICEW) in a manned Subpart B—General Requirements for engineroom, or as a designated duty en- Officer Endorsements gineer in a periodically unmanned 11.201 General requirements for national engineroom, on vessels powered by main and STCW officer endorsements. propulsion machinery of 750 kW/1,000 HP 11.203–11.210 [Reserved] propulsion power or more (operational 11.211 Creditable service and equivalents for level). national and STCW officer endorsements. 11.331 Requirements to qualify for an STCW 11.212–11.216 [Reserved] endorsement as chief engineer officer on 11.217 Examination procedures and denial of vessels powered by main propulsion ma- officer endorsements. chinery of 750 kW/1,000 HP or more and 11.219–11.223 [Reserved] less than 3,000 kW/4,000 HP propulsion power (management level). Subpart C—STCW Officer Endorsements 11.333 Requirements to qualify for an STCW endorsement as second engineer officer 11.301 Requirements for STCW officer en- on vessels powered by main propulsion dorsements. machinery of 750 kW/1,000 HP or more 11.302 Basic training. and less than 3,000 kW/4,000 HP propul- 11.303 Advanced firefighting. sion power (management level). 11.304 STCW deck officer endorsements. 11.335 Requirements to qualify for an STCW 11.305 Requirements to qualify for an STCW endorsement as an electro-technical offi- endorsement as master of vessels of 3,000 cer on vessels powered by main propul- GT or more (management level). sion machinery of 750 kW/1,000 HP or 11.307 Requirements to qualify for an STCW more (operational level). endorsement as chief mate of vessels of 11.337 Requirements to qualify for an STCW 3,000 GT or more (management level). endorsement as vessel security officer. 11.309 Requirements to qualify for an STCW endorsement as officer in charge of a Subpart D—Professional Requirements for Navigational Watch (OICNW) on vessels National Deck Officer Endorsements of 500 GT or more (operational level). 11.311 Requirements to qualify for an STCW 11.401 Ocean and near-coastal national offi- endorsement as master on vessels of 500 cer endorsements. GT or more and less than 3,000 GT (man- 11.402 Tonnage requirements for national agement level). ocean or near-coastal endorsements for 11.313 Requirements to qualify for an STCW vessels of 1,600 GRT or more. endorsement as chief mate on vessels of 11.403 Structure of national deck officer en- 500 GT or more and less than 3,000 GT dorsements. (management level). 11.404 Service requirements for master of 11.315 Requirements to qualify for an STCW ocean or near-coastal self-propelled ves- endorsement as master on vessels of less sels of unlimited tonnage. than 500 GT (management level). 11.405 Service requirements for chief mate 11.317 Requirements to qualify for an STCW of ocean or near-coastal self-propelled endorsement as master on vessels of less vessels of unlimited tonnage. than 500 GT limited to near-coastal wa- 11.406 Service requirements for second mate ters (management level). of ocean or near-coastal self-propelled 11.319 Requirements to qualify for an STCW vessels of unlimited tonnage. endorsement as Officer in Charge of a 11.407 Service requirements for third mate Navigational Watch (OICNW) on vessels of ocean or near-coastal self-propelled of less than 500 GT (operational level). vessels of unlimited tonnage. 11.321 Requirements to qualify for an STCW 11.410 Requirements for deck officer en- endorsement as Officer in Charge of a dorsements for vessels of less than 1,600 Navigational Watch (OICNW) on vessels GRT. of less than 500 GT limited to near-coast- 11.412 Service requirements for master on al waters (operational level). ocean or near-coastal self-propelled ves- 11.323 STCW engineer officer endorsements. sels of less than 1,600 GRT.

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11.414 Service requirements for mate on 11.452 Requirements for master of Great ocean self-propelled vessels of less than Lakes and inland self-propelled vessels of 1,600 GRT. less than 200 GRT. 11.416 Service requirements for mate on 11.454 Requirements for mate of Great near-coastal self-propelled vessels of less Lakes and inland self-propelled vessels of than 1,600 GRT. less than 200 GRT. 11.418 Service requirements for master on 11.455 Requirements for master of Great ocean or near-coastal self-propelled ves- Lakes and inland self-propelled vessels of sels of less than 500 GRT. less than 100 GRT. 11.420 Service requirements for mate on 11.456 Requirements for limited master of ocean self-propelled vessels of less than Great Lakes and inland self-propelled 500 GRT. vessels of less than 100 GRT. 11.421 Service requirements for mate on 11.457 Requirements for master of inland near-coastal self-propelled vessels of less self-propelled vessels of less than 100 than 500 GRT. GRT. 11.459 Requirements for national endorse- 11.422 Tonnage limitations and qualifying ment as master or mate on rivers. requirements for endorsements as master 11.462 Requirements for national endorse- or mate on vessels of less than 200 GRT. ment as master or mate of uninspected 11.424 Requirements for master on ocean fishing industry vessels. self-propelled vessels of less than 200 11.463 General requirements for national en- GRT. dorsements as master, mate (pilot), and 11.425 Requirements for mate on ocean self- apprentice mate (steersman) of towing propelled vessels of less than 200 GRT. vessels. 11.426 Requirements for master on near- 11.464 Requirements for national endorse- coastal self-propelled vessels of less than ments as master of towing vessels. 200 GRT. 11.465 Requirements for national endorse- 11.427 Requirements for mate on near-coast- ments as mate (pilot) of towing vessels. al self-propelled vessels of less than 200 11.466 Requirements for national endorse- GRT. ments as apprentice mate (steersman) of 11.428 Requirements for master on near- towing vessels. coastal self-propelled vessels of less than 11.467 Requirements for a national endorse- 100 GRT. ment as operator of uninspected pas- 11.429 Requirements for a limited master on senger vessels of less than 100 GRT. near-coastal self-propelled vessels of less 11.468 National officer endorsements for mo- than 100 GRT. bile offshore drilling units (MODUs). 11.430 Endorsements for the Great Lakes 11.470 National officer endorsements as off- and inland waters. shore installation manager. 11.431 Tonnage requirements for Great 11.472 National officer endorsements as Lakes and inland endorsements for ves- barge supervisor. sels of 1,600 GT or more. 11.474 National officer endorsements as bal- 11.433 Requirements for master of Great last control operator. Lakes and inland self-propelled vessels of 11.480 Radar observer. unlimited tonnage. 11.482 Assistance towing. 11.435 Requirements for master of inland 11.491 National officer endorsements for self-propelled vessels of unlimited ton- service on offshore supply vessels. nage. 11.493 Master (OSV). 11.495 Chief mate (OSV). 11.437 Requirements for mate of Great 11.497 Mate (OSV). Lakes and inland self-propelled vessels of unlimited tonnage. Subpart E—Professional Requirements for 11.442 Requirements for master of Great Lakes and inland self-propelled vessels of National Engineer Officer Endorsements less than 1,600 GRT. 11.501 Grades and types of national engineer 11.444 Requirements for mate of Great lakes endorsements issued. and inland self-propelled vessels of less 11.502 General requirements for national en- than 1,600 GRT. gineer endorsements. 11.446 Requirements for master of Great 11.503 Propulsion power limitations for na- Lakes and inland self-propelled vessels of tional endorsements. less than 500 GRT. 11.504 Application of deck service for na- 11.448 Requirements for mate of Great tional limited engineer endorsements. Lakes and inland self-propelled vessels of 11.505 National engineer officer endorse- less than 500 GRT. ments. 11.450 Tonnage limitations and qualifying 11.510 Service requirements for national en- requirements for endorsements as master dorsement as chief engineer on steam, or mate of Great Lakes and inland ves- motor, and/or gas turbine-propelled vessels of less than 200 GRT. sels.

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11.512 Service requirements for national en- 11.821 High-speed craft-type rating. dorsement as first assistant engineer of steam, motor, and/or gas turbine-pro- Subpart I—Subjects of Examinations pelled vessels. 11.514 Service requirements for national en- 11.901 General provisions. dorsement as second assistant engineer 11.903 Officer endorsements requiring ex- of steam, motor, and/or gas turbine-pro- aminations. pelled vessels. 11.910 Subjects for deck officer endorse- 11.516 Service requirements for national en- ments. dorsement as third assistant engineer of 11.920 Subjects for MODU endorsements. steam, motor, and/or gas turbine-pro- 11.950 Examination subjects for engineer of- pelled vessels. ficer endorsements. 11.518 Service requirements for national endorsement as chief engineer (limited) of Subpart J—Recognition of Other Parties’ steam, motor, and/or gas turbine-pro- STCW Certificates pelled vessels. 11.1001 Purpose of rules. 11.522 Service requirements for national en- 11.1003 General requirements. dorsement as assistant engineer (limited) 11.1005 Employer application requirements. of steam, motor, and/or gas turbine-pro- 11.1007 Basis for denial. pelled vessels. 11.1009 Restrictions. 11.524 Service requirements for national endorsement as designated duty engineer Subpart K—Officers on a Passenger Ship (DDE) of steam, motor, and/or gas tur- When on an International Voyage bine-propelled vessels. 11.530 Endorsements as engineers of 11.1101 Purpose of rules. uninspected fishing industry vessels. 11.1103 Definitions. 11.540 Endorsements as engineers of mobile 11.1105 General requirements for officer en- offshore drilling units (MODUs). dorsements. 11.542 Endorsement as chief engineer (MODU). AUTHORITY: 14 U.S.C. 633; 31 U.S.C. 9701; 46 11.544 Endorsement as assistant engineer U.S.C. 2101, 2103, and 2110; 46 U.S.C. chapter (MODU). 71; 46 U.S.C. 7502, 7505, 7701, 8906, and 70105; 11.551 Endorsements for service on offshore Executive Order 10173; Department of Home- supply vessels. land Security Delegation No. 0170.1. Section 11.553 Chief engineer (OSV). 11.107 is also issued under the authority of 44 11.555 Assistant engineer (OSV). U.S.C. 3507. SOURCE: USCG–2004–17914, 78 FR 77909, Dec. Subpart F—Credentialing of Radio Officers 24, 2013, unless otherwise noted. 11.601 Applicability. 11.603 Requirements for radio officers’ en- Subpart A—General dorsements. 11.604 Requirements for an STCW endorse- § 11.101 Purpose of regulations. ment for Global Maritime Distress and (a) The purpose of this part is to pro- Safety System (GMDSS) radio operators. vide— (1) A means of determining the quali- Subpart G—Professional Requirements for fications an applicant must possess to Pilots be eligible for an officer endorsement 11.701 Scope of pilot endorsements. as a staff officer, deck officer, engineer 11.703 Service requirements. officer, pilot, or radio officer on mer- 11.705 Route familiarization requirements. chant vessels, or for an endorsement to 11.707 Examination requirements. operate uninspected passenger vessels; 11.709 Annual physical examination require- and ments. 11.711 Tonnage requirements. (2) A means of determining that an 11.713 Requirements for maintaining cur- applicant is competent to serve as a rent knowledge of waters to be navi- master, chief mate, officer in charge of gated. a navigational watch, chief engineer officer, second engineer officer (first Subpart H—Registration of Staff Officers assistant engineer), officer in charge of and Miscellaneous Endorsements an engineering watch, designated duty 11.801 Applicability. engineer, or Global Maritime Distress 11.803 Staff departments. and Safety System (GMDSS) radio op- 11.805 General requirements. erator, in accordance with the provi- 11.807 Experience requirements for registry. sions of the International Convention

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on Standards of Training, Certification and Watchkeeping for Seafarers, 1978, and Watchkeeping for Seafarers, 1978, as amended, 2011 (the STCW Conven- as amended (the STCW Convention or tion or the STCW), incorporation by STCW), and other laws, and to receive reference approved for §§ 11.201, 11.426, the appropriate endorsement as re- 11.427, 11.428, 11.429, 11.493, 11.495, 11.497, quired by STCW. 11.553, 11.555, 11.1001, 11.1003, 11.1009, and (b) With few exceptions, these regula- 11.1105. tions do not specify or restrict officer (2) The Seafarers’ Training, Certifi- endorsements to particular types of cation and Watchkeeping Code, as service such as tankships, freight ves- amended, 2011 (the STCW Code), incor- sels, or passenger vessels. However, poration by reference approved for each officer credentialed under this §§ 11.201, 11.301, 11.302, 11.303, 11.305, part must become familiar with the 11.307, 11.309, 11.311, 11.313, 11.315, 11.317, relevant characteristics of a vessel 11.319, 11.321, 11.325, 11.327, 11.329, 11.331, prior to assuming his or her duties as 11.333, 11.335, 11.604, 11.901, and 11.1105. required in the provisions of § 15.405 of (3) The International Convention for this subchapter. the Safety of Life at Sea, 1974 (SOLAS), (c) The regulations previously found incorporation by reference approved in subpart C of this part that prescribe for § 11.601. the requirements applicable to approved training courses, training for a §§ 11.103–11.105 [Reserved] particular officer endorsement, and training and assessment associated § 11.107 Paperwork approval. with meeting the standards of com- (a) This section lists the control petence established by the STCW Con- numbers assigned by the Office of Man- vention have been moved to 46 CFR agement and Budget (OMB) under the part 10, subpart C. Paperwork Reduction Act of 1980 (Pub. L. 96–511) for the reporting and record- § 11.102 Incorporation by reference. keeping requirements in this part. (a) Certain material is incorporated (b) The following control numbers by reference into this part with the ap- have been assigned to the sections indi- proval of the Director of the Federal cated: Register under 5 U.S.C. 552(a) and 1 (1) OMB 1625–0040–46 CFR 11.201, CFR part 51. To enforce any edition 11.202, 11.205, 11.470, 11.472, 11.474, 11.542, other than that specified in this sec- and 11.544. tion, the Coast Guard must publish a (2) OMB 1625–028–46 CFR 11.480. notice of change in the FEDERAL REG- ISTER and the material must be avail- §§ 11.109–11.113 [Reserved] able to the public. All approved material is available for inspection at the Subpart B—General Requirements Coast Guard, Office of Operating and for Officer Endorsements Environmental Standards (CG–CG– OES), 2100 2nd St. SW., Stop 7126, § 11.201 General requirements for na- Washington, DC 20593–7126, 202–372–1405 tional and STCW officer endorse- and is available from the sources listed ments. below. It is also available for inspec- (a) General. In addition to the re- tion at the National Archives and quirements of part 10 of this sub- Records Administration (NARA). For chapter, the applicant for an officer en- information on the availability of this dorsement, whether original, renewal, material at NARA, call 202–741–6030 or duplicate, or raise of grade, must es- go to http://www.archives.gov/ tablish to the satisfaction of the Coast federallregister/ Guard that he or she possesses all the codeloflfederallregulations/ qualifications necessary (including but ibrllocations.html. not limited to age, experience, char- (b) International Maritime Organiza- acter, physical health, citizenship, ap- tion (IMO), 4 Albert Embankment, proved training, professional com- London SE1 7SR, England: petence, and a test for dangerous (1) The International Convention on drugs) before the Coast Guard will Standards of Training, Certification issue to him or her a merchant mariner

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credential (MMC). An applicant for any circumstances and unique experiences STCW endorsement must hold the ap- acquired before the applicant reaches propriate national endorsement unless 16 years of age will be evaluated on a otherwise specified. case-by-case basis. (b) English language requirements. Ex- (d) Citizenship. No officer endorse- cept as provided in § 11.467(i) of this ment may be issued to any person who part, an applicant for an officer en- is not a citizen of the United States dorsement must demonstrate an abil- with the exception of operators of ity to speak and understand English as uninspected passenger vessels that are found in the navigation rules, aids to not documented under the laws of the navigation publications, emergency United States. equipment instructions, machinery in- (e) Age. Except as specified in this structions, and radiotelephone commu- paragraph, no officer endorsement may nications instructions. be issued to a person who has not at- (c) Experience and service. (1) Appli- tained the age of 21 years. The required cants for officer endorsements should evidence of age may be established refer to § 10.232 of this subchapter for using any of the items submitted to es- information regarding requirements tablish citizenship set out in 49 CFR for documentation and proof of sea 1572.17. service. (1) An endorsement may be granted (2) An applicant for a national officer to an applicant who has reached the endorsement must have at least 3 age of 19 years as— months of required service on vessels of (i) Master of near-coastal, Great appropriate tonnage or horsepower Lakes and inland, or river vessels of 25– within the 3 years immediately pre- 200 GRT; ceding the date of application. (ii) Third mate; (3) No original officer endorsement (iii) Third assistant engineer; may be issued to any naturalized cit- (iv) Mate of vessels of between 200 izen based on less experience in any GRT and 1,600 GRT; grade or capacity than would have been (v) Ballast control operator (BCO); required of a citizen of the United (vi) Assistant engineer (MODU); States by birth. (vii) Assistant engineer of fishing in- (4) Experience and service acquired dustry vessels; on foreign vessels is creditable for es- (viii) Mate (pilot) of towing vessels; tablishing eligibility for an officer en- (ix) Radio officer; dorsement, subject to evaluation by (x) Assistant engineer (limited); or the Coast Guard to determine that it is (xi) Designated duty engineer of ves- a fair and reasonable equivalent to sels of less than 4,000 HP/3,000 kW. service acquired on merchant vessels of (2) An endorsement may be granted the United States, with respect to to an applicant who has reached the grade, tonnage, horsepower, waters, age of 18 years as— and operating conditions. An applicant (i) Limited master of near-coastal who has obtained qualifying experience vessels of less than 100 GRT; on foreign vessels must submit satis- (ii) Limited master of Great Lakes factory documentary evidence of such and inland vessels of less than 100 GRT; service (including any necessary trans- (iii) Mate of Great Lakes and inland lation into English) in accordance with vessels of 25–200 GRT; § 10.232 of this subchapter. (iv) Mate of near-coastal vessels of (5) No applicant for an original offi- 25–200 GRT; cer endorsement who is a naturalized (v) Operator of uninspected passenger citizen and who has obtained experi- vessels (OUPV); ence on foreign vessels will be given an (vi) Designated duty engineer of ves- original officer endorsement in a grade sels of less than 1,000 HP/750 kW; higher than that upon which he or she (vii) Apprentice mate (steersman) of has actually served while acting under towing vessels; the authority of a foreign credential. (viii) Officer in charge of a naviga- (6) Experience acquired while the ap- tional watch (OICNW); plicant was less than 16 years of age is (ix) Officer in charge of an engineer- generally not creditable. Compelling ing watch (OICEW); and

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(x) Electro-technical officer (ETO). license, certificate of registry, or offi- (f) Physical examination. (1) Persons cer endorsement was false or incom- serving or intending to serve in the plete, the Coast Guard may notify the merchant marine service are encour- holder in writing that the license, cer- aged to take the earliest opportunity tificate of registry, or officer endorse- to ascertain, through examination, ment is considered null and void, direct whether their visual acuity, color vi- the holder to return the credential to sion, hearing, and general physical con- the Coast Guard, and advise the holder dition, are such as to qualify them for that, upon return of the credential, the service in that profession. Any physical appeal procedures of § 10.237 of this sub- impairment or medical condition that chapter apply. would render an applicant incompetent (h) Firefighting certificate. (1) Appli- to perform the ordinary duties required cants for an original officer endorse- of an officer is cause for denial of an of- ment in the following categories must ficer endorsement. present a certificate of completion (2) Applications for an original offi- from a firefighting course of instruc- cer endorsement, raises of grade, and tion that has been approved by the extensions of route, must be current Coast Guard. The firefighting course and up to date with respect to service must have been completed within the and the physical examination, as ap- past 5 years, or if it was completed propriate. Physical examinations and more than 5 years before the date of applications are valid for 12 months application, the applicant must provide from the date the application is ap- evidence of maintaining the standard proved. of competence in accordance with the (g) Character check. (1) An individual firefighting requirements for the cre- may apply for an original officer en- dential sought. dorsement, or officer or STCW endorse- (2) The following categories must ment of a different type, while on pro- meet the requirements for basic and bation as a result of administrative ac- advanced firefighting in Regulations tion under part 5 of this chapter. The VI/1 and VI/3 of the STCW Convention offense for which the applicant was and Tables A–VI/1–2 and A–VI/3 of the placed on probation will be considered STCW Code (both incorporated by ref- in determining his or her fitness to erence, see § 11.102 of this part): hold the endorsement applied for. An (i) National officer endorsements as officer or STCW endorsement issued to master or mate on seagoing vessels of an applicant on probation will be sub- 200 GRT or more. ject to the same probationary condi- (ii) All national officer endorsements tions as were imposed against the ap- for master or mate (pilot) of towing plicant’s other credential. An applicant vessels, except apprentice mate may not take an examination for an of- (steersman) of the vessels, on oceans. ficer or STCW endorsement during any (iii) All national officer endorse- period of time when a suspension with- ments for MODUs. out probation or a revocation is effec- (iv) All national officer endorsements tive against the applicant’s currently for engineers. held license, merchant mariner docu- (v) All national officer endorsements ment (MMD), or MMC, or while an ap- for OSVs. peal from these actions is pending. (vi) All STCW officer endorsements (2) If information about the appli- except GMDSS radio operator. cant’s habits of life and character is (3) The following categories must brought to the attention of the Coast meet the requirements for basic fire- Guard after an original license, certifi- fighting in Regulation VI/1 of the cate of registry, or officer endorsement STCW Convention and Table A–VI/1–2 has been issued, and if such informa- of the STCW Code: tion reasonably supports the conclu- (i) Officer endorsement as master on sion that the applicant cannot be en- vessels of less than 500 GT in ocean trusted with the duties and responsibil- service. ities of the license, certificate of reg- (ii) All officer endorsements for mas- istry, or officer endorsement issued, or ter or mate (pilot) of towing vessels, indicates that the application for the except apprentice mate (steersman) of

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towing vessels, in all services except lists of subjects for all officer endorse- oceans. ments appear in subpart I of this part. (4) Applicants for a raise of grade of The Coast Guard will place in the ap- an officer endorsement who have not plicant’s file a record indicating the previously met the requirements of subjects covered. paragraph (h) of this section must do (iii) An applicant enrolled in an ap- so. proved comprehensive program of (i) First-aid and cardiopulmonary re- training, service, and assessment will suscitation (CPR) course certificates. All be authorized for an examination not applicants for an original officer en- more than 6 months prior to comple- dorsement, except as provided in tion of the comprehensive program, §§ 11.429, 11.456, and 11.467 of this part, provided all sea service and assess- must present to the Coast Guard— ments of competency are completed (1) Evidence of continued competency prior to the examination. in STCW basic training in accordance (iv) The examination, whether ad- with § 11.302 of this part or a certificate ministered orally or by other means, indicating completion not more than 1 must be conducted only in the English year from the date of application of — language. (i) The American National Red Cross (2) When the application has been ap- Standard First Aid course or American proved for examination, the approval is National Red Cross Community First valid for 1 year. Aid & Safety course; or (3) An examination is not required (ii) A Coast Guard-approved first-aid for a staff officer or radio officer en- course; and dorsement. (2) A currently valid certificate of (k) Radar observer. Applicants for an completion of a CPR course from ei- endorsement as radar observer must ther— present a certificate of completion (i) The American National Red Cross; from a radar observer course as re- (ii) The American Heart Association; quired by § 11.480 of this part. or (l) Restrictions. The Coast Guard may (iii) A Coast Guard-approved CPR modify the service and examination re- course. quirements in this part to satisfy the (j) Professional examination. (1) When unique qualification requirements of the Coast Guard finds the applicant’s an applicant or distinct group of mari- experience and training to be satisfac- ners. The Coast Guard may also lower tory, and the applicant is eligible in all the age requirement for OUPV appli- other respects, the Coast Guard will cants. The authority granted by an of- authorize examination in accordance ficer endorsement will be restricted to with the following requirements: reflect any modifications made under (i) Except for an endorsement re- the authority of this paragraph. quired by the STCW Convention, any applicant for a deck or engineer officer [USCG–2004–17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG–2014–0688, 79 FR 58275, endorsement limited to vessels less Sept. 29, 2014] than 200 GRT, or an officer endorsement limited to uninspected fishing in- §§ 11.202–11.210 [Reserved] dustry vessels, may request an orally assisted examination instead of any § 11.211 Creditable service and equiva- written or other textual examination. lents for national and STCW officer If there are textual questions that the endorsements. applicant has difficulty reading and un- (a) Applicants for officer endorse- derstanding, the Coast Guard will offer ments should refer to § 10.232 of this the orally assisted examination. Each subchapter for information regarding officer endorsement based on an orally requirements for documentation and assisted examination is limited to the proof of sea service. specific route and type of vessel upon (b) Service toward an oceans, near- which the applicant obtained the ma- coastal, or STCW endorsement will be jority of service. credited as follows: (ii) The general instructions for ad- (1) Service on the Great Lakes will be ministration of examinations and the credited on a day-for-day basis up to

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100 percent of the total required serv- tug and barges is 1,600 GRT/3,000 GT or ice. more, is creditable, using the aggregate (2) Service on inland waters, other tonnage, on a two-for-one basis (2 days than Great Lakes, that are navigable experience equals 1 day of creditable waters of the United States, will be service) for up to 50 percent of the total credited on a day-for-day basis for up service on vessels of 1,600 GRT/3,000 GT to 50 percent of the total required serv- or more required for an unlimited offi- ice. cer endorsement. The remaining re- (c) Service on mobile offshore drilling quired service on vessels of more than units. (1) MODU service is creditable for 1,600 GRT/3,000 GT must be obtained on raise of grade of an officer endorse- conventional vessels. This service must ment. Evidence of 1 year of service on be documented as specified in § 10.232(a) MODUs as mate or equivalent while of this subchapter. holding an officer endorsement or li- (f) Individuals obtaining sea service cense as third mate, or as engineering as part of an approved training cur- officer of the watch or equivalent while riculum pursuant to either § 11.407(a)(2) holding an officer endorsement or li- or § 11.516(a)(3) of this part must do so cense as third assistant engineer, is ac- in the capacity of cadet (deck) or cadet ceptable for a raise of grade to second (engine), as appropriate, notwith- mate or second assistant engineer, re- standing any other rating endorse- spectively. However, any subsequent ments the individual may hold or any raises of grade of unlimited, non-re- other capacity in which the individual stricted officer licenses or endorse- may have served. ments must include a minimum of 6 months of service on conventional ves- (g) Other experience. Other experience sels. in a marine-related area, other than at (2) Service on MODUs maintaining sea, or sea service performed on unique station by means of dynamic posi- vessels, will be evaluated by the Coast tioning, may be credited as service on Guard for a determination of equiva- conventional vessels for any raise in lence to traditional service. grade; however, time more than 8 hours (h) Tonnage. When determining sea each day will not be credited. service credit for officer endorsement (3) A day of creditable MODU service applicants under subpart D of this part, must be a minimum of 4 hours, and no the tonnage of a vessel solely additional credit will be granted for pe- admeasured using the Convention riods of more than 8 hours. measurement scheme under 46 U.S.C. (4) Creditable MODU service excludes Chapter 143 will be credited as Gross time spent ashore due to crew rotation. Register Tonnage. This paragraph does (d) Service on Articulated Tug Barges not apply to those vessels measured (ATBs) and Integrated Tug Barges under the optional regulatory measure- (ITBs). Service on ATB or Dual Mode ment provisions of 46 U.S.C. 14305. ITB units is creditable for an original deck officer endorsement or raise of §§ 11.212–11.216 [Reserved] grade of any deck officer endorsement. Service on an ATB or Dual Mode ITB § 11.217 Examination procedures and denial of officer endorsements. with an aggregate tonnage of 1,600 GRT/3,000 GT or more is creditable on a (a) The examination fee set out in two-for-one basis (2 days experience Table 1 to § 10.219(a) of this subchapter equals 1 day of creditable service) for must be paid before the applicant may up to 50 percent of the total service on take the first examination section. If vessels of 1,600 GRT/3,000 GT or more an applicant fails three or more sec- required for an unlimited officer en- tions of the examination, a complete dorsement. The remaining required re-examination must be taken. On the service on vessels of more than 1,600 subsequent exam, if the applicant GRT/3,000 GT must be obtained on con- again fails three or more sections, at ventional vessels or Push Mode ITBs. least 3 months must elapse before an- (e) Service on towing vessels. Service as other complete examination is at- master or mate (pilot) on towing ves- tempted, and a new examination fee is sels, when the aggregate tonnage of the required. If an applicant fails one or

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two sections of an examination, the ap- ing formal training and assessment on- plicant may be retested twice on these board a training ship. sections during the next 3 months. If (iii) Simulator training: Documenta- the applicant does not successfully tion of successful completion of train- complete these sections within the 3- ing and assessment from a Coast month period, a complete re-examina- Guard-approved course involving mari- tion must be taken at least 3 months time simulation. from the date of the last retest, and a (iv) Laboratory equipment training: new examination fee is required. The 3- Documentation of successful comple- month retest period may be extended tion of training and assessments from by the Coast Guard if the applicant an approved training course or facility. presents evidence documenting sea (v) Practical training or instruction: time that prevented the taking of a (A) Documentation of successful retest during the 3-month period. The completion of assessment as part of a retest period may not be extended be- structured/formal training or instruc- yond 7 months from the initial exam- tion provided by an organization or ination. All examinations and retests company as part of an accepted safety must be completed within 1 year of ap- or quality management system; or proval for examination. (B) Documentation of successful (b) If the Coast Guard refuses to completion of an approved training grant an applicant the endorsement ap- course from a school or facility. plied for due to the applicant’s failure (vi) Specialist training: Documenta- to pass a required examination, the tion of successful completion of assess- Coast Guard will provide the applicant ment as part of a company training or with a written statement setting forth specialized training provided by a mar- the portions of the examination that itime or equipment specialist. must be retaken and the date by which (vii) Workshop skills training: Docu- the examination must be completed. mentation of successful completion of assessments or completion certificate §§ 11.219–11.223 [Reserved] from an approved training program, school or facility. (viii) Training program: Documenta- Subpart C—STCW Officer tion of successful completion of an ap- Endorsements proved training program. (ix) Training on a manned scale ship § 11.301 Requirements for STCW offi- model: Documentation of successful cer endorsements. completion of assessment as part of a (a) Standard of competence. (1) The structured/formal training or instruc- Coast Guard will accept one or more tion provided by an approved training methods listed in the STCW Code to school or facility. demonstrate meeting the standard of (x) Practical demonstration of com- competence in this subpart. See Col- petence: Documentation of successful umn 3—Methods for demonstrating completion of assessments approved or competence—of the Tables of Com- accepted by the Coast Guard. petence in the STCW Code (incor- (xi) Practical test and practical expe- porated by reference, see § 11.102 of this rience: Documentation of successful part). The Coast Guard will accept the completion of assessments approved or following as evidence of meeting the accepted by the Coast Guard. standard of competence under each of (xii) Examination: Successful com- these methods: pletion of a Coast Guard examination. (i) In-service experience: Documenta- (xiii) Instruction or course: Docu- tion of successful completion of assess- mentation of successful completion of ments, approved or accepted by the an approved or accepted course of in- Coast Guard, and signed by a qualified struction. assessor (QA)—deck or engineering—as (2) Knowledge components may be appropriate. documented by— (ii) Training ship experience: Docu- (i) Successful completion of the mentation of successful completion of Coast Guard examination for the asso- an approved training program involv- ciated officer endorsement;

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(ii) Successful completion of an ap- dorsements as master, chief mate, proved course; or chief engineer, or first assistant engi- (iii) Successful completion of an ap- neer, and who seek to add an STCW en- proved program. dorsement at the management level, (3) The Coast Guard will publish as- must provide evidence of meeting the sessment guidelines that should be STCW requirements found in this sub- used to document assessments that part, including— demonstrate meeting the standard of (1) Meeting the service requirements competence, as required by paragraph for the management-level STCW en- (a)(1) of this section. Organizations dorsement; may develop alternative assessment (2) Satisfactory completion of the documentation for demonstrations of STCW operational- and management- competence; however, such documenta- level standards of competence; and tion must be approved by the Coast (3) Satisfactory completion of the Guard prior to its use and submittal STCW operational- and management- with an application. level training as required in this part. (b) Service. (1) Service as a rating will (e) Training and assessment for Auto- not be accepted to upgrade from the matic Radar Plotting Aids (ARPA), Elec- operational-level to management-level tronic Chart Display and Information STCW endorsements. System (ECDIS), or Global Maritime Dis- (2) Service on the Great Lakes will be tress and Safety System (GMDSS). Train- credited on a day-for-day basis for up ing and assessment in the use of ARPA, to 100 percent of the total required ECDIS, or GMDSS is not required for service. those who serve exclusively on ships (3) Service on inland waters other not fitted with ARPA, ECDIS, or than Great Lakes, which are navigable GMDSS. For ARPA and ECDIS, this waters of the United States, will be limitation must be reflected in the en- credited on a day-for-day basis for up dorsement issued to the seafarer con- to 50 percent of the total required serv- cerned. GMDSS is a separate endorse- ice. ment that will only be added if the ap- (4) Service accrued onboard vessels plicant qualifies for it. with dual tonnages (both domestic and (f) Exemptions and Limitations. (1) The international) will be credited using Coast Guard may exempt an applicant the international tonnage for the cre- from meeting any individual knowl- dential sought. edge, understanding, and proficiency (5) Applicants who cannot meet the required in the appropriate table of requirement for 1 year of sea service competence in the STCW Code. These within the last 5 years as described in exemptions must be approved by the § 11.303(c) of this subpart, will be re- Coast Guard based upon vessel type. quired to meet the requirements of Under these circumstances, the certifi- § 11.303(a) of this subpart. cate may include a corresponding limi- (c) Operational-level endorsement. Ap- tation. (2) A seafarer may have a limi- plicants holding national officer en- tation removed by providing the Coast dorsements, who seek to add an STCW Guard with evidence of having com- endorsement at the operational level, pleted the individual knowledge, un- must provide evidence of meeting the derstanding, and proficiency required. STCW requirements found in this sub- (g) Grandfathering. (1) Except as part, including— noted otherwise, each candidate who (1) Meeting the service requirements applies for a credential based on ap- for the operational-level STCW en- proved or accepted training or ap- dorsement; proved seagoing service that was start- (2) Satisfactory completion of the ed on or after March 24, 2014, or who ap- STCW operational-level standards of plies for the MMC endorsement on or competence; and after January 1, 2017, must meet the re- (3) Satisfactory completion of the quirements of this part. STCW operational-level training as re- (2) Except as noted by this subpart, quired in this part. seafarers holding an STCW endorse- (d) Management-level endorsement. Ap- ment prior to March 24, 2014, will not plicants holding national officer en- be required to complete any additional

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training required under this part to re- (1) Fishing vessels as defined in 46 tain the STCW endorsements until U.S.C. 2101(11)(a). January 1, 2017. (2) Fishing vessels used as fish-tender (3) Except as noted otherwise, can- vessels as defined in 46 U.S.C. didates who apply for a credential 2101(11)(c). based on approved or accepted training (3) Barges as defined in 46 U.S.C. 102, or approved seagoing service that com- including non-self-propelled mobile off- menced before March 24, 2014, may shore drilling units. qualify under the requirements of this (4) Vessels operating exclusively on part existing before that date. This in- the Great Lakes or on the inland wa- cludes the assessments published prior ters of the United States in the Straits to March 24, 2014, as well as the addi- of Juan de Fuca or on the Inside Pas- tional requirements for the STCW en- sage between Puget Sound and Cape dorsement section. Spencer. (4) Persons who hold or have held an (j) Mariners serving on, and owners STCW operational-level endorsement or operators of uninspected passenger issued prior to March 24, 2014 and are vessels as defined in 46 U.S.C. seeking to upgrade to an STCW man- 2101(42)(B), do not need to hold an agement-level endorsement will not be STCW endorsement. The vessels concerned are not subject to further obli- required to complete the practical as- gation under STCW because of their sessments for STCW operational-level special operating conditions as small endorsements as required in paragraph vessels engaged in domestic, near- (d)(2) of this section. coastal voyages. (5) Except as noted by this subpart, the Coast Guard will continue to issue [USCG–2004–17914, 78 FR 77909, Dec. 24, 2013, STCW endorsements meeting the re- as amended by USCG–2014–0688, 79 FR 58276, quirements of this part existing before Sept. 29, 2014] March 24, 2014, for seafarers identified § 11.302 Basic training. in paragraph (g)(3) of this section, until January 1, 2017. (a) Applicants seeking an STCW officer endorsement must provide evidence (h) Notwithstanding § 11.901 of this of meeting the standard of competence part, each mariner found qualified to for basic training (BT) as follows: hold any of the following national offi- (1) Personal survival techniques as cer endorsements will also be entitled set out in Table A–VI/1–1 of the STCW to hold an STCW endorsement cor- Code (incorporated by reference, see responding to the service or other limi- § 11.102 of this part). tations of the license or officer en- (2) Fire prevention and firefighting as dorsements on the MMC. The vessels set out in Table A–VI/1–2 of the STCW concerned are not subject to further Code. obligation under STCW because of (3) Elementary first aid as set out in their special operating conditions as Table A–VI/1–3 of the STCW Code. small vessels engaged in domestic, (4) Personal safety and social respon- near-coastal voyages. sibilities as set out in Table A–VI/1–4 of (1) Masters, mates, or engineers en- the STCW Code. dorsed for service on small passenger (b) Every 5 years seafarers qualified vessels that are subject to subchapter in accordance with § 11.301(c) and (d) of T or K of this chapter and that operate this subpart must provide evidence of beyond the boundary line. maintaining the standard of com- (2) Masters, mates, or engineers en- petence for BT. dorsed for service on seagoing vessels (c) The Coast Guard will accept on- of less than 200 GRT, other than pas- board training and experience, through senger vessels subject to subchapter H evidence of 1 year of sea service within of this chapter. the last 5 years, for the following (i) Mariners serving on, and owners areas: or operators of any of the following (1) Personal survival techniques as vessels, do not need to hold an STCW set out in Table A–VI/1–1 of the STCW endorsement, because they are exempt Code: from application of STCW: (i) Donning a lifejacket.

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(ii) Boarding a survival craft from in an accommodation room or simu- the ship, while wearing a lifejacket. lated engineroom with fire and heavy (iii) Taking initial actions on board- smoke. ing a lifeboat to enhance chance of sur- (vii) Extinguishing oil fire with fog vival. applicator and spray nozzles, dry chem- (iv) Streaming a lifeboat drogue or ical powder, or foam applicators. sea-anchor. (e) Applicants who cannot meet the (v) Operating survival craft equip- requirement for 1 year of sea service ment. within the last 5 years, as described in (vi) Operating location devices, in- paragraph (c) of this section, will be re- cluding radio equipment. quired to meet the requirements of (2) Fire prevention and firefighting as paragraph (a) of this section or com- set out in Table A–VI/1–2 of the STCW plete approved or accepted refresher Code: training. (i) Using self-contained breathing apparatus. § 11.303 Advanced firefighting. (ii) Performing a rescue in a smoke- (a) Advanced firefighting. Applicants filled space, using an approved smoke- seeking an STCW officer endorsement generating device aboard, while wear- must provide evidence of meeting the ing a breathing apparatus. standard of competence as set out in (3) Elementary first aid as set out in Table A–VI/3 of the STCW Code (incor- Table A–VI/1–3 of the STCW Code. porated by reference, see § 11.102 of this (4) Personal safety and social respon- part). Applicants for an original STCW sibilities as set out in Table A–VI/1–4 of officer endorsement, who met the re- the STCW Code. quirements of § 11.201(h) of this part (d) The Coast Guard will only accept will be deemed to have met the re- evidence of approved assessments con- quirement of this paragraph. ducted ashore for the following areas: (b) Every 5 years seafarers qualified (1) Personal survival techniques as in accordance with paragraph (a) of set out in Table A–VI/1–1 of the STCW this section must provide evidence of Code: maintaining the standard of com- (i) Donning and using an immersion petence as set out in Table A–VI/3 of suit. the STCW Code. (ii) Safely jumping from a height (c) The Coast Guard will accept on- into the water. board training and experience, through (iii) Righting an inverted liferaft evidence of 1 year of sea service within while wearing a lifejacket. the last 5 years, as meeting the re- (iv) Swimming while wearing a life- quirements of paragraph (b) of this sec- jacket. tion for the following areas as set out (v) Keeping afloat without a life- in Table A–VI/3 of the STCW Code: jacket. (2) Fire prevention and firefighting as (1) Control firefighting operations set out in Table A–VI/1–2 of the STCW aboard ships with the following knowl- Code: edge, understanding, and proficiencies: (i) Using various types of portable (i) Firefighting procedures at sea and fire extinguishers. in port, with particular emphasis on (ii) Extinguishing smaller fires, e.g., organization, tactics and command. electrical fires, oil fires, and propane (ii) Communication and coordination fires. during firefighting operations. (iii) Extinguishing extensive fires (iii) Ventilation control, including with water, using jet and spray nozzles. smoke extraction. (iv) Extinguishing fires with foam, (iv) Control of fuel and electrical sys- powder, or any other suitable chemical tems. agent. (v) Firefighting process hazards (dry (v) Fighting fire in smoke-filled en- distillation, chemical reactions, boiler closed spaces wearing self-contained uptake). breathing apparatus. (vi) Fire precautions and hazards as- (vi) Extinguishing fire with water fog sociated with the storage and handling or any other suitable firefighting agent of materials.

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(vii) Management and control of in- (3) Officer in charge of a navigational jured persons. watch (OICNW) of vessels of 500 GT or (viii) Procedures for coordination more (operational level). with shore-based firefighters. (4) Master of vessels of 500 GT or (2) Inspect and service fire-detection more and less than 3,000 GT (manage- and extinguishing systems and equipment level). ment. (5) Chief mate of vessels of 500 GT or (i) Requirements for statutory and more and less than 3,000 GT (manage- classification surveys. ment level). (ii) Reserved. (6) Master of vessels of less than 500 GT (management level). (d) The Coast Guard will only accept (7) Master of vessels of less than 500 evidence of assessments conducted GT limited to near-coastal waters ashore as meeting the requirements of (management level). paragraph (b) of this section for the fol- (8) OICNW of vessels of less than 500 lowing areas as set out in Table A–VI/ GT (operational level). 3 of the STCW Code: (9) OICNW of vessels of less than 500 (1) Control firefighting operations GT limited to near-coastal waters aboard ships with the following knowl- (operational level). edge, understanding, and proficiencies: (b) [Reserved] (i) Use of water for fire-extinguishing, the effect on ship stability, § 11.305 Requirements to qualify for an precautions and corrective procedures. STCW endorsement as master of (ii) Firefighting involving dangerous vessels of 3,000 GT or more (man- goods. agement level). (2) Organize and train fire parties. (a) To qualify for an STCW endorse- (3) Inspect and service fire-detection ment as master, an applicant must— and extinguishing systems and equip- (1) Provide evidence of 36 months of ment. service as OICNW on vessels operating (i) Fire detection. Fire-detection sys- in oceans, near-coastal waters, and/or tems; fixed fire-extinguishing systems; Great Lakes. This period may be re- portable and mobile fire-extinguishing duced to not less than 24 months if the equipment, including appliances, applicant served as chief mate for not pumps and rescue, salvage; life-sup- less than 12 months. Service on inland port; personal protective and commu- waters that are navigable waters of the nication equipment. United States may be substituted for (ii) Reserved. up to 50 percent of the total required service. Experience gained in the en- (4) Investigate and compile reports gine department on vessels may be on incidents involving fire. creditable for up to 3 months of the (e) Applicants who cannot meet the service requirements; requirement for 1 year of sea service (2) Provide evidence of meeting the within the last 5 years, as described in standard of competence specified in paragraph (c) of this section, will be re- Section A–II/2 of the STCW Code (in- quired to meet the requirements of corporated by reference, see § 11.102 of paragraph (a) of this section or com- this part); and plete approved or accepted refresher (3) Provide evidence of having satis- training. factorily completed approved training in the following subject areas: § 11.304 STCW deck officer endorse- (i) Advanced shiphandling. ments. (ii) Advanced stability. (a) Specific requirements for all (iii) Advanced meteorology. STCW deck officer endorsements are (iv) Leadership and managerial detailed in the applicable sections in skills. this part. (v) Search and rescue. (1) Master on vessels of 3,000 GT or (vi) ARPA, if serving on a vessel with more (management level). this equipment. (2) Chief mate on vessels of 3,000 GT (vii) ECDIS, if serving on a vessel or more (management level). with this equipment.

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(viii) GMDSS, if serving on a vessel circumstances, the credential may in- with this equipment. clude a corresponding limitation. (ix) Management of medical care. (d) Seafarers holding an STCW en- (b) For a renewal of an STCW endorsement as masters of vessels of 500 dorsement as master of vessels of 3,000 GT or more and less than 3,000 GT, in GT or more to be valid on or after Jan- accordance with § 11.311 of this subpart, uary 1, 2017, each candidate must pro- are eligible to apply for the endorse- vide evidence of successful completion ment as master on vessels of 3,000 GT of approved training in the following: or more upon completion of 6 months (1) Leadership and managerial skills. of sea service, under the authority of (2) ECDIS, if serving on a vessel with the endorsement, and must complete this equipment. any items in paragraphs (a)(2) and (c) The Coast Guard may exempt an (a)(3) of this section not previously sat- applicant from meeting any individual isfied. knowledge, understanding, and pro- (e) Seafarers with one of the fol- ficiency required in Section A–II/2 of lowing national officer endorsements the STCW Code. These exemptions are eligible to apply for this endorse- must be approved by the Coast Guard ment upon completion of the require- based upon vessel type. Under these ments in table 1 to this paragraph:

TABLE 1 TO § 11.305(e)—STCW ENDORSEMENT AS MASTER OF VESSELS OF 3,000 GT OR MORE

Sea service under Training re- Entry path from national endorsements authority of Competence—STCW quired by this Table A–II/2 2 the endorsement 1 section 3

Master ocean or near-coastal, unlimited tonnage ...... None ...... Yes ...... Yes. Master OSV ...... None ...... Yes ...... Yes. 1 This column provides the minimum additional service required of the seafarer in order to meet the requirements of this section. 2 Complete any items in paragraph (a)(2) of this section not previously satisfied. 3 Complete any items in paragraph (a)(3) of this section not previously satisfied.

[USCG–2004–17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG–2014–0688, 79 FR 58276, Sept. 29, 2014]

§ 11.307 Requirements to qualify for an (i) Advanced shiphandling. STCW endorsement as chief mate of (ii) Advanced stability. vessels of 3,000 GT or more (man- (iii) Advanced meteorology. agement level). (iv) Leadership and managerial (a) To qualify for an STCW endorse- skills. ment as chief mate, an applicant (v) Search and rescue. must— (vi) ARPA, if serving on a vessel with (1) Provide evidence of 12 months of this equipment. service as OICNW on vessels operating (vii) ECDIS, if serving on a vessel in oceans, near-coastal waters, and/or with this equipment. Great Lakes. Service on inland waters, (viii) GMDSS, if serving on a vessel bays, or sounds that are navigable wa- with this equipment. ters of the United States may be sub- (ix) Management of medical care. stituted for up to 50 percent of the (b) For a renewal of an STCW en- total required service. Experience dorsement as chief mate of vessels of gained in the engine department on 3,000 GT or more to be valid on or after vessels may be creditable for up to 1 January 1, 2017, each candidate must month of the service requirements; provide evidence of successful comple- (2) Meet the standard of competence tion of approved training in the fol- specified in Section A–II/2 of the STCW lowing: Code (incorporated by reference, see (1) Leadership and managerial skills. § 11.102 of this part); and (2) ECDIS, if serving on a vessel with (3) Provide evidence of having satis- this equipment. factorily completed approved training (c) The Coast Guard may exempt an in the following subject areas: applicant from meeting any individual

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knowledge, understanding, and pro- dorsement as chief mate on vessels of ficiency required in Section A–II/2 of 3,000 GT or more upon completion of 6 the STCW Code. These exemptions months of sea service, under the au- must be approved by the Coast Guard thority of the endorsement, and must based upon vessel type. Under these complete any items in paragraphs circumstances, the credential may in- (a)(2) and (a)(3) of this section not pre- clude a corresponding limitation. viously satisfied. (d) Seafarers holding an STCW en- (e) Seafarers with one of the fol- dorsement as chief mate of vessels of lowing national officer endorsements 500 GT or more and less than 3,000 GT, are eligible to apply for this endorse- in accordance with § 11.313 of this sub- ment upon completion of the require- part, are eligible to apply for the en- ments in the following table:

TABLE 1 TO § 11.307(e)—STCW ENDORSEMENT AS CHIEF MATE OF VESSELS OF 3,000 GT OR MORE

Sea service under au- Training re- Entry path from national endorsements thority of the endorse- Competence—STCW quired by this Table A–II/2 2 ment 1 section 3

Chief mate ocean or near-coastal, unlimited tonnage ...... None ...... Yes ...... Yes. Master ocean or near-coastal, less than 500 GRT ...... 12 months ...... Yes ...... Yes. Chief mate OSV ...... None ...... Yes ...... Yes. Master towing vessel ocean or near-coastal ...... 12 months ...... Yes ...... Yes. 1 This column provides the minimum additional service required of the seafarer in order to meet the requirements of this section. 2 Complete any items in paragraph (a)(2) of this section not previously satisfied. 3 Complete any items in paragraph (a)(3) of this section not previously satisfied.

[USCG–2004–17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG–2014–0688, 79 FR 58276, Sept. 29, 2014]

§ 11.309 Requirements to qualify for an OICNW, for a period of not less than 6 STCW endorsement as Officer in months; charge of a navigational watch (3) Provide evidence of meeting the (OICNW) of vessels of 500 GT or standard of competence specified in more (operational level). Section A–II/1 of the STCW Code; and (a) To qualify for an STCW endorse- (4) Provide evidence of having satis- ment as OICNW, an applicant must— factorily completed approved training (1) Provide evidence of seagoing serv- in the following subject areas: ice as follows: (i) Medical first-aid provider. (i) Thirty-six months of seagoing (ii) Radar observer. service in the deck department on ves- (iii) Search and rescue. sels operating in oceans, near-coastal (iv) Basic and advanced firefighting waters, and/or Great Lakes. Service on in accordance with § 11.303 of this sub- inland waters, bays, or sounds that are part. navigable waters of the United States (v) Proficiency in survival craft and may be substituted for up to 50 percent rescue boats other than fast rescue of the total required service; or boats (PSC) or proficiency in survival (ii) Twelve months of seagoing serv- craft and rescue boats other than life- ice as part of an approved training pro- boats and fast rescue boats (PSC-lim- gram, which includes onboard training ited). that meets the requirements of Section (vi) Visual signaling. A–II/1 of the STCW Code (incorporated (vii) Bridge resource management by reference, see § 11.102 of this part); (BRM). (2) Provide evidence of having per- (viii) Terrestrial and celestial navi- formed, during the required seagoing gation, and electronic navigation sys- service, bridge watchkeeping duties tems. under the supervision of an officer (ix) Watchkeeping, including Inter- holding the STCW endorsement as mas- national Regulations for Preventing ter, chief mate, second mate, or Collisions at Sea (COLREGS) and IMO

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standard marine communication (1) Evidence of meeting the standard phrases (SMCP). of competence in leadership and (x) Cargo handling and stowage. teamworking skills. (xi) Ship handling. (2) Completion of approved training (xii) Stability and ship construction. in ECDIS, if serving on a vessel with (xiii) Meteorology. this equipment. (xiv) ARPA, if serving on a vessel (d) The Coast Guard may exempt an with this equipment. applicant from meeting any individual (xv) GMDSS, if serving on a vessel with this equipment. knowledge, understanding, and pro- (xvi) ECDIS, if serving on a vessel ficiency required in Section A–II/1 of with this equipment. the STCW Code. These exemptions (b) Experience gained in the engine must be approved by the Coast Guard department on vessels may be cred- based upon vessel type. Under these itable for up to 3 months of the service circumstances, the credential may in- requirements in paragraph (a)(1)(i) of clude a corresponding limitation. this section. (e) Seafarers with one of the fol- (c) For a renewal of an STCW en- lowing national officer endorsements dorsement as OICNW of vessels of 500 are eligible to apply for this endorse- GT or more to be valid on or after Jan- ment upon completion of the require- uary 1, 2017, each candidate must pro- ments in the following table: vide the following:

TABLE 1 TO § 11.309(e)—STCW ENDORSEMENT AS OICNW OF VESSELS OF 500 GT OR MORE

Sea service under au- Training re- Entry path from national endorsements thority of the endorse- Competence—STCW quired by this Table A–II/2 2 ment 1 section 3

Mate ocean or near-coastal, unlimited tonnage ...... None ...... Yes ...... Yes. Master ocean or near-coastal, less than 500 GRT ...... 6 months ...... Yes ...... Yes. Mate ocean or near-coastal, less than 1,600 GRT ...... None ...... Yes ...... Yes. Mate ocean or near-coastal, less than 500 GRT ...... 12 months ...... Yes ...... Yes. Mate OSV ...... 12 months 1 ...... Yes ...... Yes. Mate towing vessel ocean or near-coastal ...... 6 months ...... Yes ...... Yes. 1 This column provides the minimum additional service required of the seafarer in order to meet the requirements of this section. 2 Complete any items in paragraph (a)(3) of this section not previously satisfied. 3 Complete any items in paragraph (a)(4) of this section not previously satisfied.

[USCG–2004–17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG–2014–0688, 79 FR 58276, Sept. 29, 2014]

§ 11.311 Requirements to qualify for an on vessels may be creditable for up to STCW endorsement as master of 3 months of the service requirements; vessels of 500 GT or more and less (2) Provide evidence of meeting the than 3,000 GT (management level). standard of competence specified in (a) To qualify for an STCW endorse- Section A–II/2 of the STCW Code (in- ment as master, an applicant must— corporated by reference, see § 11.102 of (1) Provide evidence of 36 months of this part); and service as OICNW on vessels operating (3) Provide evidence of having satis- in oceans, near-coastal waters, and/or factorily completed approved training in the following subject areas: Great Lakes. However, this period may be reduced to not less than 24 months if (i) Advanced shiphandling. the applicant served as chief mate for (ii) Advanced stability. not less than 12 months. Service on in- (iii) Advanced meteorology. land waters, bays, or sounds that are (iv) Leadership and managerial navigable waters of the United States skills. may be substituted for up to 50 percent (v) Search and rescue. of the total required service. Experi- (vi) Management of medical care. ence gained in the engine department (vii) ECDIS, if serving on a vessel with this equipment.

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(viii) ARPA, if serving on a vessel (c) The Coast Guard may exempt an with this equipment. applicant from meeting any individual (ix) GMDSS, if serving on a vessel knowledge, understanding, and pro- with this equipment. ficiency required in Section A–II/2 of (b) For a renewal of an STCW en- the STCW Code. These exemptions dorsement as master of vessels of 500 must be approved by the Coast Guard GT or more and less than 3,000 GT to be based upon vessel type. Under these valid on or after January 1, 2017, each circumstances, the credential may in- candidate must provide evidence of clude a corresponding limitation. successful completion of approved (d) Seafarers with one of the fol- training in the following: lowing national officer endorsements (1) Leadership and managerial skills. are eligible to apply for this endorse- (2) ECDIS, if serving on a vessel with ment upon completion of the require- this equipment. ments in the following table:

TABLE 1 TO § 11.311(d)—STCW ENDORSEMENT AS MASTER OF VESSELS OF 500 GT OR MORE AND LESS THAN 3,000 GT

Sea service under au- Training re- Entry path from national endorsements thority of the endorse- Competence—STCW quired by this Table A–II/3 2 ment 1 section 3

Master oceans or near-coastal, less than 1,600 GRT ...... None ...... Yes ...... Yes. Master OSV ...... None ...... Yes ...... Yes. Master oceans or near-coastal, less than 500 GRT ...... 12 months ...... Yes ...... Yes. Master towing vessel oceans or near-coastal ...... 12 months ...... Yes ...... Yes. 1 This column provides the minimum additional service required of the seafarer in order to meet the requirements of this section. 2 Complete any items in paragraph (a)(2) of this section not previously satisfied. 3 Complete any items in paragraph (a)(3) of this section not previously satisfied.

[USCG–2004–17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG–2014–0688, 79 FR 58276, Sept. 29, 2014]

§ 11.313 Requirements to qualify for an (iii) Advanced meteorology. STCW endorsement as chief mate of (iv) Leadership and managerial vessels of 500 GT or more and less skills. than 3,000 GT (management level). (v) Search and rescue. (a) To qualify for an STCW endorse- (vi) Management of medical care. ment as chief mate, an applicant (vii) ECDIS, if serving on a vessel must— with this equipment. (1) Provide evidence of 12 months of (viii) ARPA, if serving on a vessel service as OICNW on vessels operating with this equipment. in oceans, near-coastal waters, and/or (ix) GMDSS, if serving on a vessel Great Lakes. Service on inland waters, with this equipment. bays, or sounds that are navigable wa- (b) For a renewal of an STCW enters of the United States may be sub- dorsement as chief mate of vessels of stituted for up to 50 percent of the 500 GT or more and less than 3,000 GT total required service. Experience to be valid on or after January 1, 2017, gained in the engine department on each candidate must provide evidence vessels may be creditable for up to 1 of successful completion of approved month of the service requirements; training in the following: (2) Provide evidence of meeting the (1) Leadership and managerial skills. standard of competence specified in (2) ECDIS, if serving on a vessel with Section A–II/2 of the STCW Code (in- this equipment. corporated by reference, see § 11.102 of (c) The Coast Guard may exempt an this part); and applicant from meeting any individual (3) Provide evidence of having satis- knowledge, understanding, and pro- factorily completed approved training ficiency required in Section A–II/2 of in the following subject areas: the STCW Code. These exemptions (i) Advanced shiphandling. must be approved by the Coast Guard (ii) Advanced stability. based upon vessel type. Under these

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circumstances, the credential may in- are eligible to apply for this endorse- clude a corresponding limitation. ment upon completion of the require- (d) Seafarers with one of the fol- ments in the following table: lowing national officer endorsements

TABLE 1 TO § 11.313(d)—STCW ENDORSEMENT AS CHIEF MATE OF VESSELS OF 500 GT OR MORE AND LESS THAN 3,000 GT

Sea service under au- Training re- Entry path from national endorsements thority of the endorse- Competence—STCW quired by this Table A–II/2 2 ment 1 section 3

Chief mate OSV ...... None ...... Yes ...... Yes. Master oceans or near-coastal, less than 500 GRT ...... 6 months ...... Yes ...... Yes. Master towing vessel oceans or near-coastal ...... 6 months ...... Yes ...... Yes. 1 This column provides the minimum additional service required of the seafarer in order to meet the requirements of this section. 2 Complete any items in paragraph (a)(2) of this section not previously satisfied. 3 Complete any items in paragraph (a)(3) of this section not previously satisfied.

[USCG–2004–17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG–2014–0688, 79 FR 58276, Sept. 29, 2014]

§ 11.315 Requirements to qualify for an (iii) Leadership and managerial STCW endorsement as master of skills. vessels of less than 500 GT (manage- (iv) ECDIS, if serving on a vessel ment level). with this equipment. (a) To qualify for an STCW endorse- (v) ARPA, if serving on a vessel with ment as master, an applicant must— this equipment. (1) Provide evidence of 36 months of (vi) GMDSS, if serving on a vessel seagoing service as OICNW on vessels with this equipment. operating in oceans, near-coastal wa- (b) For a renewal of an STCW enters, and/or Great Lakes; however, this dorsement as master of vessels of less period may be reduced to not less than than 500 GT to be valid on or after Jan- 24 months if not less than 12 months of uary 1, 2017, each candidate must pro- such seagoing service has been served vide evidence of successful completion as chief mate. Service on inland wa- of approved training in the following: ters, bays, or sounds that are navigable (1) Leadership and managerial skills. waters of the United States may be (2) ECDIS, if serving on a vessel with substituted for up to 50 percent of the this equipment. total required service. Experience (c) The Coast Guard may exempt an gained in the engine department may applicant from meeting any individual be creditable for up to 3 months of the knowledge, understanding, and pro- service requirements; ficiency required in Section A–II/3 of (2) Provide evidence of meeting the the STCW Code. These exemptions standard of competence specified in must be approved by the Coast Guard Section A–II/2 of the STCW Code (in- based upon vessel type. Under these corporated by reference, see § 11.102 of circumstances, the credential may in- this part); and clude a corresponding limitation. (3) Provide evidence of having satis- (d) Seafarers with one of the fol- factorily completed approved training lowing national officer endorsements in the following subject areas: are eligible to apply for this endorse- (i) Search and rescue. ment upon completion of the require- (ii) Management of medical care. ments in the following table:

TABLE 1 TO § 11.315(d)—STCW ENDORSEMENT AS MASTER OF VESSELS OF LESS THAN 500 GT

Sea service under au- Training re- Entry path from national endorsements thority of the endorse- Competence—STCW quired by this Table A–II/3 2 ment 1 section 3

Master oceans or near-coastal, less than 500 GRT ...... None ...... Yes ...... Yes. Master towing vessel oceans or near-coastal ...... None ...... Yes ...... Yes.

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TABLE 1 TO § 11.315(d)—STCW ENDORSEMENT AS MASTER OF VESSELS OF LESS THAN 500 GT— Continued

Sea service under au- Training re- Entry path from national endorsements thority of the endorse- Competence—STCW quired by this Table A–II/3 2 ment 1 section 3

Master oceans or near-coastal, less than 200 GRT ...... 12 months ...... Yes ...... Yes. 1 This column provides the minimum additional service required of the seafarer in order to meet the requirements of this section. 2 Complete any items in paragraph (a)(2) of this section not previously satisfied. 3 Complete any items in paragraph (a)(3) of this section not previously satisfied.

§ 11.317 Requirements to qualify for an boats and fast rescue boats (PSC-lim- STCW endorsement as master of ited). vessels of less than 500 GT limited (iv) Leadership and managerial to near-coastal waters (manage- skills. ment level). (v) ECDIS, if serving on a vessel with (a) To qualify for an STCW endorse- this equipment. ment as master, an applicant must— (vi) Radar observer, if serving on a (1) Provide evidence of 12 months of vessel with this equipment. service as OICNW, on vessels operating (vii) ARPA, if serving on a vessel in oceans, near-coastal waters, and/or with this equipment. Great Lakes. Service on inland waters, (b) For a renewal of an STCW en- bays, or sounds that are navigable wa- dorsement as master of vessels of less ters of the United States may be sub- than 500 GT limited to near-coastal wa- stituted for up to 50 percent of the ters to be valid on or after January 1, total required service. Experience 2017, each candidate must provide evi- gained in the engine department on dence of successful completion of ap- vessels may be creditable for up to 1 proved training in the following: month of the service requirements; (1) Leadership and managerial skills. (2) Provide evidence of meeting the (2) ECDIS, if serving on a vessel with standard of competence specified in this equipment. Section A–II/3 of the STCW Code (in- (c) The Coast Guard may exempt an corporated by reference, see § 11.102 of applicant from meeting any individual this part); and knowledge, understanding, and pro- (3) Provide evidence of having satis- ficiency required in Section A–II/3 of factorily completed approved training the STCW Code. These exemptions in the following subject areas: must be approved by the Coast Guard (i) Medical first-aid provider. based upon vessel type. Under these (ii) Basic and advanced firefighting circumstances, the credential may in- in accordance with § 11.303 of this sub- clude a corresponding limitation. part. (d) Seafarers with one of the fol- (iii) Proficiency in survival craft and lowing national officer endorsements rescue boats other than fast rescue are eligible to apply for this endorse- boats (PSC) or proficiency in survival ment upon completion of the require- craft and rescue boats other than life- ments in the following table:

TABLE 1 TO § 11.317(d)—STCW ENDORSEMENT AS MASTER OF VESSELS OF LESS THAN 500 GT LIMITED TO NEAR-COASTAL WATERS

Sea service under Training re- Entry path from national endorsements authority of the en- Competence—STCW quired by this Table A–II/3 2 dorsement 1 section 3

1 This column provides the minimum additional service required of the seafarer in order to meet the requirements of this section. 2 Complete any items in paragraph (a)(2) of this section not previously satisfied. 3 Complete any items in paragraph (a)(3) of this section not previously satisfied.

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[USCG–2004–17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG–2014–0688, 79 FR 58276, Sept. 29, 2014]

§ 11.319 Requirements to qualify for an (i) Medical first-aid provider. STCW endorsement as Officer in (ii) Radar observer, if serving on a Charge of a Navigational Watch vessel with this equipment. (OICNW) of vessels of less than 500 (iii) Watchkeeping, including GT (operational level). COLREGS and IMO standard marine (a) To qualify for an STCW endorse- communication phrases (SMCP). ment as OICNW, an applicant must— (iv) Basic and advanced firefighting (1) Provide evidence of seagoing serv- in accordance with § 11.303 of this sub- ice as follows: part. (i) Provide evidence of 36 months of (v) Proficiency in survival craft and service in the deck department on ves- rescue boats other than fast rescue sels operating in oceans, near-coastal boats (PSC) or proficiency in survival waters, and/or Great Lakes. Service on craft and rescue boats other than life- inland waters, bays, or sounds that are boats and fast rescue boats (PSC-lim- navigable waters of the United States ited). may be substituted for up to 50 percent (vi) Visual signaling. of the required service. Experience (vii) Bridge resource management; gained in the engine department may (viii) ARPA, if serving on a vessel be creditable for up to 3 months of the with this equipment. service requirements; or (ii) Provide evidence of not less than (ix) GMDSS, if serving on a vessel 12 months of seagoing service as part of with this equipment. an approved training program that in- (x) ECDIS, if serving on a vessel with cludes onboard training that meets the this equipment. requirements of Section A–II/1 of the (b) For a renewal of an STCW en- STCW Code (incorporated by reference, dorsement as OICNW of vessels of less see § 11.102 of this part). than 500 GT to be valid on or after Jan- (2) Provide evidence of having per- uary 1, 2017, each candidate must pro- formed during the required seagoing vide the following: service, bridge watchkeeping duties, (1) Evidence of meeting the standard under the supervision of an officer of competence in leadership and holding the STCW endorsement as mas- teamworking skills. ter, chief mate, or OICNW, for a period (2) Completion of approved training of not less than 6 months. The Coast in ECDIS, if serving on a vessel with Guard will accept service on vessels as this equipment. boatswain, able seaman, or quarter- (c) The Coast Guard may exempt an master while holding the appropriate applicant from meeting any individual deck watchkeeping rating endorse- knowledge, understanding, and pro- ment, which may be accepted on a two- ficiency required in Section A–II/3 of for-one basis to a maximum allowable the STCW Code. These exemptions substitution of 3 months (6 months of must be approved by the Coast Guard experience equals 3 months of cred- based upon vessel type. Under these itable service); circumstances, the credential may in- (3) Provide evidence of meeting the clude a corresponding limitation. standard of competence specified in (d) Seafarers with one of the fol- Section A–II/1 of the STCW Code; and lowing national officer endorsements (4) Provide evidence of having satis- are eligible to apply for this endorse- factorily completed approved training ment upon completion of the require- in the following subject areas: ments in the following table:

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TABLE 1 TO § 11.319(d)—STCW ENDORSEMENT AS OFFICER IN CHARGE OF A NAVIGATIONAL WATCH (OICNW) OF VESSELS OF LESS THAN 500 GT.

Sea service under au- Training re- Entry path from national endorsements thority of the endorse- Competence—STCW quired by this Table A–II/3 2 ment 1 section 3

Mate oceans or near-coastal, less than 500 GRT ...... None ...... Yes ...... Yes. Mate towing vessel oceans or near-coastal ...... None ...... Yes ...... Yes. Master oceans or near-coastal, less than 200 GRT ...... 6 months ...... Yes ...... Yes. Mate oceans or near-coastal, less than 200 GRT ...... 12 months ...... Yes ...... Yes. 1 This column provides the minimum additional service required of the seafarer in order to meet the requirements of this section. 2 Complete any items in paragraph (a)(2) of this section not previously satisfied. 3 Complete any items in paragraph (a)(3) of this section not previously satisfied.

[USCG–2004–17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG–2014–0688, 79 FR 58276, Sept. 29, 2014]

§ 11.321 Requirements to qualify for an (iii) Proficiency in survival craft and STCW endorsement as officer in rescue boats other than fast rescue charge of a navigational watch boats (PSC) or proficiency in survival (OICNW) of vessels of less than 500 craft and rescue boats other than life- GT limited to near-coastal waters boats and fast rescue boats (PSC-lim- (operational level). ited). (a) To qualify for an STCW endorse- (iv) Bridge resource management; ment as OICNW, an applicant must— (v) ECDIS, if serving on a vessel with (1) Provide evidence of seagoing serv- this equipment. ice as follows: (vi) Radar observer, if serving on a (i) Twenty-four months of seagoing vessel with this equipment. service in the deck department on ves- (vii) ARPA, if serving on a vessel sels operating in oceans, near-coastal with this equipment. waters, and/or Great Lakes. Service on inland waters, bays, or sounds that are (b) For a renewal of an STCW en- navigable waters of the United States dorsement as OICNW of vessels of less may be substituted for up to 50 percent than 500 GT limited to near-coastal wa- of the total required service. Experi- ters to be valid on or after January 1, ence gained in the engine department 2017, each candidate must provide the may be creditable for up to 3 months of following: the service requirements; or (1) Evidence of meeting the standard (ii) Successful completion of an ap- of competence in leadership and proved training program that includes teamworking skills. seagoing service as required by the (2) Completion of approved training Coast Guard; or in ECDIS, if serving on a vessel with (iii) Successful completion of ap- this equipment. proved training for this section and ob- (c) The Coast Guard may exempt an tain 12 months of seagoing service; applicant from meeting any individual (2) Provide evidence of meeting the knowledge, understanding, and pro- standard of competence specified in ficiency required in Section A–II/3 of Section A–II/3 of the STCW Code (in- the STCW Code. These exemptions corporated by reference, see § 11.102 of must be approved by the Coast Guard this part); and based upon vessel type. Under these (3) Provide evidence of having satis- circumstances, the credential may in- factorily completed approved training clude a corresponding limitation. in the following subject areas: (d) Seafarers with one of the fol- (i) Medical first-aid provider. lowing national officer endorsements (ii) Basic and advanced firefighting are eligible to apply for this endorse- in accordance with § 11.303 of this sub- ment upon completion of the require- part. ments in the following table:

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TABLE 1 TO § 11.321(d)—STCW ENDORSEMENT AS OICNW OF VESSELS OF LESS THAN 500 GT LIMITED TO NEAR-COASTAL WATERS

Sea service under au- Training re- Entry path from national endorsements thority of the endorse- Competence—STCW quired by this Table A–II/3 2 ment 1 section 3

Mate oceans or near-coastal less than 500 GRT ...... None ...... Yes ...... Yes. Mate towing vessel oceans or near-coastal ...... None ...... Yes ...... Yes. Master oceans or near-coastal, less than 200 GRT ...... None ...... Yes ...... Yes. Mate oceans or near-coastal, less than 200 GRT ...... 6 months ...... Yes ...... Yes. 1 This column provides the minimum additional service required of the seafarer in order to meet the requirements of this section. 2 Complete any items in paragraph (a)(2) of this section not previously satisfied. 3 Complete any items in paragraph (a)(3) of this section not previously satisfied.

[USCG–2004–17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG–2014–0688, 79 FR 58276, Sept. 29, 2014]

§ 11.323 STCW engineer officer en- (2) STCW engineer officer endorse- dorsements. ments issued in accordance with (a) Specific requirements for all §§ 11.325, 11.327, 11.329, 11.331, 11.333, and STCW engineer officer endorsements 11.335 of this subpart for motor or gas are detailed in the applicable sections turbine-propelled vessels may be en- in this part. dorsed as limited to serve on vessels (1) Chief engineer officer on vessels without auxiliary boilers, waste-heat powered by main propulsion machinery boilers, distilling plants, oily water of 3,000 kW/4,000 HP propulsion power separators, or sewage treatment or more (management level). plants. An applicant may qualify for (2) Second engineer officer on vessels removal of any of these limitations by powered by main propulsion machinery demonstrating the appropriate com- of 3,000 kW/4,000 HP propulsion power petencies. or more (management level). (c) An engineer officer who does not hold an STCW endorsement may serve (3) Officer in charge of an engineering on seagoing vessels propelled by ma- watch (OICEW) in a manned chinery of less than 750 kW/1,000 HP, engineroom, or as a designated duty the vessels specified in § 15.105(f) and (g) engineer in a periodically unmanned of this subchapter, and vessels oper- engineroom, on vessels powered by ating on the Great Lakes or inland wa- main propulsion machinery of 750 kW/ ters of the United States. 1,000 HP propulsion power or more (d) An officer endorsement issued in (operational level). the grade of chief engineer (limited) or (4) Chief engineer officer on vessels assistant engineer (limited) allows the powered by main propulsion machinery holder to serve within any propulsion of between 750 kW/1,000 HP and 3,000 power limitations on vessels of unlim- kW/4,000 HP propulsion power (manage- ited tonnage on inland waters, on ves- ment level). sels of less than 3,000 GT in Great (5) Second engineer officer on vessels Lakes service, and on the vessels speci- powered by main propulsion machinery fied in § 15.105(f) and (g) of this sub- of 750 kW/1,000 HP to 3,000 kW/4,000 HP chapter. propulsion power (management level). (6) Electro-technical officer on ves- § 11.325 Requirements to qualify for an sels powered by main propulsion ma- STCW endorsement as chief engi- chinery of 750 kW/1,000 HP or more neer officer on vessels powered by (operational level). main propulsion machinery of 3,000 (b) Limitations. (1) STCW engineer of- kW/4,000 HP propulsion power or ficer endorsements issued in accord- more (management level). ance with §§ 11.325, 11.327, 11.329, 11.331, (a) To qualify for an STCW endorse- 11.333, and 11.335 of this subpart will be ment as chief engineer officer, an ap- restricted to specific propulsion modes plicant must— for steam, motor, or gas turbine-pro- (1) Provide evidence of not less than pelled vessels as appropriate. 36 months of service as OICEW on ships

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powered by main propulsion machinery machinery of 3,000 kW/4,000 HP propul- of 750 kW/1,000 HP propulsion power or sion power or more to be valid on or more. This period may be reduced to after January 1, 2017, each candidate not less than 24 months if the applicant must provide evidence of successful has served for not less than 12 months completion of approved training in the as second engineer officer on ships pow- following: ered by propulsion machinery of 3,000 (1) ERM if not completed at the oper- kW/4,000 HP or more; ational level. (2) Provide evidence of meeting the (2) Leadership and managerial skills. standard of competence specified in (3) Management of electrical and Section A–III/2 of the STCW Code (in- electronic control equipment. corporated by reference, see § 11.102 of (c) The Coast Guard may exempt an this part); and applicant from meeting any individual (3) Provide evidence of having satis- knowledge, understanding, and pro- factorily completed approved training ficiency required in Section A–III/2 of in the following areas: the STCW Code. These exemptions (i) Engineroom resource management must be approved by the Coast Guard (ERM) if not completed at the oper- based upon vessel type. Under these ational level. circumstances, the credential may in- (ii) Leadership and managerial skills. clude a corresponding limitation. (iii) Management of electrical and (d) Seafarers with one of the fol- electronic control equipment. lowing national officer endorsements (b) For a renewal of an STCW en- are eligible to apply for this endorse- dorsement as chief engineer officer on ment upon completion of the require- vessels powered by main propulsion ments in the following table:

TABLE 1 TO § 11.325(d)—STCW ENDORSEMENT AS CHIEF ENGINEER OFFICER ON VESSELS POWERED BY MAIN PROPULSION MACHINERY OF 3,000KW/4,000HP PROPULSION POWER OR MORE

Competence—STCW Training required Entry path from national endorsements Sea service 1 Table A–III/2 2 by this section 3

Chief engineer ...... None ...... Yes ...... Yes. Chief engineer (limited) ...... 12 months ...... Yes ...... Yes. Chief engineer (MODU) ...... 12 months/24 months 4 .... Yes ...... Yes. Chief engineer (OSV) ...... None ...... Yes ...... Yes. Designated duty engineer, any horsepower 5 ...... 24 months as DDE ...... Yes ...... Yes. 1 This column provides the minimum additional service required of the seafarer in order to meet the requirements of this section. 2 Complete any items in paragraph (a)(2) of this section not previously satisfied. 3 Complete any items in paragraph (a)(3) of this section not previously satisfied. 4 Depending on the type of sea service used to obtain chief engineer (MODU) (refer to § 11.542 of this part) 5 STCW certificate should be limited to vessels less than 500 GRT.

§ 11.327 Requirements to qualify for an (2) Provide evidence of meeting the STCW endorsement as second engi- standard of competence specified in neer officer on vessels powered by Section A–III/2 of the STCW Code (in- main propulsion machinery of corporated by reference, see § 11.102 of 3,000kW/4,000 HP propulsion power this part); and or more (management level). (3) Provide evidence of having satis- (a) To qualify for an STCW endorse- factorily completed approved training ment as second engineer officer, an ap- in the following areas: plicant must— (i) Engineroom resource management (1) Provide evidence of not less than (ERM) if not completed at the oper- 12 months of service as OICEW on ves- ational level. sels powered by main propulsion ma- (ii) Leadership and managerial skills. chinery of 750kW/1,000 HP or more; or (iii) Management of electrical and 12 months of sea service as a chief engi- electronic control equipment. neer on vessels powered by propulsion (b) For a renewal of an STCW en- machinery of vessels between 750kW/ dorsement as second engineer officer 1,000 HP and 3,000 kW/4,000 HP; on vessels powered by main propulsion

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machinery of 3,000 kW/4,000 HP propul- knowledge, understanding, and pro- sion power or more to be valid on or ficiency required in Section A–III/2 of after January 1, 2017, each candidate the STCW Code. These exemptions must provide evidence of successful must be approved by the Coast Guard completion of approved training in the based upon vessel type. Under these following: circumstances, the credential may in- (1) ERM if not completed at the oper- clude a corresponding limitation. ational level. (d) Seafarers with one of the fol- (2) Leadership and managerial skills. lowing national officer endorsements (3) Management of electrical and are eligible to apply for this endorse- electronic control equipment. (c) The Coast Guard may exempt an ment upon completion of the require- applicant from meeting any individual ments in the following table:

TABLE 1 TO § 11.327(d)—STCW ENDORSEMENT AS SECOND ENGINEER OFFICER ON VESSELS POWERED BY MAIN PROPULSION MACHINERY OF 3,000 KW/4,000 HP PROPULSION POWER OR MORE

Competence— Training required Entry path from national endorsements Sea service 1 STCW Table A–III/ by this section 3 2 2

First assistant engineer ...... None ...... Yes ...... Yes. Second assistant engineer ...... None ...... Yes ...... Yes. Third assistant engineer ...... 12 months ...... Yes ...... Yes. Assistant engineer (limited) ...... 12 months ...... Yes ...... Yes. Chief engineer MODU ...... 12 months ...... Yes ...... Yes. Chief engineer OSV ...... None ...... Yes ...... Yes. Designated duty engineer, unlimited 4 ...... 12 months as DDE .. Yes ...... Yes. 1 This column provides the minimum additional service required of the seafarer in order to meet the requirements of this section. 2 Complete any items in paragraph (a)(2) of this section not previously satisfied. 3 Complete any items in paragraph (a)(3) of this section not previously satisfied. 4 STCW certificate should be limited to vessels less than 500 GRT.

§ 11.329 Requirements to qualify for an chief engineer officer or as a qualified STCW endorsement as Officer in engineer officer, for a period of not less Charge of an Engineering Watch than 6 months; (OICEW) in a manned engineroom (3) Provide evidence of meeting the or designated duty engineer in a standard of competence specified in periodically unmanned engineroom on vessels powered by main propul- Section A–III/1 of the STCW Code; and sion machinery of 750 kW/1,000 HP (4) Provide evidence of having satis- propulsion power or more (oper- factorily completed approved training ational level). in the following subject areas: (a) To qualify for an STCW endorse- (i) Medical first-aid provider. ment as OICEW, an applicant must— (ii) Basic and advanced firefighting (1) Provide evidence of seagoing serv- in accordance with § 11.303 of this sub- ice as follows: part. (i) Thirty-six months of seagoing (iii) Proficiency in survival craft and service in the engine department; or rescue boats other than fast rescue (ii) Successful completion of an ap- boats. proved training program, which in- (iv) Engineroom resource manage- cludes a combination of workshop skill ment (ERM). training and seagoing service of not (v) Engineering terminology and less than 12 months, and that meets shipboard operations. the requirements of Section A–III/1 of (vi) Auxiliary machinery. the STCW Code (incorporated by ref- (vii) Gas turbine plants, as applica- erence, see § 11.102 of this part); ble. (2) Provide evidence of having per- (viii) Steam plants, as applicable. formed during the required seagoing (ix) Motor plants, as applicable. service, engine room watchkeeping du- (x) Electrical machinery and basic ties, under the supervision of an officer electronics. holding the STCW endorsement as (xi) Control systems.

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(b) Experience gained in the deck de- knowledge, understanding, and pro- partment may be creditable for up to 3 ficiency required in Section A–III/1 of months of the service requirements in the STCW Code. These exemptions paragraph (a)(1)(i) of this section. must be approved by the Coast Guard (c) For a renewal of an STCW en- based upon vessel type. Under these dorsement as OICEW to be valid on or circumstances, the credential may in- after January 1, 2017, each candidate clude a corresponding limitation. must provide evidence of having satis- (e) Seafarers with one of the fol- factorily completed ERM training and lowing national officer endorsements meeting the standard competence in leadership and teamworking skills if are eligible to apply for this endorse- not previously completed. ment upon completion of the require- (d) The Coast Guard may exempt an ments in the following table: applicant from meeting any individual

TABLE 1 TO § 11.327(d)—STCW ENDORSEMENT AS SECOND ENGINEER OFFICER ON VESSELS POWERED BY MAIN PROPULSION MACHINERY OF 3,000 KW/4,000 HP PROPULSION POWER OR MORE

Competence—STCW Training re- Entry path from national endorsements Sea service 1 quired by this Table A–III/2 2 section 3

First assistant engineer ...... None ...... Yes ...... Yes. Second assistant engineer ...... None ...... Yes ...... Yes. Third assistant engineer ...... 12 months ...... Yes ...... Yes. Assistant engineer (limited) ...... 12 months ...... Yes ...... Yes. Chief engineer MODU ...... 12 months ...... Yes ...... Yes. Chief engineer OSV ...... None ...... Yes ...... Yes. Designated duty engineer, unlimited 4 ...... 12 months as DDE ...... Yes ...... Yes. 1 This column provides the minimum additional service required of the seafarer in order to meet the requirements of this section. 2 Complete any items in paragraph (a)(2) of this section not previously satisfied. 3 Complete any items in paragraph (a)(3) of this section not previously satisfied. 4 STCW certificate should be limited to vessels less than 500 GRT.

TABLE 1 TO § 11.329(e)—STCW ENDORSEMENT AS OICEW IN A MANNED ENGINE ROOM OR DES- IGNATED DUTY ENGINEER IN A PERIODICALLY UNMANNED ENGINE ROOM ON VESSELS POWERED BY MAIN PROPULSION MACHINERY OF 750 KW/1,000 HP PROPULSION POWER OR MORE [Operational level]

Training Competence— required by Entry path from national endorsements Sea service * STCW Table A– this III/1 ** section ***

Second assistant engineer any horsepower ...... None ...... Yes Yes Third assistant engineer any horsepower ...... None ...... Yes Yes Assistant engineer (limited) ...... None ...... Yes Yes Designated duty engineer, (unlimited) (less than 500 GRT) ...... None ...... Yes Yes Assistant engineer (MODU) ...... None ...... Yes Yes Assistant engineer (OSV) ...... None ...... Yes Yes Designated duty engineer, 3,000 kW/4,000 HP 1 ...... 12 months ...... Yes Yes Designated duty engineer, 750 kW/1,000 HP 1 ...... 24 months ...... Yes Yes * This column provides the minimum additional service required of the seafarer in order to meet the requirements of this section. ** Complete any items in paragraph (a)(3) of this section not previously satisfied. *** Complete any items in paragraph (a)(4) of this section not previously satisfied. 1 STCW certificate should be limited to vessels less than 500 GRT.

[USCG–2004–17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG–2014–0688, 79 FR 58276, Sept. 29, 2014]

EDITORIAL NOTE: At 79 FR 58276, Sept. 29, 2014, § 11.329 was amended; however, a portion of the amendment could not be incorporated due to inaccurate amendatory instruction.

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§ 11.331 Requirements to qualify for an (b) For a renewal of an STCW en- STCW endorsement as chief engi- dorsement as chief engineer officer on neer officer on vessels powered by vessels powered by main propulsion main propulsion machinery of 750 machinery of 750 kW/1,000 HP or more kW/1,000 HP or more and less than and less than 3,000 kW/4,000 HP propul- 3,000 kW/4,000 HP propulsion power sion power to be valid on or after Janu- (management level). ary 1, 2017, each candidate must pro- (a) To qualify for an STCW endorse- vide evidence of successful completion ment as chief engineer officer, an ap- of approved training in the following: plicant must— (1) ERM if not completed at the oper- (1) Provide evidence of meeting the ational level. requirements for certification as (2) Leadership and managerial skills. OICEW, and have not less than 24 (3) Management of electrical and months of service on seagoing vessels electronic control equipment. powered by main propulsion machinery (c) An engineer officer qualified to of not less than 750 kW/1,000 HP, of serve as second engineer officer on ves- which not less than 12 months must be sels powered by main propulsion ma- served while qualified to serve as sec- chinery of 3,000 kW/4,000 HP or more, ond engineer officer. Experience gained may serve as chief engineer officer on in the deck department may be cred- vessels powered by main propulsion itable for up to 2 months of the total machinery of 750 kW/1,000 HP or more service requirements; and less than 3,000 kW/4,000 HP provided the certificate is so endorsed. (2) Provide evidence of meeting the (d) The Coast Guard may exempt an standard of competence specified in applicant from meeting any individual Section A–III/3 of the STCW Code (in- knowledge, understanding, and pro- corporated by reference, see § 11.102 of ficiency required in Section A–III/3 of this part); and the STCW Code. These exemptions (3) Provide evidence of having satis- must be approved by the Coast Guard factorily completed approved training based upon vessel type. Under these in the following areas: circumstances, the credential may in- (i) Engineroom resource management clude a corresponding limitation. (ERM) if not completed at the oper- (e) Seafarers with one of the fol- ational level. lowing national officer endorsements (ii) Leadership and managerial skills. are eligible to apply for this endorse- (iii) Management of electrical and ment upon completion of the require- electronic control equipment. ments in the following table:

TABLE 1 TO § 11.331(e)—STCW ENDORSEMENT AS CHIEF ENGINEER OFFICER ON VESSELS POW- ERED BY MAIN PROPULSION MACHINERY OF 750 KW/1,000 HP OR MORE AND LESS THAN 3,000 KW/4,000 HP PROPULSION POWER

Competence— Training required Entry path from national endorsements Sea service 1 STCW Table A–III/ by this section 3 2 2

Chief engineer ...... None ...... Yes ...... Yes. First assistant engineer ...... None ...... Yes ...... Yes. Chief engineer (limited) ...... None ...... Yes ...... Yes. Chief engineer OSV ...... None ...... Yes ...... Yes. Chief engineer MODU ...... 12 months ...... Yes ...... Yes. Designated duty engineer, 3,000 kW/4,000 HP 4 ...... 12 months ...... Yes ...... Yes. Designated duty engineer, 750 kW/1,000 HP 4 ...... 24 months ...... Yes ...... Yes. 1 This column provides the minimum additional service required of the seafarer in order to meet the requirements of this section. 2 Complete any items in paragraph (a)(2) of this section not previously satisfied. 3 Complete any items in paragraph (a)(3) of this section not previously satisfied. 4 STCW certificate should be limited to vessels less than 500 GRT.

[USCG–2004–17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG–2014–0688, 79 FR 58277, Sept. 29, 2014]

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§ 11.333 Requirements to qualify for an (ii) Leadership and managerial skills. STCW endorsement as second engi- (iii) Management of electrical and neer officer on vessels powered by electronic control equipment. main propulsion machinery of (b) For a renewal of an STCW en- 750kW/1,000 HP or more and less dorsement as second engineer officer than 3,000 kW/4,000 HP propulsion on vessels powered by main propulsion power (management level). machinery of 750 kW/1,000 HP or more (a) To qualify for an STCW endorse- and less than 3,000 kW/4,000 HP propul- ment as second engineer officer, an ap- sion power to be valid on or after Janu- plicant must— ary 1, 2017, each candidate must pro- (1) Provide evidence of meeting the vide evidence of successful completion requirements for certification as of approved training in the following: OICEW, as well as serving for not less (1) ERM if not completed at the oper- than 12 months as assistant engineer ational level. officer or engineer officer on vessels (2) Leadership and managerial skills. powered by main propulsion machinery (3) Management of electrical and of not less than 750 kW/1,000 HP. Expe- electronic control equipment. rience gained in the deck department (c) The Coast Guard may exempt an may be creditable for up to 1 month of applicant from meeting any individual the total service requirements; knowledge, understanding, and pro- (2) Provide evidence of meeting the ficiency required in Section A–III/3 of standard of competence specified in the STCW Code. These exemptions Section A–III/3 of the STCW Code (in- must be approved by the Coast Guard corporated by reference, see § 11.102 of based upon vessel type. Under these this part); and circumstances, the credential may in- (3) Provide evidence of having satis- clude a corresponding limitation. factorily completed approved training (d) Seafarers with one of the fol- in the following areas: lowing national officer endorsements (i) Engineroom resource management are eligible to apply for this endorse- (ERM) if not completed at the oper- ment upon completion of the require- ational level. ments in the following table:

TABLE 1 TO § 11.333(d)—STCW ENDORSEMENT AS SECOND ENGINEER OFFICER ON VESSELS POW- ERED BY MAIN PROPULSION MACHINERY OF 750 KW/1,000 HP OR MORE AND LESS THAN 3,000 KW/4,000 HP PROPULSION POWER

Competence—STCW Training required Entry path from national endorsements Sea service 1 Table A–III/2 2 by this section 3

First assistant engineer ...... None ...... Yes ...... Yes. Second assistant engineer ...... None ...... Yes ...... Yes. Third assistant engineer ...... 12 months ...... Yes ...... Yes. Assistant engineer (limited) ...... None ...... Yes ...... Yes. Assistant engineer OSV ...... None ...... Yes ...... Yes. Assistant engineer MODU ...... 12 months ...... Yes ...... Yes. 1 This column provides the minimum additional service required of the seafarer in order to meet the requirements of this section. 2 Complete any items in paragraph (a)(2) of this section not previously satisfied. 3 Complete any items in paragraph (a)(3) of this section not previously satisfied.

§ 11.335 Requirements to qualify for an approved seagoing service of which not STCW endorsement as an electro- less than 30 months must be seagoing technical officer on vessels powered service in the engine department of by main propulsion machinery of vessels. Experience gained in the deck 750 kW/1,000 HP or more (oper- department may be creditable for up to ational level). 3 months of the service requirements; (a) To qualify for an STCW endorse- or completion of an approved training ment as an electro-technical officer program, that includes a combination (ETO), an applicant must— of workshop skill training and seagoing (1) Provide evidence of 36 months service of not less than 12 months, and combined workshop skills training and

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which meets the requirements of Sec- § 11.337 Requirements to qualify for an tion A–III/6 of the STCW Code (incor- STCW endorsement as vessel secu- porated by reference, see § 11.102 of this rity officer. part); (a) The applicant for an endorsement (2) Provide evidence of meeting the as vessel security officer must present standard of competence specified in satisfactory documentary evidence in Section A–III/6 of the STCW Code; accordance with the requirements in 33 (3) Provide evidence of having satis- CFR 104.215. factorily completed approved training (b) All applicants for an endorsement in the following subject areas: must meet the physical examination (i) Medical first-aid provider. requirements in 46 CFR part 10, subpart (ii) Basic and advanced firefighting C. in accordance with § 11.303 of this sub- (c) All applicants for this endorse- part. ment must meet the safety and suit- (iii) Proficiency in survival craft and ability requirements and the National rescue boats other than fast rescue Driver Registry review requirements in boats (PSC) or proficiency in survival § 10.209(e) of this subchapter, unless craft and rescue boats other than life- they have met these requirements boats and fast rescue boats (PSC-lim- within the previous 5 years in connec- ited); and tion with another endorsement. (4) Provide evidence of having satisfactorily completed approved profes- Subpart D—Professional Require- sional training in the following subject ments for National Deck Offi- areas: cer Endorsements (i) Onboard computer networking and security. § 11.401 Ocean and near-coastal na- (ii) Radio electronics. tional officer endorsements. (iii) Integrated navigation equip- (a) Subject to the provisions of ment. §§ 11.464(e) and 11.465(b) of this subpart, (iv) Ship propulsion and auxiliary any license or MMC endorsement for machinery. service as master or mate on ocean wa- (v) Instrumentation and control sys- ters qualifies the mariner to serve in tems. the same grade on any waters, except (vi) High-voltage power systems. towing vessels upon western rivers sub- (b) Any applicant who has served in a ject to the limitations of the endorse- relevant capacity onboard a vessel for ment. a period of not less than 12 months (b) Subject to the provisions of within the last 60 months must provide §§ 11.464(e) and 11.465(b) of this subpart, evidence of— any license or MMC endorsement (1) Seagoing service; and issued for service as master or mate on (2) Having achieved the standards of near-coastal waters qualifies the mar- competence specified in Section A–III/6 iner to serve in the same grade on of the STCW Code. Great Lakes and inland waters, except (c) An applicant who holds an STCW towing vessels upon western rivers sub- endorsement as OICEW, second engi- ject to the limitations of the endorse- neer officer, or chief engineer officer ment. will be allowed to receive the ETO en- (c) Near-coastal endorsements for un- dorsement upon completion of the re- limited tonnage require the same num- quirements in Section A–III/6 of the ber of years of service as the ocean-un- STCW Code. limited endorsements. The primary dif- (d) An applicant who does not hold ferences in these endorsements are the any other national or STCW endorse- nature of the service and the scope of ment will be issued, upon completion the required training, examination, of the requirements in this section, the and assessment. ETO endorsement without any cor- (d) A master or mate on vessels of 200 responding national endorsement. GRT or more, and a master or mate on [USCG–2004–17914, 78 FR 77909, Dec. 24, 2013, vessels under 200 GRT, may be en- as amended by USCG–2014–0688, 79 FR 58277, dorsed for sail or auxiliary sail as ap- Sept. 29, 2014] propriate. The applicant must present

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the equivalent total service required higher. However, the minimum ton- for conventional officer endorsements, nage limitation calculated according including at least 1 year of deck experi- to this paragraph will be 2,000 GRT. ence on that specific type of vessel. For Limitations are in multiples of 1,000 example, for an officer endorsement as GRT using the next higher figure when master of vessels of less than 1,600 GRT an intermediate tonnage is calculated. endorsed for auxiliary sail, the appli- When the calculated limitation equals cant must meet the total experience or exceeds 10,000 GRT, the applicant is requirements for the conventional offi- issued an unlimited tonnage endorse- cer endorsement, including time as ment. mate, and the proper tonnage experi- (c) Tonnage limitations imposed ence, including at least 1 year of deck under paragraph (b) of this section may service, on appropriately sized auxil- be raised or removed in one of the fol- iary sail vessels. For an endorsement lowing manners: to serve on vessels of less than 200 (1) When the applicant provides evi- GRT, see the individual endorsement dence of 6 months of service on vessels requirements. of 1,600 GRT or more in the highest (e) Service toward an oceans, near- grade endorsed, all tonnage limitations coastal or STCW endorsement will be credited as follows: will be removed. (1) Service on the Great Lakes will be (2) When the applicant provides evi- credited on a day-for-day basis. dence of 6 months of service on vessels (2) Service on inland waters, other of 1,600 GRT or more in any capacity as than Great Lakes, that are navigable an officer other than the highest grade waters of the United States, may be for which he or she is endorsed, all ton- substituted for up to 50 percent of the nage limitations for the grade in which total required service. the service is performed will be re- (3) Service on vessels to which STCW moved and the next higher grade en- applies, whether inland or coastwise, dorsement will be raised to the tonnage will be credited on a day-for-day basis. of the vessel on which the majority of the service was performed. The total § 11.402 Tonnage requirements for na- cumulative service before and after tional ocean or near-coastal en- issuance of the limited license or MMC dorsements for vessels of 1,600 GRT officer endorsement may be considered or more. in removing all tonnage limitations. (a) To qualify for a national ocean or (3) When the applicant has 12 months near-coastal endorsement for service of service as able seaman on vessels of on vessels of unlimited tonnage— 1,600 GRT or more while holding a li- (1) All the required experience must cense or endorsement as third mate, all be obtained on vessels of 100 GRT or tonnage limitations on the third more; and mate’s license or MMC officer endorse- (2) At least one-half of the required ment will be removed. experience must be obtained on vessels of 1,600 GRT or more. (d) No applicant holding any national (b) If an applicant for a national en- endorsement as master or mate of ves- dorsement as master or mate of unlim- sels of less than 1,600 GRT, less than ited tonnage does not have the service 500 GRT, or less than 25–200 GRT may on vessels of 1,600 GRT or more as re- use the provisions of paragraph (c) of quired by paragraph (a)(2) of this sec- this section to increase the tonnages of tion, a tonnage limitation will be his or her license or endorsement. placed on the MMC based on the applicant’s qualifying experience. The en- § 11.403 Structure of national deck of- dorsement will be limited to the max- ficer endorsements. imum tonnage on which at least 25 per- Figure 11.403 illustrates the national cent of the required experience was ob- deck officer endorsement structure, in- tained, or 150 percent of the maximum cluding crossover points. The section tonnage on which at least 50 percent of numbers on the diagram refer to the the service was obtained, whichever is specific requirements applicable.

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§ 11.404 Service requirements for mas- (b) An individual holding an endorse- ter of ocean or near-coastal self-pro- ment or license as master of Great pelled vessels of unlimited tonnage. Lakes and inland, self-propelled vessels (a) The minimum service required to of unlimited tonnage, or master of in- qualify an applicant for an endorse- land, self-propelled vessels of unlimited ment as master of ocean or near-coast- tonnage, may obtain an endorsement al self-propelled vessels of unlimited as master of oceans or near-coastal tonnage is— self-propelled vessels of unlimited ton- (1) One year of service as chief mate nage by providing evidence of sea serv- on ocean self-propelled vessels; or ice of not less than 24 months under (2) While holding a license or MMC the authority of the credential and by endorsement as chief mate of ocean completing the prescribed examination self-propelled vessels of unlimited ton- in subpart I of this part. Service will be nage, 12 months of service on deck as credited as follows: follows: (1) Service on the Great Lakes will be (i) A minimum of 6 months of service credited on a day-for-day basis up to as chief mate. 100 percent of the total required serv- (ii) Service as second mate, third ice. mate, or officer in charge of a naviga- (2) Service on inland waters, other tional watch accepted on a two-for-one than Great Lakes, that are navigable basis (12 months as officer in charge of waters of the United States, will be a navigational watch equals 6 months credited on a day-for-day basis for up of creditable service).

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to 50 percent of the total required serv- (i) A minimum of 6 months service as ice. officer in charge of a deck watch on (3) Service on vessels to which STCW ocean self-propelled vessels. applies, whether inland or coastwise, (ii) Service on ocean self-propelled will be credited on a day-for-day basis. vessels as boatswain, able seaman, or (c) A person holding this endorse- quartermaster while holding a certifi- ment may qualify for an STCW en- cate or MMC endorsement as able sea- dorsement, according to § 11.305 of this man, which may be accepted on a two- part. for-one basis to a maximum allowable substitution of six months (12 months § 11.405 Service requirements for chief of experience equals 6 months of cred- mate of ocean or near-coastal self- propelled vessels of unlimited ton- itable service). nage. (b) Service towards an oceans, near- coastal or STCW endorsement will be (a) The minimum service required to credited as follows: qualify an applicant for an endorse- (1) Service on the Great Lakes will be ment as chief mate of ocean or near- credited on a day-for-day basis up to coastal self-propelled vessels of unlim- 100 percent of the total required serv- ited tonnage is 1 year of service as offi- ice. cer in charge of a navigational watch on ocean self-propelled vessels while (2) Service on inland waters, other holding a license or MMC endorsement than Great Lakes, that are navigable as second mate. waters of the United States, will be (b) Service towards an oceans, near- credited on a day-for-day basis for up coastal, or STCW endorsement will be to 50 percent of the total required serv- credited as follows: ice. (1) Service on the Great Lakes will be (3) Service on vessels to which STCW credited on a day-for-day basis. applies, whether inland or coastwise, (2) Service on inland waters, other will be credited on a day-for-day basis. than Great Lakes, that are navigable (c) If an individual holds an endorse- waters of the United States, may be ment or license as master of Great substituted for up to 50 percent of the Lakes and inland self-propelled vessels total required service. of unlimited tonnage or master of in- (3) Service on vessels to which STCW land self-propelled vessels of unlimited applies, whether inland or coastwise, tonnage, he or she may obtain an en- will be credited on a day-for-day basis. dorsement as second mate of ocean or (c) A person holding this endorse- near-coastal self-propelled vessels of ment may qualify for an STCW en- unlimited tonnage by completing the dorsement, according to § 11.307 of this prescribed examination in subpart I of part. this part. (d) A person holding this endorse- § 11.406 Service requirements for sec- ment may qualify for an STCW en- ond mate of ocean or near-coastal dorsement, according to § 11.309 of this self-propelled vessels of unlimited part. tonnage. (a) The minimum service required to § 11.407 Service requirements for third qualify an applicant for an endorse- mate of ocean or near-coastal self- ment as second mate of ocean or near- propelled vessels of unlimited ton- coastal self-propelled vessels of unlim- nage. ited tonnage is— (a) The minimum service or training (1) One year of service as officer in required to qualify an applicant for an charge of a navigational watch on endorsement as third mate of ocean or ocean self-propelled vessels while hold- near-coastal self-propelled vessels of ing a license or endorsement as third unlimited tonnage is— mate; or (1) Three years of service in the deck (2) While holding a license or MMC department on ocean self-propelled ves- endorsement as third mate of ocean sels, with a minimum of 6 months of self-propelled vessels of unlimited ton- bridge watchkeeping duties under the nage, 12 months of service on deck as supervision of the master or a qualified follows: officer. Experience gained in the engine

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department on vessels of appropriate § 11.410 Requirements for deck officer tonnage may be creditable for up to 3 endorsements for vessels of less months of the service requirements for than 1,600 GRT. this officer endorsement; (a) Endorsements as master and mate (2) Graduation from— of vessels of less than 1,600 GRT are (i) The U.S. Merchant Marine Acad- issued in the following tonnage cat- emy (deck curriculum); egories: (ii) The U.S. Coast Guard Academy (1) Less than 1,600 GRT. with qualification as an underway offi- (2) Less than 500 GRT. cer in charge of a navigational watch, (3) Between 25 and 200 GRT in 50-ton underway officer of the deck, or deck increments and with appropriate mode watch officer; of propulsion such as self-propelled, (iii) The U.S. Naval Academy with sail, or auxiliary sail. qualification as an underway officer in (b) Experience gained in the engine charge of a navigational watch, under- department on vessels of appropriate way officer of the deck or deck watch tonnage may be creditable for up to 90 officer; or days of the service requirements for (iv) The deck class of a maritime any master or mate endorsement in academy approved by and conducted this category. under rules prescribed by the Maritime (c) An officer’s endorsement in this Administrator and listed in part 310 of category obtained with an orally as- this title, including the ocean option sisted examination will be limited to program in the deck class of the Great 500 GRT. In order to raise that tonnage Lakes Maritime Academy; or limit to 1,600 GRT, the written exam- (3) Satisfactory completion of a com- ination and service requirements must prehensive apprentice mate training be satisfied. program approved by the Coast Guard. § 11.412 Service requirements for mas- (b) Graduation from the deck class of ter of ocean or near-coastal self-pro- the Great Lakes Maritime Academy pelled vessels of less than 1,600 will qualify the graduate to be exam- GRT. ined for an endorsement as third mate (a) The minimum service required to self-propelled vessels of unlimited ton- qualify an applicant for an endorse- nage with a route appropriate to the ment as master of ocean or near-coast- program completed. al self-propelled vessels of less than (c) While holding a license or MMC 1,600 GRT is— endorsement as master of ocean or (1) Four years total service on ocean near-coastal self-propelled vessels of or near-coastal waters. Service on less than 1,600 GRT, 1 year of service as Great Lakes and inland waters may master on vessels of more than 200 substitute for up to 2 years of the re- GRT operating on ocean or near-coast- quired service. Two years of the re- al waters will qualify the applicant for quired service must have been on ves- an endorsement as third mate of ocean sels of more than 100 GRT. Two years or near-coastal self-propelled vessels of of the required service must have been unlimited tonnage. as a master or mate of self-propelled (d) An individual holding an endorse- vessels, or master or mate (pilot) of ment or license as mate of Great Lakes towing vessels, or equivalent position and inland, self-propelled vessels of un- while holding a license or MMC en- limited tonnage, or master of inland, dorsement as master or mate of self- self-propelled vessels of unlimited ton- propelled vessels, or master or mate nage, may obtain an endorsement as (pilot) of towing vessels. One year of third mate of oceans or near-coastal the service as master or mate of self- self-propelled vessels of unlimited ton- propelled vessels, or master or mate nage by completing the prescribed ex- (pilot) of towing vessels, or equivalent amination in subpart I of this part. position must have been on vessels of (e) A person holding this endorse- more than 100 GRT; or ment may qualify for an STCW en- (2) One year of service on vessels of dorsement, according to § 11.309 of this more than 100 GRT on ocean or near- part. coastal waters as a master or mate of

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self-propelled vessels, or master or vision of the master or a qualified offi- mate of towing vessels while holding a cer. license or MMC endorsement as mate (b) A person holding this endorse- of ocean self-propelled vessels of less ment may qualify for an STCW en- than 1,600 GRT or as master or mate of dorsement, according to § 11.309 of this towing vessels. part. (b) An applicant holding a license or MMC endorsement as chief mate of § 11.416 Service requirements for mate ocean or near-coastal self-propelled of near-coastal self-propelled ves- vessels of 1,600 GRT or more is eligible sels of less than 1,600 GRT. for this endorsement without further (a) The minimum service required to examination. An applicant holding a li- qualify an applicant for an endorse- cense or MMC endorsement as second ment as mate of near-coastal self-pro- mate of ocean or near-coastal self-propelled vessels of less than 1,600 GRT is pelled vessels of 1,600 GRT or more is 2 years of total service in the deck de- eligible for this endorsement upon partment of ocean or near-coastal self- completion of a limited examination. propelled, sail, or auxiliary sail vessels. (c) A person holding this endorse- Service on Great Lakes and inland wa- ment may qualify for an STCW enters may substitute for up to 1 year of dorsement, according to § 11.311 of this the required service. One year of the part. required service must have been on vessels of more than 100 GRT. Six months § 11.414 Service requirements for mate of ocean self-propelled vessels of of the required service must have been less than 1,600 GRT. while performing bridge watchkeeping duties under the supervision of the (a) The minimum service required to master or a qualified officer. qualify an applicant for an endorse- (b) A person holding this endorsement as mate of self-propelled vessels ment may qualify for an STCW en- of less than 1,600 GRT is— dorsement, according to § 11.309 of this (1) Three years of total service in the deck department of ocean or near- part. coastal self-propelled, sail, or auxiliary § 11.418 Service requirements for mas- sail vessels, as follows: ter of ocean or near-coastal self-pro- (i) Service on Great Lakes and inland pelled vessels of less than 500 GRT. waters may substitute for up to 18 months of the required service. (a) The minimum service required to (ii) One year of the required service qualify an applicant for an endorse- must have been on vessels of more than ment as master of ocean or near-coast- 100 GRT. al self-propelled vessels of less than 500 (iii) One year of the required service GRT is— must have been as a master or mate of (1) Three years total of service on self-propelled vessels, or master or ocean or near-coastal waters. Service mate (pilot) of towing vessels, or equiv- on Great Lakes and inland waters may alent position while holding a license substitute for up to 18 months of the or MMC endorsement as master, mate, required service. Two years of the re- or master or mate (pilot) of towing ves- quired service must have been as a sels. Six months of the required service master, mate, or equivalent position as master or mate of self propelled ves- while holding a license or MMC en- sels, or master or mate (pilot) of tow- dorsement as master, mate, or operator ing vessels, or equivalent position must of uninspected passenger vessels. One have been on vessels of more than 100 year of the required service as master, GRT; or mate, or equivalent position must have (2) Three years of total service in the been on vessels of more than 50 GRT; or deck department on ocean or near- (2) One year of service on vessels of coastal self-propelled, sail, or auxiliary more than 50 GRT on ocean or near- sail vessels of more than 100 GRT. Six coastal waters as a master or mate of months of the required service must self-propelled vessels, or master or have been while performing bridge mate of towing vessels while holding a watchkeeping duties under the super- license or MMC endorsement as mate

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of ocean self-propelled vessels of less sels of more than 50 GRT. Three than 500 GRT. months of the required service must (b) The holder of a license or MMC have been while performing bridge endorsement as master or mate (pilot) watchkeeping duties under the super- of towing vessels authorizing service vision of the master or a qualified offi- on oceans or near-coastal routes is eli- cer on vessels of more than 50 GRT. gible for an endorsement as master of (b) A person holding this endorse- ocean or near-coastal self-propelled ment may qualify for an STCW en- vessels of less than 500 GRT after both dorsement, according to §§ 11.309, 11.317, 1 year of service as master or mate of 11.319, and 11.321 of this part. towing vessels on oceans or near-coastal routes and completion of a limited § 11.422 Tonnage limitations and quali- examination. fying requirements for endorse- (c) A person holding this endorsements as master or mate of vessels of less than 200 GRT. ment may qualify for an STCW endorsement, according to §§ 11.307, 11.309, (a) Each national endorsement as 11.311, 11.313, and 11.315 of this part. master or mate of vessels of less than 200 GRT is issued with a tonnage limi- § 11.420 Service requirements for mate tation based on the applicant’s quali- of ocean self-propelled vessels of fying experience. The tonnage limita- less than 500 GRT. tion will be issued at the 25, 50, 100, or (a) The minimum service required to 200 GRT level. The endorsement will be qualify an applicant for an endorse- limited to the maximum GRT on which ment as mate of ocean self-propelled at least 25 percent of the required expe- vessels of less than 500 GRT is 2 years rience was obtained, or 150 percent of of total service in the deck department the maximum GRT on which at least 50 of ocean or near-coastal self-propelled, percent of the service was obtained, sail, or auxiliary sail vessels. Service whichever is higher. Limitations are as on Great Lakes and inland waters may stated above, using the next higher fig- substitute for up to 1 year of the re- ure when an intermediate tonnage is quired service. One year of the required calculated. If more than 75 percent of service must have been as a master, the qualifying experience is obtained mate, or equivalent position while on vessels of 5 GRT or less, the MMC holding a license or endorsement as will automatically be limited to ves- master, mate, or operator of sels of less than 25 GRT. uninspected passenger vessels. Six (b) The tonnage limitation may be months of the required service as mas- raised as follows: ter, mate, or equivalent position must (1) For an endorsement as mate, with have been on vessels of more than 50 at least 45 days of additional service on GRT. deck of a vessel in the highest tonnage (b) A person holding this endorse- increment authorized by the officer en- ment may qualify for an STCW endorsement. dorsement, according to §§ 11.309, 11.317, (2) For an endorsement as master, 11.319, and 11.321 of this part. with at least 90 days of additional service on deck of a vessel in the highest § 11.421 Service requirements for mate tonnage increment authorized by the of near-coastal self-propelled ves- master endorsement. sels of less than 500 GRT. (3) With additional service, which, (a) The minimum service required to when combined with all previously ac- qualify an applicant for an endorse- cumulated service, will qualify the ap- ment as mate of near-coastal self-pro- plicant for a higher tonnage officer en- pelled vessels of less than 500 GRT is 2 dorsement under the basic formula years of total service in the deck de- specified in paragraph (a) of this sec- partment of ocean or near-coastal self- tion. propelled, sail, or auxiliary sail vessels. (4) With 6 months additional service Service on Great Lakes and inland wa- in the deck department on vessels ters may substitute for up to 1 year of within the highest tonnage increment the required service. One year of the on the officer’s license or MMC en- required service must have been on ves- dorsement. In this case, the tonnage

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limitation may be raised one incre- (1) Twelve months of total service in ment. the deck department of ocean or near- (c) When the service is obtained on coastal self-propelled, sail, or auxiliary vessels upon which no personnel need sail vessels. Service on Great Lakes an officer endorsement or license, the and inland waters may substitute for Coast Guard must be satisfied that the up to 6 months of the required service; nature of this required service (i.e., size or of vessel, route, equipment, etc.) is a (2) Three months of service in the reasonable equivalent to the duties deck department of self-propelled ves- performed on vessels which are re- sels operating on ocean, near-coastal, quired to engage individuals with offi- Great Lakes, or inland waters while cer endorsements. holding a license or MMC endorsement (d) Service gained in the engine room as master of inland self-propelled, sail, on vessels of 200 GRT or less may be or auxiliary sail vessels of less than 200 creditable for up to 90 days of the deck GRT. service requirements for mate. (b) The holder of a license or MMC endorsement as operator of § 11.424 Requirements for master of uninspected passenger vessels with a ocean self-propelled vessels of less near-coastal route endorsement may than 200 GRT. obtain this endorsement by success- (a) The minimum service required to fully completing an examination on qualify an applicant for an officer en- rules and regulations for small pas- dorsement as master of ocean self-pro- senger vessels. pelled vessels of less than 200 GRT is— (c) To obtain this officer endorsement for sail or auxiliary sail vessels, (1) Three years of total service on the applicant must submit evidence of ocean or near-coastal waters. Service 6 months of deck service on sail or aux- on Great Lakes and inland waters may iliary sail vessels. substitute for up to 18 months of the (d) A license or MMC endorsement as required service. Two years of the re- master of near-coastal self-propelled quired service must have been as mas- vessels may be endorsed as mate of sail ter, mate, or equivalent position while or auxiliary sail vessels upon presen- holding a license or MMC endorsement tation of 3 months of service on sail or as master, as mate, or as operator of auxiliary sail vessels. uninspected passenger vessels; or (e) To obtain a tonnage endorsement (2) Two years of total service as a for 100 GRT or more, the applicant master or mate of ocean or near-coast- must complete the additional examina- al towing vessels. Completion of an ex- tion topics indicated in subpart I of amination is also required. this part. (b) In order to obtain an officer en- (f) A person holding this endorsement dorsement for sail or auxiliary sail ves- may qualify for an STCW endorsement, sels, the applicant must submit evi- according to §§ 11.319 and 11.321 of this dence of 12 months of service on sail or part. auxiliary sail vessels. The required 12 months of service may have been ob- § 11.426 Requirements for master of tained prior to issuance of the master’s near-coastal self-propelled vessels license or MMC endorsement. of less than 200 GRT. (c) A person holding this endorse- (a) The minimum service required to ment may qualify for an STCW en- qualify for a master of near-coastal dorsement, according to §§ 11.315, 11.317, self-propelled vessels of less than 200 11.319, and 11.321 of this part. GRT is— (1) Two years total service on ocean § 11.425 Requirements for mate of or near-coastal waters. Service on ocean self-propelled vessels of less Great Lakes and inland waters may than 200 GRT. substitute for up to 1 year of the re- (a) The minimum service required to quired service. One year of the required qualify for the endorsement as mate of service must have been as a master, ocean self-propelled vessels of less than mate, or equivalent position while 200 GRT is— holding a license or endorsement as

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master, mate, or operator of or auxiliary sail vessels upon presen- uninspected passenger vessels; or tation of 3 months of service on sail or (2) One year of total service as mas- auxiliary sail vessels. ter or mate of towing vessels on ocean (e) To obtain a tonnage endorsement or near-coastal routes. Completion of for 100 GRT or more, the applicant an examination is also required. must complete the additional examina- (b) To obtain this officer endorse- tion topics indicated in subpart I of ment for sail or auxiliary sail vessels, this part. the applicant must submit evidence of (f) Holders of this endorsement are 12 months of service on sail or auxil- considered to be in compliance with iary sail vessels. These 12 months of ex- the STCW Convention (incorporated by perience may have been obtained be- reference, see § 11.102) while operating fore qualifying for an officer endorse- within the limitations of this endorsement. ment. (c) Holders of this endorsement are considered to be in compliance with § 11.428 Requirements for master of the STCW Convention (incorporated by near-coastal self-propelled vessels reference, see § 11.102) while operating of less than 100 GRT. within the limitations of this endorse- (a) The minimum service required to ment. qualify for the endorsement as master of self-propelled, seagoing vessels of § 11.427 Requirements for mate of less than 100 GRT limited to domestic near-coastal self-propelled vessels voyages upon near-coastal waters is 2 of less than 200 GRT. years of service in the deck department (a) The minimum service required to of a self-propelled vessel on ocean or qualify for the endorsement as mate of near-coastal waters. Service on Great near-coastal self-propelled vessels of Lakes and inland waters may sub- less than 200 GRT is— stitute for up to 1 year of the required (1) Twelve months of total service in service. the deck department of ocean or near- (b) To obtain an endorsement for sail coastal self-propelled, sail, or auxiliary or auxiliary sail vessels, the applicant sail vessels. Service on Great Lakes must submit evidence of 12 months of and inland waters may substitute for service on sail or auxiliary-sail vessels. up to 6 months of the required service; This required service may have been or obtained before issuance of the license (2) Three months of service in the or MMC. deck department of self-propelled ves- (c) Holders of this endorsement are sels operating on ocean, near-coastal, considered to be in compliance with Great Lakes, or inland waters while the STCW Convention (incorporated by holding a license or MMC endorsement reference, see § 11.102 of this part) while as master of inland self-propelled, sail, operating within the limitations of this or auxiliary sail vessels of less than 200 endorsement. GRT. (d) All endorsements issued for mas- (b) The holder of a license or MMC ter or mate of vessels of less than 100 endorsement as operator of GRT are issued in tonnage increments uninspected passenger vessels with a based on the applicant’s qualifying ex- near-coastal route endorsement may perience in accordance with the provi- obtain this endorsement by success- sions of § 11.422 of this subpart. fully completing an examination on rules and regulations for small pas- § 11.429 Requirements for a limited senger vessels. master of near-coastal self-pro- (c) To obtain this officer endorse- pelled vessels of less than 100 GRT. ment for sail or auxiliary sail vessels, (a) An endorsement as limited master the applicant must submit evidence of for service on near-coastal waters on 6 months of deck service on sail or aux- vessels of less than 100 GRT may be iliary sail vessels. issued to an applicant to be employed (d) A license or MMC endorsement as by organizations such as yacht clubs, master of near-coastal self-propelled marinas, formal camps, and edu- vessels may be endorsed as mate of sail cational institutions. An endorsement

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issued under this section is limited to § 11.430 Endorsements for the Great the specific activity and the locality of Lakes and inland waters. the yacht club, marina, or camp. To (a) Any officer endorsement issued obtain this restricted endorsement, an for service on Great Lakes and inland applicant must— waters self-propelled vessels, excluding (1) Have 4 months of service on any towing vessels, is valid on all of the in- waters in the operation of the type of land waters of the United States as de- vessel for which the endorsement is re- fined in § 10.107 of this subchapter. quested; (b) Any officer endorsement issued (2) Satisfactorily complete a safe for service on inland waters self-pro- boating course approved by the Na- pelled vessels, excluding towing ves- tional Association of State Boating sels, is valid for the inland waters of Law Administrators, or a safe boating the United States, excluding the Great course conducted by the U.S. Power Lakes. Squadron or the American Red Cross, (c) Any officer endorsement issued or a Coast Guard-approved course. This for service on inland waters or an in- course must have been completed with- land route is valid for service on the in 5 years before the date of applica- sheltered waters of the Inside Passage tion; and between Puget Sound and Cape Spen- (3) Pass a limited examination appro- cer, Alaska. priate for the activity to be conducted (d) Because these officer endorse- and the route authorized. ments authorize service on waters sea- (b) The first aid and cardiopulmonary ward of the International Regulations for Preventing Collisions at Sea resuscitation (CPR) course certificates (COLREGS) demarcation lines, as de- required by § 11.201(i) of this part will fined in 33 CFR part 80, the applicant only be required when, in the opinion must complete an examination on the of the Coast Guard, the geographic COLREGS or the endorsement will ex- area over which service is authorized clude such waters. precludes obtaining medical services (e) To obtain a master or mate en- within a reasonable time. dorsement with a tonnage limit of 200 (c) To obtain an endorsement for sail GRT or more, whether an original, or auxiliary sail vessels, the applicant raise-in-grade, or increase in the scope must submit evidence of 4 months of of authority, the applicant must meet service on sail or auxiliary sail vessels. the training requirements in § 11.201(h) The required 4 months of service may and (i) of this part and successfully have been obtained prior to issuance of complete radar observer training in the license or MMC endorsement. § 11.480 of this part. (d) Holders of this endorsement are (f) Figure 11.430(f) illustrates the considered to be in compliance with deck officer endorsement structure, in- the STCW Convention (incorporated by cluding crossover points, for Great reference, see § 11.102 of this part) while Lakes and inland waters service. The operating within the limitations of this section numbers on the diagram refer endorsement. to the specific requirements applicable.

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§ 11.431 Tonnage requirements for more while holding a license or MMC Great Lakes and inland endorse- endorsement as mate inland or first- ments for vessels of 1,600 GRT or class pilot of Great Lakes and inland more. self-propelled vessels of unlimited ton- (a) All required experience for Great nage; Lakes and inland unlimited endorse- (2) Two years of service as master of ments must be obtained on vessels of self-propelled vessels of 1,600 GRT or 100 GRT or more. At least one-half of more on inland waters, excluding the the required experience must be ob- Great Lakes; or tained on vessels of 1,600 GRT or more. (3) One year of service upon Great (b) Tonnage limitations may be im- Lakes waters while holding a license or posed on these endorsements in accord- MMC endorsement as mate or first- ance with § 11.402(b) and (c) of this sub- class pilot of Great Lakes and inland part. self-propelled vessels of 1,600 GRT or more. A minimum of 6 months of this § 11.433 Requirements for master of service must have been in the capacity Great Lakes and inland self-propelled vessels of unlimited tonnage. of first mate. Service as second mate is accepted for the remainder on a two- (a) The minimum service required to for-one basis to a maximum of 6 qualify an applicant for an endorse- months (2 days of service equals 1 day ment as master of Great Lakes and in- of creditable service). land self-propelled vessels of unlimited tonnage is— (b) [Reserved] (1) One year of service as a mate or first-class pilot while acting in the capacity of first mate of Great Lakes self-propelled vessels of 1,600 GRT or

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§ 11.435 Requirements for master of in- § 11.442 Requirements for master of land self-propelled vessels of unlim- Great Lakes and inland self-pro- ited tonnage. pelled vessels of less than 1,600 (a) The minimum service required to GRT. qualify an applicant for an endorse- (a) The minimum service required to ment as master of self-propelled vessels qualify an applicant for an endorse- of unlimited tonnage on inland waters, ment as master of Great Lakes and in- excluding the Great Lakes is— land self-propelled vessels of less than (1) One year of service as first-class 1,600 GRT is— pilot (of other than canal and small (1) Three years of total service on lakes routes) or mate of Great Lakes or vessels. Eighteen months of the re- inland self-propelled vessels of 1,600 quired service must have been on ves- GRT or more while holding a license or sels of 100 GRT or more. One year of MMC endorsement as mate inland or the required service must have been as first-class pilot of Great Lakes and in- a master, mate, or equivalent position land self-propelled vessels of unlimited on vessels of 100 GRT or more while tonnage; or holding a license or MMC endorsement (2) Two years of service performing as master, mate, or master of towing bridge watchkeeping duties under the vessels; or supervision of the master or a qualified (2) Six months of service as operator officer while holding a mate/first-class on vessels of 100 GRT or more while pilot license or MMC endorsement. holding a license or MMC endorsement (b) [Reserved] as master of towing vessels. (b) [Reserved] § 11.437 Requirements for mate of Great Lakes and inland self-pro- § 11.444 Requirements for mate of pelled vessels of unlimited tonnage. Great lakes and inland self-pro- (a) The minimum service required to pelled vessels of less than 1,600 GRT. qualify an applicant for an endorsement as mate of Great Lakes and in- (a) The minimum service required to land self-propelled vessels of unlimited qualify an applicant for an endorse- tonnage is— ment as mate of Great Lakes and in- (1) Three years of service in the deck land self-propelled vessels of less than department of self-propelled vessels, at 1,600 GRT is— least 3 months of which must have (1) Two years of total service in the been on vessels on inland waters and at deck department of self-propelled ves- least 6 months of which must have sels. One year of the required service been while performing bridge must have been on vessels of 100 GRT watchkeeping duties under the super- or more. Six months of the required vision of the master or a qualified offi- service must have been while per- cer; forming bridge watchkeeping duties (2) Graduation from the deck class of under the supervision of the master or the Great Lakes Maritime Academy; or a qualified officer on vessels of 100 GRT (3) While holding a license or MMC or more; endorsement as master of Great Lakes (2) One year of total service as mas- and inland self-propelled vessels of less ter of self-propelled, sail, or auxiliary than 1,600 GRT, 1 year of service as sail vessels, or operator of uninspected master on vessels of 200 GRT or more. passenger vessels of 50 GRT or more A tonnage limitation may be placed on while holding a license or MMC en- this license in accordance with § 11.431 dorsement as master of self-propelled of this subpart. vessels of less than 200 GRT or OUPV; (b) Service gained in the engine de- or partment on vessels of appropriate ton- (3) Six months of total service as nage may be creditable for up to 6 mate (pilot) of towing vessels on ves- months of the service requirements sels of 100 GRT or more. under paragraph (a)(1) of this section. (b) [Reserved]

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§ 11.446 Requirements for master of with the provisions of § 11.422 of this Great Lakes and inland self-pro- subpart. pelled vessels of less than 500 GRT. (b) Service gained in the engineroom (a) The minimum service required to on vessels of less than 200 GRT may be qualify an applicant for an endorse- creditable for up to 25 percent of the ment as master of Great Lakes and in- deck service requirements for mate. land self-propelled vessels of less than (c) When the service is obtained on 500 GRT is— vessels upon which personnel with li- (1) Three years of total service on censes or endorsements are not re- vessels. One year of the required serv- quired, the Coast Guard must be satis- ice must have been as a master, mate, fied that the nature of this required or equivalent position on vessels of 50 service (i.e., size of vessel, route, equip- GRT or more while holding a license or ment, etc.) is a reasonable equivalent to the duties performed on vessels MMC endorsement as master, mate, or which are required to engage individ- OUPV. uals with endorsements. (2) [Reserved] (d) If more than 75 percent of the (b) An applicant holding a license or qualifying experience is obtained on MMC endorsement as master of ocean, vessels of 5 GRT or less, the license near-coastal, or Great Lakes and in- will automatically be limited to ves- land towing vessels is eligible for this sels of less than 25 GRT. endorsement after 6 months of service as master of towing vessels and com- § 11.452 Requirements for master of pletion of a limited examination. This Great Lakes and inland self-pro- requires 3 1/2 years of service. Two pelled vessels of less than 200 GRT. years of this service must have been (a) The minimum service required to served while holding a license or MMC qualify an applicant for an endorse- endorsement as master or mate (pilot) ment or license as master of Great of towing vessels, or mate. Lakes and inland self-propelled vessels of less than 200 GRT is 1 year of service § 11.448 Requirements for mate of on vessels. Six months of the required Great Lakes and inland self-pro- service must have been as master, pelled vessels of less than 500 GRT. mate, or equivalent position while The minimum service required to holding a license or endorsement as qualify an applicant for an endorse- master or mate of self-propelled ves- ment as mate of Great Lakes and in- sels, or master or mate (pilot) of tow- land self-propelled vessels of less than ing vessels, or OUPV. To obtain au- 500 GRT is 2 years of total service in thority to serve on the Great Lakes, 3 the deck department of self-propelled months of the required service must vessels. One year of the required serv- have been on Great Lakes waters; oth- ice must have been on vessels of 50 erwise the endorsement will be limited GRT or more. Three months of the re- to the inland waters of the United quired service must have been while States (excluding the Great Lakes). performing bridge watchkeeping duties (b) To obtain an endorsement for sail under the supervision of the master or or auxiliary sail vessels, the applicant a qualified officer on vessels of 50 GRT must have 6 months of service on sail or more. or auxiliary sail vessels. This required service may have been obtained prior § 11.450 Tonnage limitations and quali- to issuance of the license or MMC en- fying requirements for endorse- dorsement as master. ments as master or mate of Great Lakes and inland vessels of less § 11.454 Requirements for mate of than 200 GRT. Great Lakes and inland self-pro- (a) Except as noted in paragraph (d) pelled vessels of less than 200 GRT. of this section, all endorsements issued (a) The minimum service required to for master or mate of vessels of less qualify an applicant for an endorse- than 200 GRT are issued in 50 GRT in- ment as mate of Great Lakes and increments based on the applicant’s land self-propelled vessels of less than qualifying experience in accordance 200 GRT is 6 months of service in the

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deck department of self-propelled ves- have been obtained prior to issuance of sels. To obtain authority to serve on the endorsement. the Great Lakes, 3 months of the re- (c) All endorsements issued for mas- quired service must have been on Great ter or mate of vessels of less than 100 Lakes waters; otherwise the endorse- GRT are issued in tonnage increments ment will be limited to the inland wa- based on the applicant’s qualifying ex- ters of the United States (excluding the perience in accordance with the provi- Great Lakes). sions of § 11.422 of this subpart. (b) To obtain an endorsement for sail § 11.456 Requirements for limited mas- or auxiliary sail vessels, the applicant ter of Great Lakes and inland self- must submit evidence of 3 months of propelled vessels of less than 100 service on sail or auxiliary sail vessels. GRT. (c) A mariner holding an endorse- (a) An endorsement as limited master ment as master of self-propelled vessels for vessels of less than 100 GRT upon may be endorsed as mate of sail or aux- Great Lakes and inland waters may be iliary sail vessels upon presentation of issued to an applicant to be employed 3 months service on sail or auxiliary by organizations such as formal camps, sail vessels. educational institutions, yacht clubs, (d) The holder of a license or MMC and marinas with reduced service re- endorsement as operator of inland quirements. An endorsement issued uninspected passenger vessels may ob- under this paragraph is limited to the tain this endorsement by successfully specific activity and the locality of the completing an examination on rules camp, yacht club, or marina. To obtain and regulations for small passenger this restricted endorsement, an appli- vessels. To obtain authority to serve cant must— on the Great Lakes, 3 months of the re- (1) Have 4 months of service in the quired service must have been on Great operation of the type of vessel for Lakes waters; otherwise the endorse- which the endorsement is requested; ment will be limited to the inland wa- (2) Satisfactorily complete a safe ters of the United States (excluding the boating course approved by the Na- Great Lakes). tional Association of State Boating (e) To obtain a tonnage endorsement Law Administrators, a public edu- for 100 GRT or more, the applicant cation course conducted by the U.S. must complete the additional examina- Power Squadron or the American Red tion topics indicated in subpart I of Cross, or a Coast Guard-approved this part. course. This course must have been completed within 5 years before the § 11.455 Requirements for master of date of application; and Great Lakes and inland self-pro- (3) Pass a limited examination appro- pelled vessels of less than 100 GRT. priate for the activity to be conducted and the route authorized. (a) The minimum service required to (b) The first aid and cardiopulmonary qualify an applicant for an endorse- resuscitation (CPR) course certificates ment as master of Great Lakes and in- required by § 11.201(i) of this part will land self-propelled vessels of less than only be required when, in the opinion 100 GRT is 1 year of total service in the of the Coast Guard, the geographic deck department of self-propelled, sail, area over which service is authorized or auxiliary sail vessels. To obtain au- precludes obtaining medical services thority to serve on the Great Lakes, 3 within a reasonable time. months of the required service must have been on Great Lakes waters; oth- § 11.457 Requirements for master of in- erwise the endorsement will be limited land self-propelled vessels of less to the inland waters of the United than 100 GRT. States (excluding the Great Lakes). (a) An applicant for an endorsement (b) To obtain an endorsement for sail as master of inland self-propelled ves- or auxiliary sail vessels, the applicant sels of less than 100 GRT must present must submit evidence of 6 months of 1 year of service on any waters. In service on sail or auxiliary sail vessels. order to raise the tonnage limitation The required 6 months of service may to more than 100 GRT, the examination

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topics indicated in subpart I of this (c) An applicant for an endorsement part must be completed in addition to as master of uninspected fishing indus- satisfying the experience requirements try vessels must have 4 years of total of § 11.452(a) of this subpart. service on ocean or near-coastal routes. (b) To obtain an endorsement for sail Service on Great Lakes or inland wa- or auxiliary sail vessels, the applicant ters may substitute for up to 2 years of must submit evidence of 6 months of the required service. One year of the service on sail or auxiliary sail vessels. required service must have been as The required 6 months of service may master, mate, or equivalent position have been obtained prior to issuance of while holding a license or MMC en- the license or MMC endorsement. dorsement as master or mate of self- (c) All endorsements issued for mas- propelled vessels, or master or mate ter or mate of vessels of less than 100 (pilot) of towing vessels, or OUPV. GRT are issued in tonnage increments (1) To qualify for an endorsement for based on the applicant’s qualifying ex- less than 500 GRT, at least 2 years of perience in accordance with the provi- the required service, including the 1 sions of § 11.422 of this subpart. year as master, mate, or equivalent, must have been on vessels of 50 GRT or § 11.459 Requirements for national en- more. dorsement as master or mate on rivers. (2) To qualify for an endorsement for less than 1,600 GRT, at least 2 years of (a) An applicant for an endorsement the required service, including the 1 as master of river self-propelled vessels year as master, mate, or equivalent, of unlimited tonnage must meet the must have been on vessels of 100 GRT same service requirements as master of or more. inland self-propelled vessels of unlim- (3) To qualify for an endorsement for ited tonnage. more than 1,600 GRT, but not more (b) An applicant for an endorsement than 5,000 GRT, the vessel tonnage as master or mate of river self-pro- upon which the 4 years of required pelled vessels, with a limitation of 25 service was obtained will be used to to 1,600 GRT, must meet the same serv- compute the tonnage. The endorsement ice requirements as those required by is limited to the maximum tonnage on this subpart for the corresponding ton- which at least 25 percent of the re- nage Great Lakes and inland self-pro- quired service was obtained or 150 per- pelled endorsement. Service on the Great Lakes is not, however, required. cent of the maximum tonnage on which at least 50 percent of the service was § 11.462 Requirements for national en- obtained, whichever is higher. Limita- dorsement as master or mate of tions are in multiples of 1,000 GRT, uninspected fishing industry ves- using the next higher figure when an sels. intermediate tonnage is calculated. An (a) This section applies to endorse- endorsement as master of uninspected ments for masters and mates of all ves- fishing industry vessels authorizing sels, however propelled, navigating the service on vessels more than 1,600 GRT high seas, which are documented to en- also requires 1 year as master, mate, or gage in the fishing industry, with the equivalent on vessels of 100 GRT or exception of— more. (1) Wooden ships of primitive build; (4) The tonnage limitation for this (2) Unrigged vessels; and endorsement may be raised using one (3) Vessels of less than 200 GRT. of the following methods but cannot (b) Endorsements as master or mate exceed 5,000 GRT. Limitations are in of uninspected fishing industry vessels multiples of 1,000 GRT, using the next are issued for either ocean or near- higher figure when an intermediate coastal routes, depending on the exam- tonnage is calculated. ination completed. To qualify for an (i) Three months of service as master uninspected fishing industry vessel en- on a vessel results in a limitation in dorsement, the applicant must satisfy that capacity equal to the tonnage of the training and examination require- that vessel rounded up to the next mul- ments of § 11.201(h)(1) of this part. tiple of 1,000 GRT.

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(ii) Six months of service as master higher figure when an intermediate on a vessel results in a limitation in tonnage is calculated. that capacity equal to 150 percent of (i) Three months of service as mate the tonnage of that vessel. on a vessel results in a limitation in (iii) Six months of service as master that capacity equal to the tonnage of on vessels more than 1,600 GRT results that vessel rounded up to the next mul- in raising the limitation to 5,000 GRT. tiple of 1,000 GRT. (iv) Six months of service as mate on (ii) Six months of service as mate on vessels more than 1,600 GRT results in a vessel results in a limitation in that raising the limitation for master to the capacity equal to 150 percent of the tonnage on which at least 50 percent of tonnage of that vessel. the service was obtained. (iii) Six months of service as mate on (v) Two years of service as a deck- vessels more than 1,600 GRT results in hand on a vessel while holding a license raising the limitation to 5,000 GRT. or MMC endorsement as master results (iv) One year of service as deckhand in a limitation on the MMC equal to on vessels more than 1,600 GRT while 150 percent of the tonnage of that ves- holding a license or MMC endorsement sel up to 5,000 GRT. as mate, results in raising the limita- (vi) One year of service as deckhand tion on the MMC to 5,000 GRT; on a vessel while holding a license or (v) Two years of service as a deck- MMC endorsement as master results in hand on a vessel while holding a license a limitation on the MMC equal to the or MMC endorsed as mate results in a limitation on the MMC equal to 150 tonnage of that vessel. percent of the tonnage of that vessel up (d) An applicant for an endorsement to 5,000 GRT. as mate of uninspected fishing industry (vi) One year of service as deckhand vessels must have 3 years of total serv- on a vessel while holding a license or ice on ocean or near-coastal routes. MMC endorsement as mate results in a Service on Great Lakes or inland wa- limitation on the MMC equal to the ters may substitute for up to 18 months tonnage of that vessel. of the required service. (e) Applicants may request an oral (1) To qualify for an endorsement of examination on the subjects listed in less than 500 GRT, at least 1 year of the subpart I of this part. required service must have been on vessels of 50 GRT or more. § 11.463 General requirements for na- (2) To qualify for an endorsement of tional endorsements as master, less than 1,600 GRT, at least 1 year of mate (pilot), and apprentice mate the required service must have been on (steersman) of towing vessels. vessels of 100 GRT or more. (a) The Coast Guard issues the fol- (3) To qualify for an endorsement of lowing endorsements for towing ves- more than 1,600 GRT, but not more sels: than 5,000 GRT, the vessel tonnage (1) Master of towing vessels. upon which the 3 years of required (2) Master of towing vessels, limited. service was obtained will be used to (3) Mate (pilot) of towing vessels. compute the tonnage. The endorsement (4) Apprentice mate (steersman). is limited to the maximum tonnage on (5) Apprentice mate (steersman), lim- which at least 25 percent of the re- ited. quired service was obtained, or 150 per- (b) An endorsement as master of tow- cent of the maximum tonnage on which ing vessels means an endorsement to at least 50 percent of the service was operate towing vessels not restricted to obtained, whichever is higher. Limita- local areas designated by OCMIs. This tions are in multiples of 1,000 GRT, also applies to a mate (pilot) of towing using the next higher figure when an vessels. intermediate tonnage is calculated. (c) For this section, ‘‘limited’’ means (4) The tonnage limitation on this en- an endorsement to operate a towing dorsement may be raised using one of vessel of less than 200 GRT only within the following methods, but cannot ex- a local area on the Great Lakes, inland ceed 5,000 GRT. Limitations are in mul- waters, or Western Rivers designated tiples of 1,000 GRT, using the next by the OCMI.

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(d) Mariners who met the training (ii) Successfully complete the appro- and service requirements for towing priate apprentice mate (steersman) vessels before May 21, 2001, and have exam. maintained a valid Coast Guard-issued (3) Mariners who have not held any of credential may obtain a towing en- the officer endorsements listed in para- dorsement if they meet the following: graph (e)(1) of this section may qualify (1) Demonstrate at least 90 days of for an endorsement as mate of towing towing service before May 21, 2001. vessels if they meet the following: (2) Provide evidence of successfully (i) Provide evidence of at least 36 completing the apprentice mate exam, months of service on towing vessels in its predecessor exam, or a superior the offshore oil and mineral industry exam. prior to October 15, 2010. (3) Meet the renewal requirements in § 10.227(e)(6)(i) of this subchapter. (ii) Successfully complete the appro- (e) Mariners who operated towing priate apprentice mate (steersman) vessels in the offshore oil and mineral exam. industry prior to October 15, 2010, may (f) Deck officers who serve on the fol- obtain a towing endorsement until De- lowing seagoing vessels must comply cember 24, 2018 as follows: with the requirements of §§ 11.309 and (1) Mariners who held officer endorse- 11.311 of this subpart for the appro- ments as operator of uninspected tow- priate STCW endorsement: ing vessels (OUTV) or mate or master (1) A towing vessel on an oceans voy- of inspected self-propelled vessels may age operating beyond near-coastal wa- qualify for a towing endorsement if ters. they meet the following: (2) A towing vessel on an inter- (i) Provide evidence of at least 90 national voyage. days of service on towing vessels in the (3) A towing vessel of 200 GRT or offshore oil and mineral industry prior more on a domestic, near-coastal voy- to October 15, 2010. age. (ii) Provide evidence of successfully completing the apprentice mate (g) Endorsements as mate (pilot) or (steersman) examination, its prede- master of towing vessels may be issued cessor exam, or a superior exam. with a restriction to specific types of (iii) Meet the renewal requirements towing vessels and/or towing oper- in § 10.227(e)(6) of this subchapter. ations such as articulated tug barge (2) Mariners who have not held any of (ATB) vessels that do not routinely the officer endorsements listed in para- perform all of the tasks identified in graph (e)(1) of this section may qualify the Towing Officer Assessment Record for an endorsement as master of towing (TOAR). vessels if they meet the following: (h) Figure 11.463(h) illustrates the (i) Provide evidence of at least 48 towing officer endorsement structure, months of service on towing vessels in including crossover points. The section the offshore oil and mineral industry numbers on the diagram refer to the prior to October 15, 2010. specific requirements applicable.

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§ 11.464 Requirements for national en- route listed in column 1 of table 1 to dorsements as master of towing ves- this section, must complete the service sels. requirements indicated in columns 2 (a) An applicant for an endorsement through 5. Applicants may serve on the as master of towing vessels with a subordinate routes listed in column 5 without further endorsement.

TABLE 1 TO § 11.464(a)—REQUIREMENTS FOR ENDORSEMENT AS MASTER OF TOWING VESSELS 1

1 2 3 4 5

Route endorsed Total TOS 3 TOS 3 on Sub-ordinate service 2 on T/V particular route authorized as mate route (pilot)

(1) OCEANS (O) ...... 48 18 3 NC, GL–I. (2) NEAR-COASTAL (NC) ...... 48 18 3 GL–I. (3) GREAT LAKES-INLAND (GL–I) ...... 48 18 3 None. (4) WESTERN RIVERS (WR) ...... 48 18 3 None. 1 The holder of an endorsement as master of towing vessels may have an endorsement placed on the MMC as mate (pilot) of towing vessels for a route superior to the current route on which the holder has no operating experience after passing an examination for that additional route. After the holder completes 90 days of experience and completes a Towing Officer Assessment Record (TOAR) on that route, the Coast Guard will add it to the holder’s endorsement as master of towing vessels and remove the endorsement for mate (pilot) of towing vessels. 2 Service is in months. 3 TOS is time of service.

(b) A person holding this endorse- dorsement, according to §§ 11.307, 11.311, ment may qualify for an STCW en- 11.313, and 11.315 of this part.

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(c) To obtain an endorsement as mas- listed in columns 2 through 5 of table 1 ter of towing vessels (limited), appli- to paragraph (c) of this section. cants must complete the requirements

TABLE 1 TO § 11.464(c)—REQUIREMENTS FOR NATIONAL ENDORSEMENT AS MASTER OF TOWING VESSELS (LIMITED)

1 2 3 4 5

Route endorsed Total TOS 2 TOAR TOS on service 1 on T/V as or an particular limited approved route apprentice mate course (steersman)

LIMITED LOCAL AREA (LLA) ...... 36 18 Yes 3. 1 Service is in months. 2 TOS is time of service.

(d) Those holding a license or MMC in § 10.404(c) of this part that shows evi- endorsement as mate (pilot) of towing dence of assessment of practical dem- vessels, may have master of towing onstration of skills; or vessels (limited) added to their MMC (ii) Complete an approved training for a limited local area within the course. scope of their current route. (h) A license or MMC does not need (e) Before serving as master of tow- to include a towing endorsement if ing vessels on the Western Rivers, mariners hold a TOAR or complete an mariners must possess 90 days of obser- approved training course. vation and training and their MMC must include an endorsement for West- § 11.465 Requirements for national en- ern Rivers. dorsements as mate (pilot) of tow- (f) Each company must maintain evi- ing vessels. dence that every vessel it operates is (a) To obtain an endorsement as under the direction and control of a mate (pilot) of towing vessels endorsed mariner with the appropriate endorse- with a route listed in column 1 of Table ment and experience, including 30 days 1 to paragraph (a) of this section, appli- of observation and training on the in- cants must complete the service in col- tended route other than Western Riv- umns 2 through 5. Mariners holding a ers. license or MMC endorsement as master (g) Those holding a license or MMC of towing vessels (limited) wishing to endorsement as a master of self-pro- upgrade it to mate (pilot) of towing pelled vessels of more than 200 GRT, vessels must complete the service in may operate towing vessels within any columns 5 and 6. An endorsement with restrictions on their endorsement if a route endorsed in column 1 author- they— izes service on the subordinate routes (1) Have a minimum of 30 days of listed in column 7 without further en- training and observation on towing dorsement. Time of service require- vessels for the route being assessed, ex- ments as an apprentice mate cept as noted in paragraph (f) of this (steersman) of towing vessels may be section; and reduced by an amount equal to the (2) Either— time specified in the approval letter for (i) Hold a completed Towing Officer a completed Coast Guard-approved Assessment Record (TOAR) described training program.

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TABLE 1 TO § 11.465(a)—REQUIREMENTS FOR NATIONAL ENDORSEMENT AS MATE (PILOT 1) OF TOWING VESSELS

1 2 3 4 5 6 7

Route endorsed Total TOS 3 on T/V TOS on TOAR 5 or 30 days of obser- Subordinate service 2 as apprentice particular an ap- vation and train- route mate route proved ing while holding authorized (steersman) 4 course master (limited) and pass an examination

(1) OCEANS (O) ...... 30 12 3 YES ...... YES ...... NC, GL–I. (2) NEAR-COASTAL (NC) 30 12 3 YES ...... YES ...... GL–I. (3) GREAT LAKES-IN- 30 12 3 YES...... YES. LAND (GL–I). (4) WESTERN RIVERS 30 12 3 YES ...... NO (90 days serv- (WR). ice required). 1 For all inland routes, as well as Western Rivers, the endorsement as pilot of towing vessels is equivalent to that as mate of towing vessels. All qualifications and equivalencies are the same. 2 Service is in months unless otherwise indicated. 3 TOS is time of service. 4 Time of service requirements as an apprentice mate (steersman) of towing vessels may be reduced by an amount equal to the time specified in the approval letter for a completed Coast Guard-approved training program. 5 TOAR is a Towing Officer Assessment Record.

(b) Before serving as mate (pilot) of ments specified in §§ 11.429 and 11.456 of towing vessels on the Western Rivers, this subpart, may obtain an endorse- mariners must possess 90 days of obser- ment as mate (pilot) of towing vessels vation and training and have their by meeting the following requirements: MMC include an endorsement for West- (1) Providing proof of 36 months of ern Rivers. service as a master under the authority (c) Each company must maintain evi- of an endorsement described in this dence that every vessel it operates is paragraph. under the direction and control of a (2) Successfully completing the ap- mariner with the appropriate endorse- propriate TOAR. ment and experience, including 30 days (3) Successfully completing the ap- of observation and training on the intended route other than Western Riv- propriate apprentice mate exam. ers. (4) Having a minimum of 30 days of (d) Those holding a license or MMC training and observation on towing endorsement as a mate of inspected, vessels for the route being assessed, ex- self-propelled vessels of more than 200 cept as noted in paragraph (b) of this GRT or one as first-class pilot, may op- section. erate towing vessels within any restric- (g) An approved training course for tions on their credential if they— mate (pilot) of towing vessels must in- (1) Have a minimum of 30 days of clude formal instruction and practical training and observation on towing demonstration of proficiency either on- vessels for the route being assessed, ex- board a towing vessel or at a shoreside cept as noted in paragraph (b) of this training facility before a designated section; and examiner, and must cover the material (2) Hold a completed Towing Officer (dependent upon route) required by Assessment Record (TOAR) described Table 2 to § 11.910 of this part for ap- in § 10.404(c) of this subchapter that prentice mate (steersman), towing ves- shows evidence of assessment of prac- sels on ocean and near-coastal routes; tical demonstration of skills. apprentice mate (steersman), towing (e) A license or MMC does not need to vessels on Great Lakes and inland include a towing endorsement if you routes; or steersman, towing vessels on hold a TOAR or a course completion Western Rivers routes. certificate. (f) Those holding any endorsement as a master of self-propelled vessels of any tonnage that is less than 200 GRT, except for the limited masters endorse-

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(h) A person holding this endorse- § 11.466 Requirements for national en- ment may qualify for an STCW endorsements as apprentice mate dorsement, according to §§ 11.309, 11.317, (steersman) of towing vessels. 11.319, and 11.321 of this part. (a) As Table 1 to § 11.466(a) shows, to obtain an endorsement as apprentice [USCG–2004–17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG–2014–0688, 79 FR 58277, mate (steersman) of towing vessels Sept. 29, 2014] listed in column 1, endorsed with a route listed in column 2, mariners must complete the service requirements indicated in columns 3 through 6.

TABLE 1 TO § 11.466(a)—REQUIREMENTS FOR NATIONAL ENDORSEMENT AS APPRENTICE MATE (STEERSMAN) OF TOWING VESSELS

1 2 3 4 5 6

Endorsement Route Total TOS 2 TOS on Pass endorsed service 1 on T/V particular examination 3 route

(1) APPRENTICE MATE (STEERSMAN) ..... OCEANS (O) ...... 18 12 3 YES. NEAR-COASTAL (NC) ..... 18 12 3 YES. GREAT LAKES ...... 18 12 3 YES. INLAND (GL–I) ...... 18 12 3 YES. WESTERN RIVERS (WR) 18 12 3 YES. (2) APPRENTICE MATE (STEERSMAN) NOT APPLICABLE ...... 18 12 3 YES. (LIMITED). 1 Service is in months. 2 TOS is time of service. 3 The examination for apprentice mate is specified in subpart I of this part.

(b) Those holding a license or en- waters include all inland waters except dorsement as apprentice mate the Great Lakes. Endorsements may be (steersman) of towing vessels may ob- issued for a particular local area under tain a restricted endorsement as ap- paragraph (f) or paragraph (g) of this prentice mate (steersman) (limited). section. This endorsement will go on the mari- (c) For an endorsement as OUPV on ner’s MMC after passing an examina- near-coastal waters, an applicant must tion for a route that is not included in have a minimum of 12 months of expe- the current endorsements and on which rience in the operation of vessels, in- the mariners have no operating experi- cluding at least 3 months of service on ence. Upon completion of 3 months of vessels operating on ocean or near- experience on that route, mariners coastal waters. may have the restriction removed. (d) For an endorsement as OUPV on the Great Lakes and inland waters, an § 11.467 Requirements for a national applicant must have 12 months of serv- endorsement as operator of ice on Great Lakes or inland waters, uninspected passenger vessels of including at least 3 months of service less than 100 GRT. operating vessels on Great Lakes wa- (a) This section applies to an appli- ters. cant for the endorsement to operate an (e) For an endorsement as OUPV on uninspected vessel of less than 100 inland waters, an applicant must have GRT, equipped with propulsion ma- a minimum of 12 months of experience chinery of any type, carrying six or in the operation of vessels. fewer passengers. (f) A limited OUPV endorsement may (b) An endorsement as OUPV for be issued to an applicant to be em- near-coastal waters limits the holder ployed by organizations such as formal to service on domestic, near-coastal camps, yacht clubs, educational insti- waters not more than 100 miles off- tutions, and marinas. An endorsement shore, the Great Lakes, and all inland issued under this paragraph will be waters. Endorsements issued for inland limited to the specific activity and the

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locality of the camp, yacht club, or as restricted on the endorsement, ex- marina. In order to obtain this re- cept when moving independently under stricted endorsement, an applicant their own power. must— (1) Have 3 months of service in the § 11.470 National officer endorsements operation of the type of vessel for as offshore installation manager. which the endorsement is requested; (a) Officer endorsements as offshore (2) Satisfactorily complete a safe- installation manager (OIM) include: boating course approved by the Na- (1) OIM Unrestricted. tional Association of State Boating (2) OIM Surface Units on Location. Law Administrators, or those public (3) OIM Surface Units Underway. education courses conducted by the (4) OIM Bottom Bearing Units on Lo- U.S. Power Squadron or the American cation. National Red Cross or a Coast Guard- (5) OIM Bottom Bearing Units Under- approved course; and way. (3) Pass a limited examination appro- (b) To qualify for an endorsement as priate for the activity to be conducted OIM unrestricted, an applicant must— and the route authorized. (1) Present evidence of one of the fol- (4) Hold the first aid and lowing: cardiopulmonary resuscitation (CPR) (i) Four years of employment as- course certificates required by signed to MODUs, including at least 1 § 11.201(i) of this part when, in the opin- year of service as driller, assistant ion of the Coast Guard, the geographic driller, toolpusher, assistant area over which service is authorized toolpusher, barge supervisor, mechan- precludes obtaining medical services ical supervisor, electrician, crane oper- within a reasonable time. ator, ballast control operator, or equiv- (g) Restricted OUPV endorsements alent supervisory position on MODUs, may be issued to applicants to be em- with a minimum of 14 days of that su- ployed on inland navigable waters. An pervisory service on surface units. endorsement under this paragraph will (ii) A degree from a program in engi- be limited to specific bodies of water neering or engineering technology that have been approved by the cog- which is accredited by the Accredita- nizant OCMI. In order to obtain this tion Board for Engineering and Tech- endorsement, the applicant must be nology (ABET). The National Maritime qualified for the endorsement under Center will give consideration to ac- this section; however, the OCMI may cepting education credentials from pro- modify the service and examination re- grams having other than ABET accred- quirements as follows: itation. An applicant qualifying (1) At least 3 months of service in the through a degree program must also operation of the type of vessel and on have at least 168 days of service as each body of water for which the en- driller, assistant driller, toolpusher, as- dorsement is requested. sistant toolpusher, barge supervisor, (2) Satisfactorily pass an examina- mechanical supervisor, electrician, tion appropriate for the activity to be crane operator, ballast control oper- conducted and the waters authorized. ator, or equivalent supervisory posi- (h) An applicant for an officer en- tion on MODUs, with a minimum of 14 dorsement as OUPV who speaks Span- days of that supervisory service on sur- ish, but not English, may be issued an face units; officer endorsement restricted to the (2) Present evidence of training navigable waters of the United States course completion as follows: in the vicinity of Puerto Rico. (i) A certificate from a Coast Guard- approved stability course approved for § 11.468 National officer endorsements OIM unrestricted. for mobile offshore drilling units (ii) A certificate from a Coast Guard- (MODUs). approved survival suit and survival Officer endorsements for service on craft training course. MODUs authorize service on units of (iii) A certificate from a firefighting unlimited tonnage upon ocean waters training course as required by while on location or while underway, § 11.201(h) of this part; and

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(3) Provide a recommendation signed (i) A certificate from a Coast Guard- by a senior company official which— approved stability course approved for (i) Provides a description of the ap- a license or MMC endorsement as OIM plicant’s experience and qualifications; surface units. (ii) Certifies that the individual has (ii) A certificate from a Coast Guard- successfully directed, while under the approved survival suit and survival supervision of an experienced rig craft training course. mover, two rig moves each of surface (iii) A certificate from a firefighting units and of bottom bearing units; and training course as required by (iii) Certifies that one of the rig § 11.201(h) of this part. moves required under paragraph (e) An applicant for an endorsement (b)(3)(ii) of this section was completed as OIM surface units on location who within 1 year preceding date of applica- holds an unlimited license or MMC en- tion. dorsement as master or chief mate (c) An applicant for an endorsement must satisfy the requirements of para- as OIM unrestricted who holds an un- graph (d)(2) of this section and have at limited license or MMC endorsement as least 84 days of service on surface master or chief mate must satisfy the units. requirements in paragraphs (b)(2) and (f) To qualify for an endorsement as (b)(3) of this section and have at least OIM surface units underway, an appli- 84 days of service on surface units and cant must— at least 28 days of service on bottom (1) Provide the following: bearing units. (i) Evidence of the experience de- (d) To qualify for an endorsement as scribed in paragraph (d)(1) of this sec- OIM surface units on location, an ap- tion and a recommendation signed by a plicant must— senior company official which— (1) Present evidence of one of the fol- (A) Provides a description of the ap- lowing: plicant’s experience and qualifications; (i) Four years of employment as- (B) Certifies that the individual has signed to MODUs, including at least 1 successfully directed, while under the year of service as driller, assistant supervision of an experienced rig driller, toolpusher, assistant mover, three rig moves of surface toolpusher, barge supervisor, mechan- units; and ical supervisor, electrician, crane oper- (C) Certifies that one of the rig ator, ballast control operator or equiv- moves required under paragraph alent supervisory position on MODUs, (f)(1)(i)(B) of this section was com- with a minimum of 14 days of that su- pleted within 1 year preceding date of pervisory service on surface units. application; or (ii) A degree from a program in engi- (ii) A recommendation signed by a neering or engineering technology senior company official which— which is accredited by the Accredita- (A) Provides a description of the ap- tion Board for Engineering and Tech- plicant’s experience and company nology (ABET). The National Maritime qualifications program completed; Center will give consideration to ac- (B) Certifies that the applicant has cepting education credentials from pro- witnessed ten rig moves either as an grams having other than ABET accred- observer in training or as a rig mover itation. An applicant qualifying under supervision; through a degree program must also (C) Certifies that the individual has have at least 168 days of service as successfully directed, while under the driller, assistant driller, toolpusher, as- supervision of an experienced rig sistant toolpusher, barge supervisor, mover, five rig moves of surface units; mechanical supervisor, electrician, and crane operator, ballast control oper- (D) Certifies that one of the rig ator, or equivalent supervisory posi- moves required under paragraph tion of MODUs, with a minimum of 14 (f)(1)(ii)(C) of this section was com- days of that supervisory service on sur- pleted within 1 year preceding the date face units; and of application; and (2) Present evidence of training (2) Present evidence of training course completion as follows: course completion as follows:

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(i) A certificate from a Coast Guard- (i) A certificate from a Coast Guard- approved stability course approved for approved survival suit and survival an OIM surface units endorsement. craft training course. (ii) A certificate from a Coast Guard- (ii) A certificate from a firefighting approved survival suit and survival training course as required by craft training course. § 11.201(h) of this part. (iii) A certificate from a firefighting (i) An applicant for an endorsement training course as required by as OIM bottom bearing units on loca- § 11.201(h) of this part. tion who holds an unlimited license or (g) An applicant for endorsement as MMC endorsement as master or chief OIM surface units underway who holds mate must satisfy paragraph (h)(2) of an unlimited license or MMC endorse- this section and have at least 28 days of ment as master or chief mate must sat- service on bottom bearing units. isfy the requirements in paragraph (j) To qualify for an endorsement as (f)(2) of this section and provide a com- OIM bottom bearing units underway, pany recommendation signed by a sen- an applicant must— ior company official which— (1) Provide the following: (1) Provides a description of the ap- (i) Evidence of the experience de- plicant’s experience and qualifications; scribed in paragraph (h)(1) of this sec- (2) Certifies that the individual has tion with a recommendation signed by successfully directed, while under the a senior company official which— supervision of an experienced rig (A) Provides a description of the ap- mover, three rig moves on surface plicant’s experience and qualifications; units; and (B) Certifies that the individual has (3) Certifies that one of the rig moves successfully directed, while under the required under paragraph (g)(2) of this supervision of an experienced rig section was completed within 1 year mover, three rig moves of bottom bear- preceding the date of application. ing units; and (h) To qualify for an endorsement as (C) Certifies that one of the rig OIM bottom bearing units on location, moves required under paragraph an applicant must— (j)(1)(i)(B) of this section was com- (1) Present evidence of one of the fol- pleted within 1 year preceding date of lowing: application; or (i) Four years of employment as- (ii) A recommendation signed by a signed to MODUs, including at least 1 senior company official which— year of service as driller, assistant (A) Provides a description of the ap- driller, toolpusher, assistant plicant’s experience and company toolpusher, barge supervisor, mechan- qualifications program completed; ical supervisor, electrician, crane oper- (B) Certifies that the applicant has ator, ballast control operator, or equiv- witnessed ten rig moves either as an alent supervisory position on MODUs. observer in training or as a rig mover (ii) A degree from a program in engi- under supervision; neering or engineering technology that (C) Certifies that the individual has is accredited by ABET. The National successfully directed, while under the Maritime Center will give consider- supervision of an experienced rig ation to accepting education creden- mover, five rig moves of bottom bear- tials from programs having other than ing units; and ABET accreditation. An applicant (D) Certifies that one of the rig qualifying through a degree program moves required under paragraph must also have at least 168 days of (j)(1)(ii)(C) of this section was com- service as driller, assistant driller, pleted within 1 year preceding date of toolpusher, assistant toolpusher, barge application; and supervisor, mechanical supervisor, (2) Present evidence of training electrician, crane operator, ballast course completion as follows: control operator, or equivalent super- (i) A certificate from a Coast Guard- visory position on MODUs; and approved stability course approved for (2) Present evidence of training a license or MMC endorsement as OIM course completion as follows: bottom bearing units.

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(ii) A certificate from a Coast Guard- pervisory position on MODUs. At least approved survival suit and survival 84 days of that service must have been craft training course. as a ballast control operator, or barge (iii) A certificate from a firefighting supervisor trainee; and training course as required by (2) Present evidence of training § 11.201(h) of this part. course completion as follows: (k) An applicant for endorsement as (i) A certificate from a Coast Guard- OIM bottom bearing units underway approved stability course approved for who holds an unlimited license or MMC barge supervisor. endorsement as master or chief mate (ii) A certificate from a Coast Guard- must satisfy the requirements in para- approved survival suit and survival graph (j)(2) of this section and provide craft training course. a company recommendation signed by (iii) A certificate from a firefighting a senior company official, which— training course as required by (1) Provides a description of the applicant’s experience and qualifications; § 11.201(h) of this part. (2) Certifies that the individual has (b) An applicant for an endorsement successfully directed, while under the as barge supervisor who holds an un- supervision of an experienced rig limited license or MMC endorsement as mover, three rig moves of bottom bear- master or mate must satisfy the re- ing units; and quirements in paragraph (a)(2) of this (3) Certifies that one of the rig moves section and have at least 84 days of required under paragraph (k)(2) of this service as ballast control operator or section was completed within 1 year barge supervisor trainee. preceding the date of application. § 11.474 National officer endorsements § 11.472 National officer endorsements as ballast control operator. as barge supervisor. (a) To qualify for an endorsement as (a) To qualify for an endorsement as ballast control operator (BCO), an ap- barge supervisor (BS), an applicant plicant must— must— (1) Present evidence of one of the fol- (1) Present evidence of one of the following: lowing: (i) One year of employment assigned (i) Three years of employment as- to MODUs, including at least 28 days of signed to MODUs including at least 168 service as a trainee under the super- days of service as driller, assistant vision of an individual holding a li- driller, toolpusher, assistant tool push- cense or MMC endorsement as ballast er, mechanic, electrician, crane oper- control operator. ator, subsea specialist, ballast control (ii) A degree from a program in engi- operator, or equivalent supervisory po- neering or engineering technology that sition on MODUs. At least 84 days of is accredited by the Accreditation that service must have been as a bal- Board for Engineering and Technology last control operator, or barge super- (ABET). The National Maritime Center visor trainee. (ii) A degree from a program in engi- will give consideration to accepting neering or engineering technology that education credentials from programs is accredited by the Accreditation having other than ABET accreditation. Board for Engineering and Technology An applicant qualifying through a de- (ABET). The National Maritime Center gree program must also have at least 28 will give consideration to accepting days of service as a trainee under the education credentials from programs supervision of an individual holding a having other than ABET accreditation. license or MMC endorsement as ballast An applicant qualifying through a de- control operator; and gree program must also have at least (2) Present evidence of training 168 days of service as driller, assistant course completion as follows: driller, toolpusher, assistant (i) A certificate from a Coast Guard- toolpusher, mechanic, electrician, approved stability course approved for crane operator, subsea specialist, bal- barge supervisor or ballast control op- last control operator, or equivalent su- erator.

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(ii) A certificate from a Coast Guard- (g) An applicant for renewal of a li- approved survival suit and survival cense or MMC that does not need a craft training course. radar observer endorsement may renew (iii) A certificate from a firefighting without meeting the requirements for training course as required by the endorsement. However, a radar en- § 11.201(h) of this part. dorsement will not be placed on the (b) An applicant for an endorsement MMC unless the mariner submits a as BCO who holds an unlimited license course completion certificate or a copy or MMC endorsement as master, mate, of the certificate from an approved chief engineer, or assistant engineer radar course. must satisfy the requirements in para- (h) An applicant seeking to raise the graph (a)(2) of this section and have at grade of a license or MMC endorsement least 28 days of service as a trainee or increase its scope, where the in- under the supervision of an individual creased grade or scope requires a radar holding an endorsement as BCO. observer certificate, may use an expired certificate to fulfill that require- § 11.480 Radar observer. ment. However, a radar endorsement (a) This section contains the require- will not be placed on the MMC unless ments that an applicant must meet to the mariner submits a course comple- qualify as a radar observer. tion certificate or a copy of the certifi- (b) If an applicant meets the require- cate from an approved radar course. ments of this section, one of the following radar observer endorsements § 11.482 Assistance towing. will be added to his or her MMC: (a) This section contains the require- (1) Radar observer (unlimited). ments to qualify for an endorsement (2) Radar observer (inland waters and authorizing a mariner to engage in as- Gulf Intercoastal waterways (GIWW)). sistance towing. Except as noted in (3) Radar observer (rivers). this paragraph, holders of MMC officer (c) Radar observer (unlimited) is and OUPV endorsements must have an valid on all waters. Radar observer (in- assistance towing endorsement to en- land waters and GIWW) is valid only gage in assistance towing. Holders of for those waters other than the Great endorsements as master or mate (pilot) Lakes covered by the Inland Naviga- of towing vessels or master or mate en- tional Rules. Radar observer (rivers) is dorsements authorizing service on invalid only on any river, canal, or simi- spected vessels of 200 GRT or more do lar body of water designated by the not need the assistance towing en- OCMI, but not beyond the boundary dorsement. line. (b) An applicant for an assistance (d) Except as provided by paragraph towing endorsement must pass a writ- (e) of this section, each applicant for a ten examination or complete a Coast radar observer endorsement or for re- Guard-approved course demonstrating newal of a radar observer endorsement his or her knowledge of assistance tow- must complete the appropriate course ing safety, equipment, and procedures. approved by the Coast Guard, receive (c) The holder of a license or MMC the appropriate certificate of training, for master, mate, or operator endorsed and present the certificate or a copy of for assistance towing is authorized to the certificate to the Coast Guard in engage in assistance towing on any person, by mail, fax, or other elec- vessel within the scope of the license or tronic means. MMC. (e) A radar observer endorsement (d) The period of validity of the en- issued under this section is valid for 5 dorsement is the same as the license or years from the date of issuance of the MMC on which it is included, and it certificate of training from a course may be renewed with the MMC. approved by the Coast Guard. (f) A mariner may maintain the va- § 11.491 National officer endorsements lidity of a radar observer endorsement for service on offshore supply ves- by completing a refresher or re-certifi- sels. cation course approved for that pur- (a) Each officer endorsement for serv- pose. ice on offshore supply vessels (OSVs)

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authorizes service on OSVs as defined In no case will the limitation exceed in 46 U.S.C. 2101(19) and as interpreted 10,000 GRT/GT for OSVs unless the ap- under 46 U.S.C. 14104(b), subject to any plicant meets the full requirements for restrictions placed on the license or an unlimited tonnage endorsement. MMC. (d) A person holding an endorsement (b) For those officers who previously as master (OSV) may qualify for an received a 500 GRT limitation on their STCW endorsement, according to national officer endorsement due to the §§ 11.305 and 11.311 of this part. definition of OSV existing before Octo- (e) The Coast Guard may exempt an ber 15, 2010, the limitation will be applicant from meeting any require- raised to 1,600 GRT to be consistent ment under STCW Regulation II/2 (in- with other national officer endorse- corporated by reference, see § 11.102 of ments. this part) that the Coast Guard determines to be inappropriate or unneces- § 11.493 Master (OSV). sary for service on an OSV, or that the (a) The minimum service required to applicant meets under the equivalency qualify an applicant for an endorse- provisions of Article IX of STCW. ment as master (OSV) of offshore sup- [USCG–2004–17914, 78 FR 77909, Dec. 24, 2013, ply vessels less than 1,600 GRT/3,000 GT as amended by USCG–2014–0688, 79 FR 58277, is 24 months of total service as mate, Sept. 29, 2014] chief mate, or master of ocean or near- coastal and/or Great Lakes on self-pro- § 11.495 Chief mate (OSV). pelled vessels of more than 100 GRT. (a) The minimum service required to Service on inland waters may sub- qualify an applicant for an endorse- stitute for up to 50 percent of the re- ment as chief mate (OSV) of offshore quired service. At least one-half of the supply vessels less than 1,600 GRT/3,000 required experience must be served as GT is 12 months of total service as chief mate. mate, chief mate, or master of ocean or (b) The minimum service required to near-coastal and/or Great Lakes on qualify an applicant for master (OSV) self-propelled vessels of more than 100 of 1,600 GRT/3,000 GT or more is 24 GRT. Service on inland waters may months of total service as mate, chief substitute for up to 50 percent of the mate, or master of ocean or near-coast- required service. al and/or Great Lakes on self-propelled (b) The minimum service required to vessels of more than 100 GRT. At least qualify an applicant for as chief mate one-half of the required experience (OSV) of 1,600 GRT/3,000 GT or more is must be served as chief mate and be ob- 12 months of total service as mate, tained on vessels of 1,600 GRT/3,000 GT chief mate, or master of ocean or near- or more. coastal and/or Great Lakes on self-pro- (c) If an applicant for master (OSV) pelled vessels of more than 100 GRT. At of more than 1,600 GRT/3,000 GT does least one-half of the required experi- not have the service on vessels of 1,600 ence must be obtained on vessels of GRT/3,000 GT or more as required by 1,600 GRT/3,000 GT or more. paragraph (b) of this section, a tonnage (c) If an applicant for as chief mate limitation will be placed on the officer (OSV) of 1,600 GRT/3,000 GT or more endorsement based on the applicant’s does not have the service on vessels of qualifying experience. The endorse- 1,600 GRT/3,000 GT or more as required ment will be limited to the maximum by paragraph (b) of this section, a ton- tonnage on which at least 25 percent of nage limitation will be placed on the the required experience was obtained, officer endorsement based on the appli- or 150 percent of the maximum tonnage cant’s qualifying experience. The en- on which at least 50 percent of the dorsement will be limited to the max- service was obtained, whichever is imum tonnage on which at least 25 per- higher. However, the minimum ton- cent of the required experience was ob- nage limitation calculated according tained, or 150 percent of the maximum to this paragraph will be 2,000 GRT. tonnage on which at least 50 percent of Limitations are in multiples of 1,000 the service was obtained, whichever is GRT using the next higher figure when higher. However, the minimum ton- an intermediate tonnage is calculated. nage limitation calculated according

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to this paragraph will be 2,000 GRT. Subpart E—Professional Require- Limitations are in multiples of 1,000 ments for National Engineer GRT using the next higher figure when Officer Endorsements an intermediate tonnage is calculated. In no case will the limitation exceed § 11.501 Grades and types of national 10,000 GRT/GT for OSVs unless the ap- engineer endorsements issued. plicant meets the full requirements for (a) National engineer endorsements an unlimited tonnage endorsement. are issued in the grades of— (d) A person holding an endorsement (1) Chief engineer; as chief mate (OSV) may qualify for an (2) First assistant engineer; STCW endorsement, according to (3) Second assistant engineer; §§ 11.307 and 11.313 of this part. (4) Third assistant engineer; (e) The Coast Guard may exempt an (5) Chief engineer (limited); applicant from meeting any require- (6) Assistant engineer (limited); (7) Designated duty engineer; ment under STCW Regulation II/2 (in- (8) Chief engineer uninspected fishing corporated by reference, § 11.102 of this industry vessels; part) that the Coast Guard determines (9) Assistant engineer uninspected to be inappropriate or unnecessary for fishing industry vessels; service on an OSV, or that the appli- (10) Chief engineer (MODU); cant meets under the equivalency pro- (11) Assistant engineer (MODU); visions of Article IX of STCW. (12) Chief engineer (OSV); and [USCG–2004–17914, 78 FR 77909, Dec. 24, 2013, (13) Assistant engineer (OSV). as amended by USCG–2014–0688, 79 FR 58277, (b) Engineer endorsements issued in Sept. 29, 2014] the grades of chief engineer (limited) and assistant engineer (limited) of § 11.497 Mate (OSV). steam, motor, and/or gas turbine-propelled vessels allow the holder to serve (a) The minimum service required to within any propulsion power limita- qualify an applicant for an endorse- tions on vessels of unlimited tonnage ment as mate (OSV) of offshore supply on inland waters and of less than 1,600 vessels is— GRT in ocean, near-coastal, or Great (1) Twenty-four months of total serv- Lakes service in the following manner: ice in the deck department of ocean or (1) Chief engineer (limited) may serve near-coastal self-propelled, sail, or aux- on oceans and near-coastal waters. iliary sail vessels. Service on Great (2) Assistant engineer (limited) may Lakes and inland waters may sub- serve on ocean and near-coastal waters. stitute for up to 1 year of the required (c) Engineer licenses or MMC en- service. One year of the required serv- dorsements issued in the grades of des- ice must have been on vessels of more ignated duty engineer of steam, motor, than 100 GRT; or and/or gas turbine-propelled vessels (2) One year of total service as part of allow the holder to serve within stated an approved or accepted mate (OSV) propulsion power limitations on vessels training program. of less than 500 GRT in the following manner: (b) A person holding an endorsement (1) Designated duty engineers limited as mate (OSV) may qualify for an to vessels of less than 1,000 HP or 4,000 STCW endorsement, according to HP may serve only on near-coastal or § 11.309 of this part. inland waters. (c) The Coast Guard may exempt an (2) Designated duty engineers-unlim- applicant from meeting any require- ited may serve on any waters. ment under STCW Regulation II/1 (in- (d) An engineer officer’s license or corporated by reference, see § 11.102 of MMC endorsement authorizes service this part) that the Coast Guard deter- on steam, motor, or gas turbine-pro- mines to be inappropriate or unneces- pelled vessels or may authorize all sary for service on an OSV, or that the modes of propulsion. applicant meets under the equivalency (e) A person holding an engineer li- provisions of Article IX of STCW. cense or MMC endorsement that is restricted to near-coastal waters may

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serve within the limitations of the li- power on which at least 50 percent of cense or MMC upon near-coastal, Great the service was obtained, whichever is Lakes, and inland waters. higher. Limitations are in multiples of 1,000 HP/750 kW, using the next higher § 11.502 General requirements for na- figure when an intermediate horse- tional engineer endorsements. power is calculated. When the limita- (a) For all original and raise of grade tion as calculated equals or exceeds of engineer endorsements, at least one- 10,000 HP/7,500 kW, an unlimited pro- third of the minimum service require- pulsion power endorsement is issued. ments must have been obtained on the (c) The following service on vessels of particular mode of propulsion for 4,000 HP/3,000 kW or more will be con- which the applicant seeks endorse- sidered qualifying for raising or remov- ment. ing the propulsion power limitations (b) If an applicant desires to add a placed on an engineer endorsement: propulsion mode (steam, motor, or gas (1) Six months of service in the high- turbine) to his or her endorsement est-grade endorsed: Removal of all pro- while holding a license or MMC officer pulsion power limitations. endorsement in that grade, the fol- (2) Six months of service as an engi- lowing alternatives are acceptable: neer officer in any capacity other than (1) Four months of service as an ob- the highest grade for which the appli- server on vessels of the new propulsion cant is licensed or endorsed: Removal mode. of all propulsion power limitations for (2) Four months of service as an engi- the grade in which service is performed neer officer at the operational level on and raised to the next higher grade en- vessels of the new propulsion mode. dorsement to the propulsion power of (3) Six months of service as oiler, the vessel on which service was per- fireman/watertender, or junior engi- formed. The total cumulative service neer on vessels of the new propulsion before and after issuance of the limited mode. engineer endorsement may be consid- (4) Completion of a Coast Guard-ap- ered in removing all propulsion power proved training course for this endorse- limitations. ment. (3) Twelve months of service as oiler or junior engineer while holding a li- § 11.503 Propulsion power limitations cense or MMC endorsement as third as- for national endorsements. sistant engineer or assistant engineer (a) Engineer endorsements of all (limited): Removal of all propulsion grades and types may be subject to pro- power limitations on third assistant pulsion power limitations. Other than engineer or assistant engineer’s (lim- as provided in § 11.524 of this subpart ited) endorsement. for the designated duty engineer (4) Six months of service as oiler or (DDE), the propulsion power limitation junior engineer while holding a license placed on a license or MMC endorse- or MMC endorsement as second assist- ment is based on the applicant’s quali- ant engineer: removal of all propulsion fying experience considering the total power limitations on third assistant shaft propulsion power of each vessel engineer’s endorsement. on which the applicant has served. (d) Raising or removing propulsion (b) When an applicant for an original power limitations based on service re- or raise of grade of an engineer en- quired by paragraph (c) of this section dorsement, other than a DDE, has not may be granted without further writ- obtained at least 50 percent of the re- ten examination, if the Coast Guard quired experience on vessels of 4,000 considers further examination unneces- HP/3,000 kW or more, a propulsion sary. power limitation is placed on the MMC based on the applicant’s qualifying ex- § 11.504 Application of deck service for perience. The endorsement is limited national limited engineer endorse- to the maximum propulsion power on ments. which at least 25 percent of the re- Service gained in the deck depart- quired experience was obtained, or 150 ment on vessels of appropriate tonnage percent of the maximum propulsion may substitute for up to 25 percent or

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6 months, whichever is less, of the serv- § 11.505 National engineer officer en- ice requirement for an endorsement as dorsements. chief engineer (limited), assistant engi- Figure 11.505(a) illustrates the na- neer (limited), or DDE. tional engineering endorsement structure, including crossover points. Figure 11.505(a)—Structure of national engineer officer endorsements for non-seagoing service.

§ 11.510 Service requirements for na- than first assistant engineer is accept- tional endorsement as chief engi- ed on a two-for-one basis to a max- neer of steam, motor, and/or gas imum of 6 months (2 days of service as turbine-propelled vessels. a second or third assistant engineer (a) The minimum service required to equals 1 day of creditable service). qualify an applicant for endorsement (b) A person holding this endorse- as chief engineer of steam, motor, and/ ment may qualify for an STCW en- or gas turbine-propelled vessels is— dorsement, according to §§ 11.325 and (1) One year of service as first assist- 11.331 of this part. ant engineer; or (2) One year of service while holding § 11.512 Service requirements for na- a license or MMC endorsement as first tional endorsement as first assistant engineer of steam, motor, and/ assistant engineer. A minimum of 6 or gas turbine-propelled vessels. months of this service must have been as first assistant engineer, and the re- (a) The minimum service required to mainder must be as assistant engineer. qualify an applicant for endorsement Service as an assistant engineer other as first assistant engineer of steam,

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motor, and/or gas turbine-propelled gines, together with 1 year of service in vessels is— the engineroom as oiler, fireman/ (1) One year of service as an assistant watertender, or junior engineer; engineer while holding a license or (3) Graduation from— MMC with a second assistant engineer (i) The U.S. Merchant Marine Acad- endorsement; or emy (engineering curriculum); (2) One year of service as a chief engi- (ii) The U.S. Coast Guard Academy neer (limited) and completing the ap- and completion of an onboard engineer propriate examination described in officer qualification program required subpart I of this part. by the service; (b) A person holding this endorse- (iii) The U.S. Naval Academy and ment may qualify for an STCW en- completion of an onboard engineer offi- dorsement, according to §§ 11.327, 11.331, cer qualification program required by and 11.333 of this part. the service; or (iv) The engineering class of a Mari- § 11.514 Service requirements for na- time Academy approved by and con- tional endorsement as second as- ducted under the rules prescribed by sistant engineer of steam, motor, the Maritime Administrator and listed and/or gas turbine-propelled vessels. in part 310 of this title; (4) Graduation from the marine engi- (a) The minimum service required to neering course of a school of tech- qualify an applicant for endorsement nology accredited by the Accreditation as second assistant engineer of steam, Board for Engineering and Technology, motor, and/or gas turbine-propelled together with 3 months of service in vessels is— the engine department of steam, (1) One year of service as an assistant motor, or gas turbine-propelled vessels; engineer, while holding a license or (5) Graduation from the mechanical MMC endorsement as third assistant or electrical engineering course of a engineer; or school of technology accredited by the (2) One year of service while holding ABET, together with 6 months of serv- a license or MMC endorsement as third ice in the engine department of steam, assistant engineer, which includes— motor, or gas turbine-propelled vessels; (i) A minimum of 6 months of service (6) Satisfactory completion of a com- as third assistant engineer; and prehensive apprentice engineers train- (ii) Additional service as a qualified ing program approved by the Coast member of the engine department, cal- Guard; or culated on a two-for-one basis. (7) One year of service as assistant (b) A person holding this endorse- engineer (limited) of self-propelled ves- ment may qualify for an STCW en- sels and completion of the appropriate dorsement, according to §§ 11.327, 11.329, examination described in subpart I of and 11.333 of this part. this part. (b) Experience gained in the deck de- § 11.516 Service requirements for na- partment on vessels of 100 GRT or more tional endorsement as third assist- can be credited for up to 3 months of ant engineer of steam, motor, and/ or gas turbine-propelled vessels. the service requirements under paragraph (a)(1) of this section. (a) The minimum service required to (c) A person holding this endorse- qualify an applicant for endorsement ment may qualify for an STCW en- as third assistant engineer of steam, dorsement, according to §§ 11.327, 11.329, motor, and/or gas turbine-propelled and 11,333 of this part. vessels is— (1) Three years of service in the § 11.518 Service requirements for na- engineroom of vessels, 2 years of which tional endorsement as chief engi- must have been as a qualified member neer (limited) of steam, motor, and/ of the engine department or equivalent or gas turbine-propelled vessels. position; (a) The minimum service required to (2) Three years of service as an ap- qualify an applicant for endorsement prentice to the machinist trade en- as chief engineer (limited) of steam, gaged in the construction or repair of motor, and/or gas turbine-propelled marine, locomotive, or stationary en- vessels is 5 years of total service in the

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engineroom of vessels. Two years of fied member of the engine department this service must have been as an engi- or equivalent position; and neer officer while holding an engineer (3) For designated duty engineer of officer endorsement. Thirty months of steam, motor, and/or gas turbine-pro- the service must have been as a quali- pelled vessels of less than 1,000 HP/750 fied member of the engine department kW, the applicant must have 1 year of or equivalent position. service in the engineroom. Six months (b) A person holding this endorse- of this service must have been as a ment may qualify for an STCW en- qualified member of the engine depart- dorsement, according to §§ 11.325 and ment or equivalent position. 11.331 of this part. (c) A person holding this endorsement may qualify for an STCW en- § 11.522 Service requirements for na- dorsement, according to §§ 11.325, 11.327, tional endorsement as assistant en- 11.329, and 11.331 of this part. gineer (limited) of steam, motor, and/or gas turbine-propelled ves- § 11.530 Endorsements as engineers of sels. uninspected fishing industry ves- (a) The minimum service required to sels. qualify an applicant for endorsement (a) This section applies to endorse- as assistant engineer (limited) of ments for chief and assistant engineers steam, motor, and/or gas turbine-proof all vessels, however propelled, which pelled vessels is 3 years of service in are documented to engage in the fish- the engineroom of vessels. Eighteen ing industry, with the exception of— months of this service must have been (1) Wooden ships of primitive build; as a qualified member of the engine de- (2) Unrigged vessels; and partment or equivalent position. (3) Vessels of less than 200 GRT. (b) A person holding this endorse- (b) Endorsements as chief engineer ment may qualify for an STCW en- and assistant engineer of uninspected dorsement, according to §§ 11.327, 11.329, fishing industry vessels are issued for and 11.333 of this part. ocean waters and with propulsion power limitations in accordance with § 11.524 Service requirements for na- the provisions of § 11.503 of this sub- tional endorsement as designated part. duty engineer (DDE) of steam, (c) For an endorsement as chief engi- motor, and/or gas turbine-propelled vessels. neer, the applicant must have served 4 years in the engineroom of vessels. One (a) DDE endorsements are issued in year of this service must have been as three levels of propulsion power limita- an assistant engineer officer or equiva- tions dependent upon the total service lent position. of the applicant and completion of an (d) For an endorsement as assistant appropriate examination. These en- engineer, an applicant must have dorsements are limited to vessels of served 3 years in the engine room of less than 500 GRT on certain waters as vessels. specified in § 11.501 of this subpart. (e) Two-thirds of the service required (b) The service requirements for en- under this section must have been on dorsements as DDE are— motor vessels. (1) For designated duty engineer of (f) Applicants may request an orally steam, motor, and/or gas turbine-pro- assisted examination on the subjects pelled vessels of unlimited propulsion listed in subpart I of this part. power, the applicant must have 3 years of service in the engineroom. Eighteen § 11.540 Endorsements as engineers of months of this service must have been mobile offshore drilling units as a qualified member of the engine de- (MODUs). partment or equivalent position; Endorsements as chief engineer (2) For designated duty engineer of (MODU) or assistant engineer (MODU) steam, motor, and/or gas turbine-pro- authorize service on certain self-propelled vessels of less than 4,000 HP/3,000 pelled or non-self-propelled units of un- kW, the applicant must have 2 years of limited propulsion power where author- service in the engineroom. One year of ized by the vessel’s certificate of in- this service must have been as a quali- spection.

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§ 11.542 Endorsement as chief engi- must have been assigned to self-pro- neer (MODU). pelled or propulsion assisted unit. (a) To qualify for an endorsement as (ii) Three years of employment in the chief engineer (MODU) an applicant machinist trade engaged in the con- must— struction or repair of diesel engines (1) Present evidence of one of the fol- and 1 year of employment assigned to lowing: MODUs in the capacity of mechanic, (i) Six years of employment assigned motorman, oiler, or equivalent. Nine to MODUs, including 3 years of employ- months of that employment must have ment as mechanic, motorman, subsea been assigned to self-propelled or pro- engineer, electrician, barge engineer, pulsion assisted units. toolpusher, unit superintendent, crane (iii) A degree from a program in ma- operator, or equivalent. Eighteen rine, mechanical, or electrical engi- months of that employment must have neering technology that is accredited been assigned to self-propelled or pro- by the Accreditation Board for Engi- pulsion assisted units. neering and Technology (ABET). The (ii) Two years of employment as- National Maritime Center will give signed to MODUs as an assistant engi- consideration to accepting education neer (MODU). Twelve months of that credentials from programs having employment must have been assigned other than ABET accreditation. An ap- to self-propelled or propulsion assisted plicant qualifying through a degree units; and program must also have at least 6 (2) Present evidence of completion of months of employment in any of the a firefighting training course as re- capacities listed in paragraph (a)(1)(i) quired by § 11.201(h) of this part. of this section aboard self-propelled or (b) If an applicant successfully com- propulsion-assisted units; and pletes an examination and possesses (2) Present evidence of completion of the total required sea service for an en- a firefighting training course as re- dorsement as chief engineer (MODU), quired by § 11.201(h) of this part. but does not possess the required sea (b) If an applicant successfully com- service onboard self-propelled or pro- pletes an examination and possesses pulsion assisted units, the Coast Guard the total required sea service for an en- may issue the applicant an endorsement limited to non-self-propelled dorsement as an assistant engineer units. The Coast Guard may remove (MODU), but does not possess the re- the limitation upon presentation of quired sea service onboard self-pro- satisfactory evidence of the required pelled or propulsion assisted units, the self-propelled sea service and comple- Coast Guard may issue the applicant tion of any additional required exam- an endorsement limited to non-self- ination. propelled units. The Coast Guard may (c) A person holding this endorse- remove the limitation upon presen- ment may qualify for an STCW en- tation of the satisfactory evidence of dorsement, according to §§ 11.325, 11.327, the required self-propelled sea service and 11.331 of this part. and completion of any additional required examination. § 11.544 Endorsement as assistant en- (c) A person holding this endorse- gineer (MODU). ment may qualify for an STCW en- (a) To qualify for an endorsement as dorsement, according to §§ 11.329 and assistant engineer (MODU) an appli- 11.333 of this part. cant must— (1) Present evidence of one of the fol- § 11.551 Endorsements for service on lowing experience: offshore supply vessels. (i) Three years of employment as- Each endorsement for service on signed to MODUs including 18 months OSVs as chief engineer (OSV) or engi- of employment as mechanic, motor- neer (OSV) authorizes service on OSVs man, subsea engineer, electrician, as defined in 46 U.S.C. 2101(19) and as barge engineer, toolpusher, unit super- interpreted under 46 U.S.C. 14104(b), intendent, crane operator, or equiva- subject to any restrictions placed on lent. Nine months of that employment the MMC.

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§ 11.553 Chief engineer (OSV). (b) The minimum service required to (a) The minimum service required to qualify an applicant for an endorse- qualify an applicant for an endorsement as assistant engineer (OSV) of ment as chief engineer (OSV) is 4 years less than 4,000 HP/3,000 kW, is 2 years of of total service in the engineroom of service in the engineroom. One year of vessels. One year of this service must this service must have been as a QMED have been as an engineer officer while or equivalent position. holding an engineer officer endorse- (c) The minimum service required to ment. Two years of the service must qualify an applicant for an endorse- have been as a qualified member of the ment as assistant engineer (OSV) of engine department or equivalent posi- less than 1,000 HP/750 kW is 1 year of tion. service in the engineroom. Six months (b) If an applicant has not obtained of this service must have been as a at least 50 percent of the required expe- QMED or equivalent position. rience on vessels of 4,000 HP/3,000 kW or (d) A person holding an endorsement more, a propulsion power limitation is as assistant engineer (OSV) may qual- placed on the MMC based on the appli- ify for an STCW endorsement, accord- cant’s qualifying experience. The en- ing to §§ 11.329 and 11.333 of this part. dorsement is limited to the maximum (e) The Coast Guard may exempt an propulsion power on which at least 25 applicant from meeting any require- percent of the required experience was ment under STCW Regulation III/1 (in- obtained, or 150 percent of the max- corporated by reference, see § 11.102 of imum propulsion power on which at this part) that the Coast Guard deter- least 50 percent of the service was ob- mines to be inappropriate or unneces- tained, whichever is higher. Limita- sary for service on an OSV, or that the tions are in multiples of 1,000 HP/750 applicant meets under the equivalency kW, using the next higher figure when provisions of Article IX of STCW. an intermediate propulsion power is [USCG–2004–17914, 78 FR 77909, Dec. 24, 2013, calculated. When the limitation as cal- as amended by USCG–2014–0688, 79 FR 58277, culated equals or exceeds 10,000 HP/ Sept. 29, 2014] 7,500 kW, an unlimited propulsion power endorsement is issued. (c) A person holding an endorsement Subpart F—Credentialing of Radio as chief engineer (OSV) may qualify for Officers an STCW endorsement, according to §§ 11.325, 11.327, and 11.331 of this part. § 11.601 Applicability. (d) The Coast Guard may exempt an This subpart provides for endorse- applicant from meeting any requirement as radio officers for employment ment under STCW Regulation III/2 (in- on vessels, and for the issue of STCW corporated by reference, see § 11.102 of endorsements for those qualified to this part) that the Coast Guard deter- serve as radio operators on vessels sub- mines to be inappropriate or unneces- ject to the provisions on the Global sary for service on an OSV, or that the Maritime Distress and Safety System applicant meets under the equivalency (GMDSS) of Chapter IV of SOLAS (in- provisions of Article IX of STCW. corporated by reference, see § 11.102 of this part). § 11.555 Assistant engineer (OSV). (a) The minimum service required to § 11.603 Requirements for radio offi- qualify an applicant for an endorse- cers’ endorsements. ment as assistant engineer (OSV) of Each applicant for an original en- unlimited propulsion power is— dorsement or renewal of license must (1) Three years of service in the present a current first or second class engineroom. Eighteen months of this radiotelegraph operator license issued service must have been as a qualified by the Federal Communications Com- member of the engine department mission. The applicant must enter on (QMED) or equivalent position; or the endorsement application form the (2) One year of total service as part of number, class, and date of issuance of an approved or accepted assistant engi- his or her Federal Communications neer (OSV) training program. Commission license.

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§ 11.604 Requirements for an STCW watchkeeping duties under the super- endorsement for Global Maritime vision of the master or a qualified offi- Distress and Safety System cer. (GMDSS) radio operators. (ii) At least 12 months of the 18 Each applicant for an original en- months of service required in para- dorsement must present a certificate of graph (a)(1)(i) of this section must be completion from a Coast Guard-ap- on vessels operating on the class of wa- proved course for operator of radio in ters for which pilotage is desired. the GMDSS meeting the requirements (2) River routes. The applicant must of Section A–IV/2 of the STCW Code have at least 36 months of service in (incorporated by reference, see § 11.102 the deck department of any vessel in- of this part). cluding at least 12 months of service on vessels operating on the waters of riv- Subpart G—Professional ers while the applicant is performing Requirements for Pilots bridge watchkeeping duties under the supervision of the master or a qualified § 11.701 Scope of pilot endorsements. officer. (a) An applicant for an endorsement (3) Canal and small lakes routes. The as first-class pilot need not hold any applicant must have at least 24 months other officer endorsement issued under of service in the deck department of this part. any vessel including at least 8 months (b) The issuance of an endorsement of service on vessels operating on ca- as first-class pilot to an individual nals or small lakes. qualifies that individual to serve as (b) A graduate of the Great Lakes pilot over the routes specified on the Maritime Academy in the deck class endorsement, subject to any limita- meets the service requirements of this tions imposed under paragraph (c) of section for an endorsement as first- this section. class pilot on the Great Lakes. (c) The OCMI issuing an endorsement (c) Completion of an approved or ac- as first-class pilot imposes appropriate cepted pilot training course may be limitations commensurate with the ex- substituted for a portion of the service perience of the applicant, with respect requirements of this section in accord- to class or type of vessel, tonnage, ance with § 10.404 of this subchapter. route, and waters. Additionally, roundtrips made during (d) A license or MMC endorsement this training may apply toward the issued for service as a master, mate, or route familiarization requirements of operator of uninspected towing vessels § 11.705 of this subpart. An individual authorizes service as a pilot under the using substituted service must have at provisions of § 15.812 of this subchapter. least 9 months of shipboard service. Therefore, first-class pilot endorse- (d) An individual holding a license or ments will not be issued with tonnage MMC endorsement as master or mate limitations of 1,600 GRT or less. of inspected self-propelled vessels of more than 1,600 GRT meets the service § 11.703 Service requirements. requirements of this section for an en- (a) The minimum service required to dorsement as first-class pilot. qualify an applicant for an endorsement as first-class pilot is predicated § 11.705 Route familiarization require- upon the nature of the waters for which ments. pilotage is desired. (a) The Officer in Charge, Marine In- (1) General routes (routes not restricted spection (OCMI) has jurisdiction and to rivers, canals and small lakes. The ap- determines within the range limita- plicant must have at least 36 months of tions specified in this section, the num- service in the deck department of self- ber of roundtrips required to qualify an propelled vessels navigating on oceans, applicant for a particular route, con- coastwise, and Great Lakes, or bays, sidering the following: sounds, and lakes other than the Great (1) The geographic configuration of Lakes, as follows: the waterway. (i) Eighteen months of the 36 months (2) The type and size of vessels using of service must be performing bridge the waterway.

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(3) The abundance or absence of aids § 11.707 Examination requirements. to navigation. (a) An applicant for an endorsement (4) The background lighting effects. as first-class pilot, except as noted in (5) The known hazards involved, in- paragraph (b) of this section, is re- cluding waterway obstructions or con- quired to pass the examination de- strictions such as bridges, narrow scribed in subpart I of this part. channels, or sharp turns. (b) An applicant for an extension of (6) Any other factors unique to the route, or an applicant holding a license route that the OCMI deems appro- or MMC endorsement as master or priate. mate authorized to serve on vessels of (b) An applicant holding no other more than 1,600 GRT seeking an en- deck officer endorsement seeking an dorsement as first-class pilot, is re- endorsement as first-class pilot must quired to pass those portions of the ex- furnish evidence of having completed a amination described in subpart I of this minimum number of roundtrips, while part that concern the specific route for serving as quartermaster, wheelsman, which endorsement is sought. able seaman, apprentice pilot, or in an equivalent capacity, standing regular § 11.709 Annual physical examination watches at the wheel or in the pilot requirements. house as part of routine duties, over (a) This section applies only to an in- the route sought. Evidence of having dividual who pilots a vessel of 1,600 completed a minimum number of GRT or more. roundtrips while serving as an ob- (b) Every person holding a license or server, properly certified by the master MMC endorsement as first-class pilot and/or pilot of the vessel, is also ac- must have a thorough physical exam- ceptable. The range of roundtrips for ination each year, to be completed by an endorsement is a minimum of 12 the first day of the month following roundtrips and a maximum of 20 the anniversary of the individual’s roundtrips. An applicant may have ad- most recently completed Coast Guard- ditional routes added to the first-class required physical examination. Every pilot endorsement by meeting the re- other year, in accordance with the quirements in paragraph (c) of this sec- medical certificate requirements in tion. § 10.301(b) of this subchapter, the re- (c) An applicant who currently holds sults of the physical examination must a deck officer license or MMC endorse- be recorded on a CG–719K form and sub- ment seeking an endorsement as first- mitted to the Coast Guard no later class pilot for a particular route must than 30 calendar days after completion furnish evidence of having completed of the physical examination. the number of roundtrips over the (c) Each annual physical examination route, specified by the OCMI, within must meet the requirements specified the range limitations of this para- in 46 CFR, part 10, subpart C and be re- graph, for the particular grade of exist- corded on a CG–719–K. ing license or MMC endorsement held. (d) An individual’s first-class pilot The range of roundtrips for an endorse- endorsement becomes invalid on the ment is a minimum of eight roundtrips first day of the month following the and a maximum of 15 roundtrips. anniversary of the individual’s most re- (d) Unless determined impracticable cently completed Coast Guard-required by the OCMI, 25 percent of the physical examination, if the person roundtrips required by the OCMI under does not meet the physical examina- this section must be made during the tion requirement as provided in para- hours of darkness. graph (b) of this section. The individual (e) One of the roundtrips required by may not operate under the authority of the OCMI under this section must be that endorsement until a physical ex- made over the route within the 6 amination has been satisfactorily com- months immediately preceding the pleted. date of application. § 11.711 Tonnage requirements. [USCG–2004–17914, 78 FR 77909, Dec. 24, 2013, as amended by USCG–2004–17914, 79 FR 55657, (a) In order to obtain a first-class Sept. 17, 2014] pilot endorsement authorizing service

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on vessels of unlimited tonnage over a isfied or not has no effect on the re- particular route, the applicant must newal of other licenses or MMC en- have sufficient experience on vessels of dorsements. Roundtrips made within more than 1,600 GRT. the 90-day period preceding renewal (b) For purposes of this section, an will be valid for the duration of the re- applicant is considered to have suffi- newed license or MMC endorsement. cient experience if the applicant has 18 (b) For certain long or extended months of experience as master, mate, routes, the OCMI may, at his or her quartermaster, wheelsman, able sea- discretion, allow the re-familiarization man, apprentice pilot, or in an equiva- requirement to be satisfied by review- lent capacity, standing regular watches ing appropriate navigation charts, at the wheel or in the pilothouse as coast pilots tide and current tables, part of routine duties, on vessels of local Notice to Mariners, and any other 1,600 GRT or more, and two-thirds of materials that would provide the pilot the minimum number of roundtrips re- with current knowledge of the route. quired for the route have been on ves- Persons using this method of re-famil- sels of 1,600 GRT or more. iarization must certify, when applying (c) If an applicant does not have suf- for renewal of their license or MMC en- ficient experience on vessels of 1,600 dorsement, the material they have re- GRT/3,000 GT or more, the endorsement viewed and the dates on which this was will be for a limited tonnage until the accomplished. Review within the 90- applicant completes a number of addi- day period preceding renewal is valid tional roundtrips, as determined by the for the duration of the renewed MMC OCMI, within the range contained in endorsement. § 11.705(b) or (c) of this subpart, as appropriate on vessels of 1,600 GRT/3,000 GT or more. Subpart H—Registration of Staff (d) For purposes of this section, for Officers and Miscellaneous experience with respect to tonnage on Endorsements towing vessels, the combined gross tonnage of the towing vessels and the ves- § 11.801 Applicability. sels towed will be considered. However, This subpart provides for the reg- the Coast Guard may require that all istration of staff officers for employ- or a portion of the required number of ment on vessels documented or num- roundtrips be obtained on self-pro- bered under the laws of the United pelled vessels of 1,600 GRT or more, States. Staff officers must be reg- when the Coast Guard determines that istered if serving on most vessels in due to the nature of the waters and the ocean service or on the Great Lakes. overall experience of the applicant, self-propelled vessel experience is nec- § 11.803 Staff departments. essary to obtain a first-class pilot en- (a) Title 46 U.S.C. 8302 contains the dorsement that is not restricted to tug requirements for staff departments on and barge combinations. U.S. flag vessels. [USCG–2004–17914, 78 FR 77909, Dec. 24, 2013, (b) Title 46 U.S.C. 8302 does not apply as amended by USCG–2004–17914, 79 FR 55657, to— Sept. 17, 2014] (1) A fishing or whaling vessel or § 11.713 Requirements for maintaining yacht; current knowledge of waters to be (2) A vessel operated only on bays, navigated. sounds, inland waters, and lakes (other (a) If a first-class pilot has not served than the Great Lakes); and over a particular route within the past (3) A vessel ferrying passengers and 60 months, that person’s license or cars on the Great Lakes. MMC endorsement is invalid for that route, and remains invalid until the in- § 11.805 General requirements. dividual has made one re-familiariza- (a) The applicant for an endorsement tion round trip over that route, except as staff officer is not required to take as provided in paragraph (b) of this sec- any examination; however, the appli- tion. Whether this requirement is sat- cant must present to the Coast Guard a

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letter justifying the need for the en- Puerto Rico, or the District of Colum- dorsement. bia. (b) An applicant for a higher grade in (7) Marine physician assistant. Suc- the staff department must apply in the cessful completion of an accredited same manner as for an original en- course of instruction for a physician’s dorsement and must surrender the pre- assistant or nurse practitioner pro- vious Coast Guard-issued credentials gram. upon issuance of the new MMC. A staff (8) Hospital corpsman. A rating of at officer may serve in a lower grade of least hospital corpsman or health serv- service for which he or she is reg- ices technician, first class in the U.S. istered. Navy, U.S. Coast Guard, U.S. Marine (c) Title 46 U.S.C. 8302 addresses uni- Corps, or an equivalent rating in the forms for staff officers who are mem- U.S. Army (not less than Staff Ser- bers of the Naval Reserve. geant, Medical Department, U.S.A.), or (d) A duplicate MMC may be issued in the U.S. Air Force (not less than by the Coast Guard. (See § 10.229 of this Technical Sergeant, Medical Depart- subchapter.) ment, U.S.A.F.), and a period of satis- (e) An MMC is valid for a term of 5 factory service of at least 1 month in a years from the date of issuance. Proce- military hospital or U.S. Public Health dures for renewing endorsements are Service Hospital. found in § 10.227 of this subchapter. (b) Employment on shore in connec- (f) Each applicant for an original or a tion with a vessel’s business may be ac- higher grade of endorsement, as de- cepted instead of service aboard ves- scribed in paragraph (b) of this section, sels. Related shore employment is ac- must produce evidence of having passed cepted in the ratio of 2 months of shore a chemical test for dangerous drugs or service to 1 month of creditable service of qualifying for an exception from aboard vessels. testing in § 16.220 of this subchapter. An (c) In computing the length of service applicant who fails a chemical test for required of an applicant for an endorse- dangerous drugs will not be issued an ment, service of one season on vessels MMC. on the Great Lakes is counted as service of 1 year. § 11.807 Experience requirements for (d) In the event an applicant for an registry. endorsement, other than medical doc- (a) The applicant for a certificate of tor or professional nurse, presents evi- registry as staff officer must submit dence of other qualifications that, in evidence of experience as follows: the opinion of the Coast Guard, is (1) Chief purser. Two years of service equivalent to the experience require- aboard vessels performing duties relat- ments of this section and is consistent ing to work in the purser’s office. with the duties of a staff officer, the (2) Purser. One year of service aboard Coast Guard may issue the MMC. vessels performing duties relating to work in the purser’s office. § 11.821 High-speed craft type-rating. (3) Senior assistant purser. Six months (a) This section is only applicable to of service aboard vessels performing those persons who will be serving or duties relating to work in the purser’s have served upon those vessels built office. and operated in accordance with the (4) Junior assistant purser. Previous International Code of Safety for High experience not required. Speed Craft (HSC Code). (5) Medical doctor. A valid license as (b) To qualify for a high-speed craft physician or surgeon issued under the type-rating endorsement (TRE) for op- authority of a state or territory of the erating vessels to which the HSC Code United States, the Commonwealth of applies, an applicant must— Puerto Rico, or the District of Colum- (1) Hold a valid officer endorsement bia. for vessels of commensurate grade, ton- (6) Professional nurse. A valid license nage, route, and/or horsepower; and as a registered nurse issued under au- (2) Present evidence of successful thority of a state or territory of the completion of a Coast Guard-approved United States, the Commonwealth of type rating training program.

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(c) A separate TRE will be issued for tion A–I/12 of the STCW Code (incor- each type and class of high speed craft. porated by reference, see § 11.102 of this The original route will be as specified part). However, simulators installed or in the approved type rating program. brought into use before February 1, Additional routes may be added to an 2002, need not meet these performance existing TRE by completing at least 12 standards if they fulfill the objective of roundtrips over each route under the the assessment of competence or dem- supervision of a type-rated master on onstration of proficiency. the class of high speed craft the TRE will be valid for. Six of the trips must § 11.903 Officer endorsements requir- be made during the hours of darkness ing examinations. or a ‘‘daylight only’’ restriction will be (a) The following officer endorse- imposed. ments require examinations for (d) A TRE will be valid for 2 years. issuance: The expiration date of a TRE will not (1) Chief mate of ocean or near-coast- be changed due to the addition of addi- al self-propelled vessels of unlimited tional routes. tonnage (examined at the management (e) To renew a TRE, an applicant level). must provide evidence of— (2) Third mate of ocean or near-coast- (1) At least 6 months of service in the al self-propelled vessels of unlimited appropriate position on the type crafts tonnage (examined at the operational to which the TRE applies during the level). preceding 2 years, including at least 12 (3) Master of ocean or near-coastal roundtrips over each route, together self-propelled vessels of less than 1,600 with evidence of a completed revalida- GRT. tion assessment; or (4) Mate of ocean or near-coastal self- (2) Completion of an approved re- propelled vessels of less than 1,600 validation training program. GRT. [USCG–2004–17914, 78 FR 77909, Dec. 24, 2013, (5) Master of near-coastal vessels less as amended by USCG–2014–0688, 79 FR 58277, than 200 GRT. Sept. 29, 2014] (6) Mate of near-coastal vessels less than 200 GRT. Subpart I—Subjects of (7) Master of near-coastal vessels less Examinations than 100 GRT. (8) Mate of near-coastal vessels less § 11.901 General provisions. than 100 GRT. (a) Where required by § 11.903 of this (9) Master of Great Lakes and inland subpart, each applicant for an endorse- vessels of unlimited tonnage. ment listed in that section must pass (10) Mate of Great Lakes and inland an examination on the appropriate sub- vessels of unlimited tonnage. jects listed in this subpart. (11) Master of inland vessels of unlim- (b) If the endorsement is to be limited tonnage. ited in a manner that would render any (12) Master of river vessels of unlim- of the subject matter unnecessary or ited tonnage. inappropriate, the examination may be (13) Master of Great Lakes and in- amended accordingly by the Coast land/river vessels less than 500 GRT or Guard. Limitations that may affect the less than 1,600 GRT. examination content are as follows: (14) Mate of Great Lakes and inland/ (1) Restricted routes for reduced serv- river vessels less than 500 GRT or less ice officer endorsements (master or than 1,600 GRT. mate of vessels of less than 200 GRT, (15) Master of Great Lakes and in- OUPV, or master or mate (pilot) of land/river vessels less than 200 GRT. towing vessels). (16) Mate of Great Lakes and inland/ (2) Limitations to a certain class or river vessels less than 200 GRT. classes of vessels. (17) Master of Great Lakes and in- (c) Simulators used in assessments of land/river vessels less than 100 GRT. competence required by subpart C of (18) First-class pilot. this part must meet the appropriate (19) Apprentice mate (steersman) of performance standards set out in Sec- towing vessels.

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(20) Apprentice mate (steersman) of GRT, when upgrading from mate of towing vessels, limited. near-coastal self-propelled vessels of (21) Offshore Installation Manager. less than 200 GRT. Master of oceans (22) Barge Supervisor. self-propelled vessels of less than 200 (23) Ballast Control Operator. GRT would, however, require an exam- (24) Operator of uninspected pas- ination in celestial navigation. senger vessels. (4) Second mate of oceans or near- (25) Master of uninspected fishing in- coastal vessels when upgrading from dustry vessels. third mate of oceans or near-coastal (26) Mate of uninspected fishing in- vessels, provided the applicant has al- dustry vessels. (27) Master (OSV). ready been examined at the operational (28) Chief mate (OSV). level. (29) Mate (OSV). (5) Master of Great Lakes and inland (30) First assistant engineer (limited vessels, or river vessels of less than 200 or unlimited propulsion power). GRT when upgrading from mate of less (31) Third assistant engineer (limited than 200 GRT on the same route. or unlimited propulsion power). (6) Chief engineer unlimited, provided (32) Chief engineer (limited) steam/ the applicant has already been exam- motor vessels. ined at the management level. (33) Assistant engineer (limited) (7) Chief engineer limited to service steam/motor vessels. on steam, motor, or gas turbine-pro- (34) Designated duty engineer steam/ pelled vessels of less than 10,000 HP/ motor vessels. 7,500 kW on near-coastal routes, pro- (35) Chief engineer (uninspected fish- vided the applicant has already been ing industry vessels). examined at the management level. (36) Assistant engineer (uninspected fishing industry vessels). (8) Chief engineer limited to service (37) Chief engineer (MODU). on steam, motor, and/or gas turbine- (38) Assistant engineer (MODU). propelled vessels of less than 4,000 HP/ (39) Chief engineer (OSV). 3,000 kW on near-coastal routes, pro- (40) Assistant engineer (OSV). vided the applicant has already been (b) In paragraphs (a)(1) through (4), examined at the management level. and (a)(6), (7), (15), and (16) of this sec- (9) Second assistant engineer when tion, examinations will vary depending upgrading from third assistant engi- on route desired. neer, provided the applicant has al- (c) The following officer endorse- ready been examined at the operational ments do not require examinations: level. (1) Master of oceans or near-coastal vessels of unlimited tonnage when up- [USCG–2004–17914, 78 FR 77909, Dec. 24, 2013, grading from MMC officer endorse- as amended by USCG–2014–0688, 79 FR 58277, ments, or a license as chief mate of Sept. 29, 2014] oceans or near-coastal vessels of un- § 11.910 Subjects for deck officer en- limited tonnage, provided the appli- dorsements. cant has already been examined at the management level. Table 1 to § 11.910 gives the codes used (2) Master of oceans or near-coastal in Table 2 to § 11.910 for all deck offi- vessels of unlimited tonnage when add- cers. Table 2 to § 11.910 indicates the ex- ing an endorsement as offshore instal- amination subjects for each endorse- lation manager (OIM). ment, by code number. Figures in the (3) Master of oceans or near-coastal body of Table 2 to § 11.910, in place of self-propelled vessels of less than 200 the letter ‘‘x’’, refer to notes.

TABLE 1 TO § 11.910—CODES FOR DECK OFFICER ENDORSEMENTS

Deck Officer Endorsements 1. Master/chief mate, oceans/near-coastal, unlimited tonnage. 2. Master, oceans/near-coastal, less than 500 GRT and less than 1,600 GRT. 3. Second mate/third mate, oceans/near-coastal, unlimited tonnage, and mate less than 500 GRT and less than 1600 GRT, oceans/near-coastal.

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TABLE 1 TO § 11.910—CODES FOR DECK OFFICER ENDORSEMENTS—Continued 4. Master, oceans/near-coastal, and mate, near-coastal, less than 200 GRT (includes master, near-coastal, less than 100 GRT). 5. Operator, uninspected passenger vessels, near-coastal. 6. Operator, uninspected passenger vessels, Great Lakes/inland. 7. Apprentice mate, towing vessels, ocean (domestic trade) and near-coastal routes. 8. Apprentice mate (steersman), towing vessels, Great Lakes, and inland routes. 9. Steersman, towing vessels, Western Rivers. 10. Master, Great Lakes/inland, or master, inland, unlimited tonnage. 11. Mate, Great Lakes/inland, unlimited tonnage. 12. Master, Great Lakes/inland, less than 500 GRT and less than 1,600 GRT. 13. Mate, Great Lakes/inland, less than 500 GRT and less than 1,600 GRT. 14. Master or mate, Great Lakes/inland, less than 200 GRT (includes master, Great Lakes/inland, less than 100 GRT). 15. Master, rivers, unlimited tonnage. 16. Master, rivers, less than 500 GRT and less than 1,600 GRT. 17. Mate, rivers, less than 500 GRT and less than 1,600 GRT. 18. Master or mate, rivers, less than 200 GRT (includes master, rivers, less than 100 GRT). 19. Master, uninspected fishing industry vessels, oceans/near-coastal. 20. Mate, uninspected fishing industry vessels, oceans/near-coastal. 21. First-class pilot. 22. Master (OSV). 23. Chief mate (OSV). 24. Mate (OSV).

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[USCG–2004–17914, 78 FR 77909, Dec. 24, 2013, TABLE 1 TO § 11.920—CODES FOR MODU as amended by USCG–2014–0688, 79 FR 58277, ENDORSEMENTS Sept. 29, 2014]

§ 11.920 Subjects for MODU endorse- 1. OIM/Unrestricted. ments. 2. OIM/Surface Units Underway. 3. OIM/Surface Units on Location. Table 1 to § 11.920 gives the codes used 4. OIM/Bottom Bearing Units Underway. in Table 2 to § 11.920 for MODU endorse- 5. OIM/Bottom Bearing Units on Location. ments. Table 2 to § 11.920 indicates the 6. Barge Supervisor. examination subjects for each endorse- 7. Ballast Control Operator. ment by the code number.

TABLE 2 TO § 11.920—SUBJECTS FOR MODU LICENSES

Examination topics 1 2 3 4 5 6 7

Watchkeeping: COLREGS ...... X X ...... X ...... X ‘‘Basic Principles for Navigational Watch’’...... X X X X X X MODU obstruction lights ...... X ...... X ...... X X Meteorology and oceanography: Synoptic chart weather forecasting...... X X X X X X Characteristics of weather systems...... X X X X X X X Ocean current systems...... X X X X X X Tide and tidal current publications...... X X X X X X Stability, ballasting, construction and damage control: Principles of ship construction, structural members...... X X X X X X X Trim and stability...... X X X X X X X Damaged trim and stability countermeasures ...... X X X X ...... X X Stability and trim calculations...... X X X X ...... X X Load line requirements...... X X X X X X X Operating manual: Rig characteristics and limitations...... X X X X X X X Hydrostatics data...... X X X X ...... X X Tank tables...... X X X X X X X KG limitations...... X X X X ...... X X Severe storm instructions...... X X X X X X X Transit instructions...... X X ...... X ...... X X On-station instructions...... X ...... X ...... X X X Unexpected list or trim...... X X X X ...... X X Ballasting procedures...... X X X ...... X X Operation of bilge system...... X X X X ...... X X Leg loading calculations ...... X ...... X X ...... Completion of variable load form...... X X X X X X X Evaluation of variable load form...... X X X X X X X Emergency procedures...... X X X X X X X Maneuvering and handling: Anchoring and anchor handling ...... X X X ...... X Heavy weather operations...... X X X X X X X Mooring, positioning...... X X X X ...... X X Moving, positioning...... X X ...... X ...... X Fire prevention and firefighting appliances: Organization of fire drills...... X X X X X X X Classes and chemistry of fire...... X X X X X X X Firefighting systems...... X X X X X X X Firefighting equipment and regulations...... X X X X X X X Basic firefighting and prevention of fires...... X X X X X X X Emergency procedures and contingency plans: Temporary repairs...... X X X X ...... X Fire or explosion...... X X X X X X X Abandon unit...... X X X X X X X Man overboard...... X X X X X X X Heavy weather...... X X X X X X X Collision ...... X X X X X X X Failure of ballast control system ...... X X X ...... X X Mooring emergencies...... X ...... X ...... X X Blowouts ...... X ...... X ...... X X X H2S safety...... X ...... X ...... X X X General Engineering—Power plants and auxiliary systems: Marine engineering terminology...... X X X X X X X Engineering equipment, operations and failures...... X X X X X X Offshore drilling operations ...... X Deck seamanship—general: Transfer of personnel...... X X X X X X

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TABLE 2 TO § 11.920—SUBJECTS FOR MODU LICENSES—Continued

Examination topics 1 2 3 4 5 6 7

Support boats/helicopters...... X X X X X X Cargo stowage and securing...... X X X X X X Hazardous materials/dangerous goods precautions...... X X X X X X Mooring equipment...... X X X X X X Crane use procedures and inspections...... X X X X X X Medical care: Knowledge and use of: First aid...... X X X X X X X First response medical action...... X X X X X X X Maritime law and regulation: National maritime law: Certification and documentation of vessels ...... X X X X X ...... Ship sanitation...... X X X X X ...... Regulations for vessel inspection...... X X X X X ...... Pollution prevention regulations...... X X X X X X X Credentialing regulations...... X X X X X ...... Rules and regulations for MODUs...... X X X X X X International Maritime law: International Maritime Organization...... X X X X X ...... International Convention on Load Lines ...... X X X X ...... X MARPOL 73/78...... X X X X X ...... Personnel Management and Training: Ship’s business including: Required logs and recordkeeping...... X X X X X X Casualty reports and records...... X X X X X ...... Communications: Radio communications and FCC permit...... X X X X X X Radiotelephone procedures...... X X X X X X Lifesaving/Survival: ...... Lifesaving appliance operation (launching, boat handling).. X X X X X X X Procedures/rules for lifeboats, survival suits, personal flota- tion devices (PFDs), life rafts and emergency signals ..... X X X X X X X Emergency radio transmissions...... X X X X X X X Survival at sea...... X X X X X X X

§ 11.950 Examination subjects for engi- TABLE 1 TO § 11.950—CODES FOR ENGINEER neer officer endorsements. OFFICER ENDORSEMENTS—Continued Table 1 to § 11.950 gives the codes used 5. Designated duty engineer (unlimited). in Table 2 to § 11.950 for engineer officer 6. Designated duty engineer (4,000 HP). endorsements. Table 2 to § 11.950 indi- 7. Designated duty engineer (1,000 HP). cates the examination subjects for each 8. Chief engineer (uninspected fishing industry ves- endorsement by the code number. sels). 9. Assistant engineer (uninspected fishing industry TABLE 1 TO § 11.950—CODES FOR ENGINEER vessels). OFFICER ENDORSEMENTS 10. Chief engineer (MODU). 11. Assistant engineer (MODU). 12. Chief engineer (OSV unlimited). 1. First assistant engineer (unlimited). 13. Assistant engineer (OSV unlimited). 2. Third assistant engineer (unlimited). 14. Chief engineer (OSV 4,000 HP). 3. Chief engineer (limited). 15. Assistant engineer (OSV 4,000 HP). 4. Assistant engineer (limited).

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Subpart J—Recognition of Other determine the materiality of those ac- Parties’ STCW Certificates tions. (2) A signed report regarding an em- § 11.1001 Purpose of rules. ployer-conducted background check. The report must contain— (a) The rules in this subpart implement Regulation I/10 of the Inter- (i) A statement that the applicant national Convention on Standards of has successfully undergone an em- Training, Certification and ployer-conducted background check; Watchkeeping for Seafarers, 1978 as (ii) A description of the employer- amended (STCW) (incorporated by ref- conducted background check; and erence, see § 11.102 of this part) by es- (iii) All information derived from the tablishing requirements and procedures employer-conducted background check. for the recognition and endorsement of (b) If a ‘‘Certificate attesting rec- officer certificates of competence ognition’’ is issued to the applicant, issued by other Parties to STCW. the employer must maintain a detailed (b) Specific regulations on the use of record of the seaman’s total service on non-U.S. credentialed officers and all authorized U.S. flag vessels, and mariners with officer endorsements must make that information available (except those of master) are found in to the Coast Guard upon request. § 15.720 of this subchapter. (c) In addition to the initial material disciplinary actions report and the ini- § 11.1003 General requirements. tial employer-conducted background (a) The Coast Guard recognizes cer- check specified in paragraph (a) of this tificates only from countries that the section, the employer must submit an United States has assured itself comply annual material disciplinary actions with requirements of the STCW Con- report to update whether there have vention and STCW Code (incorporated been any material disciplinary actions by reference, see § 11.102 of this part). related to the applicant since the last (b) The Coast Guard will publish a material disciplinary actions report list of countries whose certificates it was submitted to the Coast Guard. will recognize. (d) The employer must also submit to (c) The Coast Guard will issue a the Coast Guard the applicant’s copy of ‘‘Certificate attesting recognition’’ to the following: an applicant after ensuring the validity (1) Base credential (certificate of and authenticity of the credential (cer- competency), as well as any other doc- tificate of competency) issued by his or umentary evidence of proficiency (such her country of origin. as Basic Training in accordance with (d) No application from a non-US cit- § 11.302 of this part, Basic/Advanced izen for a ‘‘Certificate attesting rec- Firefighting in accordance with § 11.303 ognition’’ issued pursuant to this sub- of this part, Survival Craft, etc.) to part will be accepted unless the appli- verify that the applicant meets the cant’s employer satisfies the require- manning requirements. The documents of § 11.1005 of this subpart. mentation must include any necessary official translation into the English § 11.1005 Employer application re- language. quirements. (2) Valid medical certificate. (a) The employer must submit the (3) Valid identification document, following to the Coast Guard, as a part such as a passport or Seaman’s Iden- of the applicant’s application for a tity Document (SID). ‘‘Certificate attesting recognition,’’ on (e) The employer is subject to the behalf of the applicant: civil penalty provisions specified in 46 (1) A signed report that contains all U.S.C. 8103(f) for any violation of this material disciplinary actions related to section. the applicant, such as, but not limited to, violence or assault, theft, drug and § 11.1007 Basis for denial. alcohol policy violations, and sexual An applicant for a ‘‘Certificate at- harassment, along with an explanation testing recognition’’ of an officer cer- of the criteria used by the employer to tificate issued by another party must—

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(a) Have no record of material dis- of section A–V/2 of the STCW Code (in- ciplinary actions during employment corporated by reference, see § 11.102 of on any U.S. flag vessel of the employer, this part) as follows: as verified in writing by the owner or (i) Masters, officers, and other per- managing operator of the U.S. flag ves- sonnel designated on the muster list to sels on which the applicant will be em- assist passengers in emergency situa- ployed; and tion onboard passenger ships must (b) Have successfully completed an have completed training in crowd man- employer-conducted background check, agement specified in section A–V/2 of to the satisfaction of both the em- the STCW Code. ployer and the Coast Guard. (ii) Personnel providing direct serv- § 11.1009 Restrictions. ice to passengers in passenger spaces onboard passenger ships must have (a) A ‘‘Certificate attesting recogni- completed the safety training specified tion’’ of an STCW certificate issued by in section A–V/2 of the STCW Code. another party to a non-resident alien (iii) Masters, chief engineer officers, under this subpart authorizes service chief mates, second engineer officers, only on vessels owned and/or operated in accordance with § 15.720 of this sub- and any person designated on muster chapter. lists of having responsibility for the (b) The certificate will be issued for safety of passengers in emergency situ- service only in the department for ations onboard passenger ships must which the application was submitted. have completed approved training in (c) No other certificate is authorized, crisis management and human behav- unless all applicable requirements of ior as specified in section A–V/2 of the this subpart and the STCW Convention STCW Code. (incorporated by reference, see § 11.102 (iv) Masters, chief engineer officers, of this part) are met, and the employer chief mates, second engineer officers, makes subsequent application for a and every person assigned immediate new endorsement. responsibility for embarking and dis- (d) This certificate is not valid for embarking passengers, loading, dis- service on U.S. vessels operating in charging or securing cargo, or closing U.S. waters. hull openings onboard Ro-Ro passenger ships must have completed approved Subpart K—Officers on a Pas- training in passenger safety, cargo senger Ship When on an Inter- safety, and hull integrity as specified national Voyage in section A–V/2 of the STCW Code; and (2) Hold documentary evidence as § 11.1101 Purpose of rules. proof of meeting these requirements The rules in this subpart establish re- through approved or accepted training. quirements for officers serving on pas- (b) Seafarers who are required to be senger ships as defined in § 11.1103 of trained in accordance with paragraph this subpart. (a) of this section must provide, at intervals not exceeding 5 years, evidence § 11.1103 Definitions. of maintaining the standard of com- Passenger ship in this subpart means petence. a ship carrying more than 12 pas- (c) The Coast Guard will accept on- sengers when on an international voy- board training and experience, through age. evidence of 1 year of sea service within the last 5 years, as meeting the re- § 11.1105 General requirements for of- quirements of paragraph (b) of this sec- ficer endorsements. tion. (a) To serve on a passenger vessel on (d) Personnel serving onboard small international voyages, masters, deck passenger vessels engaged in domestic, officers, chief engineers and engineer near-coastal voyages, as defined in officers, must— § 11.301(h) of this subchapter, are not (1) Meet the appropriate require- subject to any obligation for the pur- ments of the STCW Regulation V/2 and pose of this STCW requirement.

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PART 12—REQUIREMENTS FOR pulsion machinery of 750 kW/1,000 HP or more. RATING ENDORSEMENTS 12.613 Requirements to qualify for an STCW endorsement in proficiency in survival Subpart A—General craft and rescue boats other than fast rescue boats (PSC). Sec. 12.615 Requirements to qualify for an STCW 12.101 Purpose. endorsement in proficiency in survival 12.103 Incorporation by reference. craft and rescue boats other than life- 12.105 Paperwork approval. boats and fast rescue boats-limited (PSC- Subpart B—General Requirements for limited). 12.617 Requirements to qualify for an STCW Rating Endorsements endorsement in proficiency in fast rescue 12.201 General requirements for national boats. and STCW rating endorsements. 12.619 Requirements to qualify for an STCW 12.203 Creditable service and equivalents for endorsement as medical first-aid pro- national and STCW ratings endorse- vider. ments. 12.621 Requirements to qualify for an STCW 12.205 Examination procedures and denial of endorsement as person in charge of med- rating and STCW endorsements. ical care. 12.623 Requirements to qualify for an STCW Subpart C [Reserved] endorsement as Global Maritime Distress and Safety System (GMDSS) at-sea Subpart D—Requirements for National maintainer. Deck Rating Endorsements 12.625 Requirements to qualify for an STCW endorsement as vessel personnel with 12.401 General requirements for able seaman designated security duties. (A/B) endorsements. 12.627 Requirements to qualify for an STCW 12.403 Service or training requirements for endorsement for security awareness. able seaman (A/B) endorsements. 12.405 Examination and demonstration of Subpart G—Entry-Level National Ratings ability for able seaman (A/B) endorse- and Miscellaneous Ratings ments. 12.407 General requirements for lifeboatman 12.701 Credentials required for entry-level endorsements. and miscellaneous ratings. 12.409 General requirements for 12.703 General requirements for entry-level lifeboatman-limited endorsements. ratings. 12.705 Endorsements for persons enrolled in Subpart E—Requirements for National a Maritime Administration approved Engineer Rating Endorsements training program. 12.707 Student observers. 12.501 General requirements for a qualified 12.709 Apprentice engineers. member of the engine department 12.711 Apprentice mate. (QMED). 12.503 Service or training requirements. Subpart H—Non-Resident Alien Members 12.505 Examination requirements. of the Steward’s Department on U.S. Subpart F—Requirements for STCW Rating Flag Large Passenger Vessels Endorsements 12.801 Purpose. 12.803 General requirements. 12.601 General requirements for STCW rat- 12.805 Employer requirements. ing endorsements. 12.807 Basis for denial. 12.602 Basic training. 12.809 Citizenship and identity. 12.603 Requirements to qualify for an STCW 12.811 Restrictions. endorsement as able seafarer-deck. 12.813 Alternative means of compliance. 12.605 Requirements to qualify for an STCW endorsement as ratings forming part of a navigational watch (RFPNW). Subpart I—Crewmembers on a Passenger 12.607 Requirements to qualify for an STCW Ship on an International Voyage endorsement as rating as able seafarer- 12.901 Purpose. engine. 12.903 Definitions. 12.609 Requirements to qualify for an STCW 12.905 General requirements. endorsement as rating forming part of an engineering watch (RFPEW). AUTHORITY: 31 U.S.C. 9701; 46 U.S.C. 2101, 12.611 Requirements to qualify for an STCW 2103, 2110, 7301, 7302, 7503, 7505, 7701, and 70105; endorsement as electro-technical rating Department of Homeland Security Delega- (ETR) on vessels powered by main pro- tion No. 0170.1.

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SOURCE: USCG–2004–17914, 78 FR 77975, Dec. (1) The Seafarers’ Training, Certifi- 24, 2013, unless otherwise noted. cation and Watchkeeping Code, as amended, 2011 (the STCW Code), incor- Subpart A—General poration by reference approved for §§ 12.601, 12.602, 12.603, 12.605, 12.607, § 12.101 Purpose. 12.609, 12.611, 12.613, 12.615, 12.617, 12.619, (a) The purpose of this part is to pro- 12.621, 12.623, 12.811, and 12.905. vide— (2) [Reserved] (1) A comprehensive and adequate means of determining and verifying the § 12.105 Paperwork approval. professional qualifications an applicant must possess to be eligible for certifi- (a) This section lists the control cation to serve on merchant vessels of numbers assigned by the Office of Man- the United States; and agement and Budget under the Paper- (2) A means of determining that an work Reduction Act of 1980 (Pub. L. 96– applicant is qualified to receive the en- 511) for the reporting and record- dorsement required by the Inter- keeping requirements in this part. national Convention on Standards of (b) The following control numbers Training, Certification and have been assigned to the sections indi- Watchkeeping for Seafarers, 1978, as cated: amended (the STCW Convention, or (1) OMB 1625–0079—46 CFR 12.217 and STCW). 12.301. (b) The requirements applicable to (2) [Reserved] approved and accepted training, training for a particular rating endorsement, and training and assessment as- Subpart B—General Requirements sociated with meeting the standards of for Rating Endorsements competence established by the STCW Convention have been moved to 46 CFR § 12.201 General requirements for na- part 10, subpart D. tional and STCW rating endorsements. § 12.103 Incorporation by reference. (a) General. (1) An MMC issued to a (a) Certain material is incorporated deck or engineer officer will be en- by reference into this part with the ap- dorsed for all entry-level ratings and proval of the Director of the Federal any other ratings for which they qual- Register under 5 U.S.C. 552(a) and 1 ify under this part. An applicant for CFR part 51. To enforce any edition any STCW endorsement must hold the other than that specified in this sec- appropriate national endorsement, un- tion, the Coast Guard must publish a less otherwise specified. notice of change in the FEDERAL REG- (2) The authorized holder of any valid ISTER and the material must be avail- rating endorsement may serve in any able to the public. All approved mate- capacity in the staff department of a rial is available for inspection at the vessel, except in those capacities re- Coast Guard, Office of Operating and quiring a staff officer; except that Environmental Standards (CG–OES), whenever the service includes the han- 2100 Second Street SW., Stop 7126, dling of food, no person may be so em- Washington, DC 20593–7126, and is avail- ployed unless his or her credential able from the sources listed below. It is bears the food handler’s endorsement also available for inspection at the Na- tional Archives and Records Adminis- indicated by the notation ‘‘(F.H.)’’. tration (NARA). For information on (3) When an applicant meets the re- the availability of this material at quirements for certification set forth NARA, call 202–741–6030 or go to http:// in this part, the Coast Guard will issue www.archives.gov/federallregister/ the appropriate endorsement. codeloflfederallregulations/ (b) Physical and medical requirements. ibrllocations.html. The physical and medical requirements (b) International Maritime Organiza- applicable to the endorsements in this tion (IMO), 4 Albert Embankment, subpart are found in 46 CFR part 10, London SE1 7SR, England: subpart C.

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§ 12.203 Creditable service and equiva- (b) Categories. The following cat- lents for national and STCW ratings egories of able seaman endorsements endorsements. are established: Applicants for endorsements should (1) Able seaman—unlimited. refer to § 10.232 of this subchapter for (2) Able seaman—limited. information regarding requirements (3) Able seaman—special. for documentation and proof of sea (4) Able seaman—offshore supply ves- service. sels. (5) Able seaman-sail. § 12.205 Examination procedures and (6) Able seaman-fishing industry. denial of rating and STCW endorsements. (c) Requirements for certification. To qualify for an endorsement as able sea- (a) The examination fee set out in man, an applicant must— Table 1 to § 10.219(a) of this subchapter (1) Be at least 18 years of age; must be paid before the applicant may (2) Pass the prescribed physical and take the first section of the examina- medical examination requirements tion. specified in 46 CFR, part 10, subpart C; (b) Upon receipt of an application for a rating endorsement, the Coast Guard (3) Present evidence of having passed will give any required examination as a chemical test for dangerous drugs or soon as practicable after determining of qualifying for an exemption from that the applicant is otherwise quali- testing as described in § 16.220 of this fied for the endorsement. subchapter; (c) An applicant for a rating endorse- (4) Meet the sea service or training ment who has been duly examined and requirements set forth in this part; failed the examination may seek reex- (5) Pass an examination for able sea- amination at any time after the initial man; examination. However, an applicant (6) Qualify for an endorsement as who fails an examination for the third lifeboatman or lifeboatman-limited; time must wait 90 days before re-test- and ing. All examinations and retests must (7) Speak and understand the English be completed within 1 year of approval language as would be required in per- for examination. forming the general duties of able sea- (d) Upon receipt of an application for man and during an emergency aboard an STCW endorsement, the Coast ship. Guard will evaluate the applicant’s (d) Additional requirements. (1) The qualifications. The Coast Guard will holder of an MMC or MMD endorsed for issue the appropriate endorsement the rating of A/B may serve in any rat- after determining that the applicant ing in the deck department without ob- satisfactorily meets all requirements taining an additional endorsement, for any requested STCW rating or qual- provided— ification. (i) That the holder possesses the appropriate A/B endorsement for the Subpart C [Reserved] service of the vessel; and (ii) That the holder possesses the ap- Subpart D—Requirements for Na- propriate STCW endorsement when tional Deck Rating Endorse- serving as an able seafarer-deck or Rat- ments ings forming part of the navigational watch on a seagoing ship. § 12.401 General requirements for able (2) After March 24, 2014, any MMC en- seaman (A/B) endorsements. dorsed as A/B will also be endorsed as (a) General. An A/B is any person lifeboatman or lifeboatman-limited, as below officer and above ordinary sea- appropriate. man who holds a merchant mariner (3) The A/B endorsement will clearly credential (MMC) or merchant mariner describe the type of rating that it rep- document (MMD) endorsed as A/B by resents (see paragraph (a) of this sec- the Coast Guard. tion).

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§ 12.403 Service or training require- allow a maximum of 3 days of deck ments for able seaman (A/B) en- service credit for each day of instruc- dorsements. tion. (a) The minimum service required to qualify for the various categories of en- § 12.405 Examination and demonstration of ability for able seaman (A/B) dorsement as able seaman is as follows: endorsements. (1) Able seaman—unlimited. Three years of service on deck on vessels op- (a) Before an applicant is issued an erating on oceans or on the Great endorsement as an A/B, he or she must Lakes. prove, to the satisfaction of the Coast (2) Able seaman—limited. Eighteen Guard, by oral or other means of exam- months of service on deck on vessels of ination, or by actual demonstration in 100 GRT or more which operate in a a Coast Guard-approved course, his or service not exclusively confined to the her knowledge of seamanship and the rivers and smaller inland lakes of the ability to carry out effectively all the United States. duties that may be required of an A/B, (3) Able seaman—special. Twelve including those of a lifeboatman or months of service on deck on vessels lifeboatman-limited. operating on oceans or the navigable (b) The examination, whether admin- waters of the United States, including istered orally or by other means, must the Great Lakes. be conducted only in the English lan- (4) Able seaman—offshore supply ves- guage and must consist of questions re- sels. Six months of service on deck on garding— vessels operating on oceans or on the (1) The applicant’s knowledge of nau- navigable waters of the United States, tical terms, use of the compass for including the Great Lakes. navigation, running lights, passing sig- (5) Able seaman—sail. Six months of nals, and fog signals for vessels on the service on deck on sailing school ves- high seas, inland waters, or Great sels, oceanographic research vessels Lakes, and distress signals; and powered primarily by sail, or equiva- (2) The applicant’s knowledge of com- lent sailing vessels operating on oceans mands in handling the wheel by obey- or on the navigable waters of the ing orders passed to him or her as United States, including the Great helmsman, and knowledge of the use of Lakes. the engine room telegraph. (6) Able seaman—fishing industry. Six (c) The applicant must provide evi- months of service on deck, not as a dence, to the satisfaction of the Coast processor, onboard vessels operating on Guard, of the knowledge of principal oceans or on the navigable waters of knots, bends, splices, and hitches in the United States, including the Great common use by actually making them. Lakes. (d) The applicant must demonstrate, (b) Approved training programs may to the satisfaction of the Coast Guard, be substituted for the required periods knowledge of pollution laws and regu- of service on deck as follows: lations, procedures for discharge con- (1) A graduate of a school ship may tainment and cleanup, and methods for be qualified for a rating endorsement disposal of sludge and waste material as A/B, without further service, upon from cargo and fueling operations. satisfactory completion of the program of instruction. For this purpose, § 12.407 General requirements for ‘‘school ship’’ is interpreted to mean an lifeboatman endorsements. institution that offers a complete ap- (a) General. Every person fulfilling proved program of instruction, includ- the manning requirements as ing a period of at-sea training, in the lifeboatman on any United States ves- skills appropriate to the rating of A/B. sel must hold an endorsement as (2) Training programs, other than lifeboatman. No endorsement as those classified as a school ship, may lifeboatman is required of any person be substituted for up to one-third of employed on any unrigged vessel, ex- the required service on deck. The Coast cept on a seagoing barge and on a tank Guard will determine the service/train- barge navigating waters other than riv- ing ratio for each program and may ers and/or canals.

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(b) Requirements for certification. (1) (i) Lifeboats and liferafts, the names To qualify for an endorsement as of their essential parts, and a descrip- lifeboatman, an applicant must— tion of the required equipment; (i) Be at least 18 years of age; (ii) The clearing away, swinging out, (ii) Pass the prescribed physical and and lowering of lifeboats and liferafts, medical examination requirements the handling of lifeboats under oars specified in 46 CFR, part 10, subpart C; and sails, including questions relative and to the proper handling of a boat in a (iii) Present evidence of having heavy sea; and passed a chemical test for dangerous (iii) The operation and functions of drugs or as having qualified for an ex- commonly used types of davits. emption for testing described in § 16.220 (6) An applicant, to be eligible for an of this subchapter. endorsement as lifeboatman, must be (2) To be eligible for an endorsement able to speak and understand the as lifeboatman, an applicant must English language as would be required meet one of the following sea service in the rating of lifeboatman and in an requirements: emergency aboard ship. (i) At least 6 months of sea service in any department of vessels and the suc- § 12.409 General requirements for cessful completion of an approved lifeboatman-limited endorsements. course. (a) General. Every person fulfilling (ii) At least 12 months of sea service the manning requirements for in any department of vessels on ocean, lifeboatman on any United States ves- coastwise, inland, and Great Lakes sel fitted with liferafts, but not fitted routes. with lifeboats, must hold an endorse- (3) Before an applicant is issued an ment as lifeboatman or as lifeboatman- endorsement as a lifeboatman, he or limited. No endorsement as she must prove, to the satisfaction of lifeboatman or lifeboatman-limited is the Coast Guard, by oral or other required of any person employed on means of examination, and by actual any unrigged vessel, except on a sea- practical demonstration of abilities, going barge and on a tank barge navi- his or her knowledge of seamanship gating waters other than rivers and/or and the ability to carry out effectively canals. all the duties that may be required of (b) Requirements for certification. (1) a lifeboatman. This requirement may To qualify for an endorsement as be met by completion of an approved lifeboatman-limited, an applicant course in paragraph (b)(2)(i) of this sec- must— tion, provided the course includes ac- (i) Be at least 18 years of age; tual practical demonstration of abili- (ii) Pass the prescribed physical and ties. medical examination requirements (4) The practical demonstration must specified in 46 CFR Part 10, subpart C; consist of a demonstration of the appli- and cant’s ability to— (iii) Present evidence of having (i) Take charge of a survival craft or passed a chemical test for dangerous rescue boat during and after launch; drugs or of having qualified for an ex- (ii) Operate a survival craft engine; emption for testing, as described in (iii) Demonstrate the ability to row § 16.220 of this subchapter. by actually pulling an oar in the boat; (2) An applicant, to be eligible for an (iv) Manage a survival craft and sur- endorsement as lifeboatman-limited, vivors after abandoning ship; must meet one of the following sea (v) Safely recover survival craft and service requirements: rescue boats; and (i) At least 12 months of sea service (vi) Use locating and communication in any department of vessels on ocean, devices. coastwise, inland, and Great Lakes (5) The examination, whether admin- routes. istered orally or by other means, must (ii) At least 6 months of sea service be conducted only in the English lan- in any department of vessels, and suc- guage and must consist of questions re- cessful completion of an approved garding— course.

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(3) Before an applicant is issued an MMC or MMD endorsed as QMED by endorsement as a lifeboatman-limited, the Coast Guard. he or she must prove, to the satisfac- (b) Categories. (1) Each QMED rating tion of the Coast Guard, by oral or must be endorsed separately, unless other means of examination, and by ac- the applicant qualifies for all QMED tual practical demonstration of abili- ratings, in which case the endorsement ties, his or her knowledge of seaman- will read ‘‘QMED—any rating.’’ The ship and ability to carry out effectively ratings are— all the duties that may be required of (i) Fireman/Watertender; a lifeboatman-limited. (ii) Oiler; (4) The practical demonstration must (iii) Junior engineer; consist of a demonstration of the appli- (iv) Electrician/Refrigerating engi- cant’s ability to— neer; and (i) Take charge of a rescue boat, liferaft, or other lifesaving apparatus dur- (v) Pumpman/Machinist. ing and after launch; (2) The Coast Guard will no longer (ii) Operate a rescue boat engine; issue original endorsements for deck (iii) Manage a survival craft and sur- engineer, deck/engine mechanic, or vivors after abandoning ship; engineman, or individual endorsements (iv) Safely recover rescue boats; and for refrigerating engineer, machinist, (v) Use locating and communication electrician, and pumpman. However, a devices. mariner who holds any of these en- (5) The examination, whether admin- dorsements may continue to renew istered orally or by other means, must them as long as he or she is otherwise be conducted only in the English lan- qualified. guage and must consist of questions re- (3) If the holder of an endorsement as garding— pumpman only or machinist only seeks (i) Liferafts, rescue boats, and other the combined endorsement of survival craft except lifeboats, the pumpman/machinist, the mariner must names of their essential parts, and a pass the examination described in description and use of the required Table 1 to § 12.505(c) of this subpart. equipment; (4) If the holder of an endorsement as (ii) The clearing away, launching, electrician only or refrigerating engi- and handling of rescue craft, except neer only seeks the combined endorse- lifeboats; and ment of electrician/refrigerating engi- (iii) The operation and functions of neer, the mariner must pass the exam- commonly used launching devices for ination described in Table 1 to rescue boats and survival craft other § 12.505(c) of this subpart. than lifeboats. (c) Requirements for certification. To (6) An applicant, to be eligible for an qualify for any endorsement as QMED, endorsement as lifeboatman-limited, an applicant must— must be able to speak and understand (1) Be at least 18 years of age; the English language as would be re- (2) Pass the prescribed physical and quired in the rating of lifeboatman- medical examination requirements limited and in an emergency aboard specified in 46 CFR Part 10, subpart C; ship. (3) Present evidence of having passed a chemical test for dangerous drugs or Subpart E—Requirements for Na- of having qualified for an exemption tional Engineer Rating En- from testing, as described in § 16.220 of dorsements this subchapter; (4) Meet the sea service or training § 12.501 General requirements for a requirements in § 12.503 of this subpart; qualified member of the engine de- (5) Pass an examination as QMED; partment (QMED). and (a) General. A qualified member of (6) Speak and understand the English the engine department is any person language as would be required in per- below officer and above the rating of forming the general duties of QMED coal passer or wiper, who holds an and during an emergency aboard ship.

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§ 12.503 Service or training require- be substituted for up to one-half of the ments. required service. The service/training (a) An applicant for an endorsement ratio for each program is determined as QMED must provide the Coast by the Coast Guard. Guard with proof of qualification based on 6 months of service in a rating at § 12.505 Examination requirements. least equal to that of wiper or coal (a) Before an applicant is issued an passer. endorsement as QMED in the rating of (b) Approved training programs may oiler, fireman/watertender, junior engi- be substituted for the required periods neer, pumpman/machinist, or elec- of service as follows: trician/refrigerating engineer, he or she (1) A graduate of a school ship may must prove, to the satisfaction of the qualify for a rating endorsement as Coast Guard, by oral or other means of QMED, without further service, upon satisfactory completion of the program examination, his or her knowledge of of instruction. For this purpose, school the subjects listed in paragraph (c) of ship is interpreted to mean an institu- this section. tion that offers a complete approved (b) The examination, whether admin- program of instruction, including a pe- istered orally or by other means, must riod of at-sea training, in the skills ap- be conducted only in the English lan- propriate to the rating of QMED. guage. (2) Training programs, other than (c) Table 1 to § 12.505(c) provides a list those classified as a school ship, may of subjects required.

TABLE 1 TO § 12.505(c)—EXAMINATION SUBJECTS FOR QMED RATINGS

Electrician/ Subjects Pumpman/ Fireman/ Oiler refrigerating Junior machinist watertender engineer engineer

General subjects: Auxiliary machinery...... X X X X X Basic safety procedures...... X X X X X Bearings ...... X ...... X X X Care of equipment and machine parts ...... X X X X X Deck machinery ...... X ...... X X Drawings and tables ...... X ...... X X Heat exchangers...... X X X X X Hydraulic principles ...... X ...... X X Instrumentation principles...... X X X X X Lubrication principles ...... X ...... X X X Maintenance procedures...... X X X X X Measuring instruments...... X X X X X Pipes, fittings, and valves ...... X X X X X Pollution prevention...... X X X X X Properties of fuel ...... X X ...... X Pumps, fans, and blowers ...... X ...... X X Refrigeration principles...... X X X Remote control equipment...... X X X X X Use of hand/power tools ...... X X X X X Watch duties ...... X X ...... X Electrical subjects: A/C circuits ...... X X Batteries ...... X X Calculations ...... X X Communication devices ...... X X D/C circuits ...... X X Distribution systems ...... X X Electronic principles ...... X X Generation equipment...... X X X Maintenance ...... X X X Measuring devices ...... X X Motor controllers ...... X X Motors ...... X X X Safety ...... X X X X X Troubleshooting ...... X Safety and environmental protection subjects: Communications ...... X X X X X

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TABLE 1 TO § 12.505(c)—EXAMINATION SUBJECTS FOR QMED RATINGS—Continued

Electrician/ Subjects Pumpman/ Fireman/ Oiler refrigerating Junior machinist watertender engineer engineer

Damage control...... X X X X X Elementary first aid...... X X X X X Emergency equipment...... X X X X X Environmental awareness...... X X X X X Fire prevention...... X X X X X Firefighting equipment...... X X X X X Firefighting principles...... X X X X X General safety...... X X X X X Hazardous materials...... X X X X X Shipboard equipment and systems subjects: Air conditioning ...... X X Ballast ...... X X X ...... X Bilge ...... X X X ...... X Compressed air...... X X X X X Desalination ...... X ...... X Fuel oil storage/transfer ...... X X ...... X Fuel treatment ...... X X ...... X Heating/ventilation ...... X ...... X X Lubrication ...... X ...... X X X Potable water ...... X ...... X Refrigeration ...... X X X Sanitary/sewage ...... X ...... X Steering ...... X X X Steam propulsion subjects: Auxiliary turbines ...... X X ...... X Boiler fundamentals ...... X X ...... X Combustion principles ...... X X ...... X Condensate systems ...... X X ...... X Drive systems ...... X X ...... X Feedwater systems ...... X X ...... X Fuel service systems ...... X X ...... X Maintenance ...... X X X ...... X Safety ...... X X X X X Steam fundamentals...... X X X ...... X Turbine fundamentals ...... X X ...... X Motor propulsion subjects: Air-charge systems ...... X ...... X Cooling water systems ...... X ...... X Diesel engine principles ...... X ...... X ...... X Drive systems...... X ...... X ...... X Fuel service systems ...... X ...... X Intake/exhaust ...... X ...... X Lubrication systems ...... X ...... X ...... X Starting systems ...... X ...... X Waste heat/auxiliary boiler ...... X ...... X

Subpart F—Requirements for STCW (4) Ratings forming part of a watch Rating Endorsements in a manned engineroom or designated to perform duties in a periodically un- § 12.601 General requirements for manned engineroom (RFPEW). STCW rating endorsements. (5) Electro-technical rating on ves- (a) General. An applicant for any sels powered by main propulsion ma- STCW endorsement must hold the ap- chinery of 750 kW/1,000 HP or more. propriate national endorsement, unless (6) Proficiency in survival craft and otherwise specified. The Coast Guard rescue boats, other than fast rescue will issue an STCW endorsement to boats (PSC). qualified applicants for any of the fol- (7) Proficiency in survival craft and lowing ratings or qualifications: rescue boats, other than lifeboats and (1) Able seafarer-deck. fast rescue boats (PSC-limited). (2) Ratings forming part of a naviga- (8) Proficiency in fast rescue boats. tional watch (RFPNW). (9) Medical first-aid provider. (3) Able seafarer-engine. (10) Person in charge of medical care.

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(11) GMDSS at-sea maintainer. (viii) Training program: Documenta- (12) Vessel personnel with designated tion of successful completion of an ap- security duties. proved training program. (13) Security awareness. (ix) Practical demonstration and prac- (b) Standard of competence. (1) The tical demonstration of competence: Docu- Coast Guard will accept one or more mentation of successful completion of methods listed in the STCW Code to assessments approved or accepted by demonstrate meeting the standard of the Coast Guard. competence in this subpart. See Col- (x) Practical test and practical experi- umn 3, ‘‘Methods for demonstrating ence: Documentation of successful com- competence,’’ of the Tables of Com- pletion of assessments approved or ac- petence in the STCW Code (incor- cepted by the Coast Guard. porated by reference, see § 12.103 of this (xi) Examination: Successful comple- part). The Coast Guard will accept the tion of a Coast Guard examination. following as evidence of meeting the (xii) Instruction or course: Documenta- standard of competence under each of tion of successful completion of a these methods: course of instruction offered by an ap- (i) In-service experience: Documenta- proved training school or facility. tion of successful completion of assess- (2) Knowledge components may be ments, approved or accepted by the documented by— Coast Guard, and signed by a qualified (i) Successful completion of the assessor, deck or engineering, as appro- Coast Guard examination for the asso- priate. ciated rating endorsement; (ii) Training ship experience: Docu- (ii) Successful completion of an ap- mentation of successful completion of proved course; or an approved training program involv- (iii) Successful completion of an ap- ing formal training and assessment on- proved program. board a training ship. (3) The Coast Guard will publish as- (iii) Simulator training: Documenta- sessment guidelines that should be tion of successful completion of train- used to document assessments that ing and assessment from a Coast demonstrate meeting the standard of Guard-approved course involving mari- competence, as required by paragraph time simulation. (b)(1) of this section. Organizations (iv) Laboratory equipment training: may develop alternative assessment Documentation of successful comple- documentation for demonstrations of tion of training and assessments from competence; however, such documenta- an approved training course or completion must be approved by the Coast tion certificate from an approved Guard prior to its use and submittal training school or facility. with an application. (v) Practical training or instruction: (c) Grandfathering. (1) Except as (A) Documentation of successful noted otherwise, each candidate who completion of assessment as part of applies for a credential based on ap- structured/formal training or instruc- proved or accepted training or ap- tion provided by an organization or proved seagoing service that was start- company as part of an accepted safety ed on or after March 24, 2014, or who ap- or quality management system; or plies for the MMC endorsement on or (B) Documentation of successful after January 1, 2017, must meet the re- completion of an approved training quirements of this part. course from a school or facility. (2) Except as noted by this subpart, (vi) Specialist training: Documenta- seafarers holding an STCW endorse- tion of successful completion of assessment prior to March 24, 2014, will not ment as part of a company training or be required to complete any additional specialized training provided by a mar- training required under this part to re- itime or equipment specialist. tain the STCW endorsements. (vii) Workshop skills training: Docu- (3) Except as noted otherwise, can- mentation of successful completion of didates who apply for a credential assessments or completion certificate based on approved or accepted training from an approved training program, or approved seagoing service that com- school or facility. menced before March 24, 2014, may

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qualify under the requirements of this (2) Fire prevention and firefighting, part existing before that date. This in- as set out in Table A–VI/1–2 of the cludes the assessments published prior STCW Code: to March 24, 2014, as well as the addi- (i) Using self-contained breathing ap- tional requirements for the STCW en- paratus. dorsement section. (ii) Performing a rescue in a smoke- (4) Except as noted by this subpart, filled space, using an approved smoke- the Coast Guard will continue to issue generating device aboard, while wear- STCW endorsements meeting the re- ing a breathing apparatus. quirements of this part existing before (3) Elementary first aid, as set out in March 24, 2014, for seafarers identified Table A–VI/1–3 of the STCW Code. in paragraph (c)(3) of this section, until (4) Personal safety and social respon- January 1, 2017. sibilities, as set out in Table A–VI/1–4 [USCG–2004–17914, 78 FR 77975, Dec. 24, 2013, of the STCW Code. as amended by USCG–2014–0688, 79 FR 58279, (d) The Coast Guard will only accept Sept. 29, 2014] evidence of approved assessments conducted ashore for the following areas: § 12.602 Basic training. (1) Personal survival techniques, as (a) Applicants seeking an STCW rat- set out in Table A–VI/1–1 of the STCW ing endorsement must provide evi- Code: dence, with their application, of meet- (i) Donning and use an immersion ing the standard of competence for suit. basic training as described below: (ii) Safely jumping from a height (1) Personal survival techniques, as into the water. set out in Table A–VI/1–1 of the STCW (iii) Righting an inverted liferaft Code (incorporated by reference, see while wearing a lifejacket. § 12.103 of this part). (iv) Swimming while wearing a life- (2) Fire prevention and firefighting, jacket. as set out in Table A–VI/1–2 of the (v) Keeping afloat without a life- STCW Code. jacket. (3) Elementary first aid, as set out in (2) Fire prevention and firefighting as Table A–VI/1–3 of the STCW Code. set out in Table A–VI/1–2 of the STCW (4) Personal safety and social respon- Code: sibilities, as set out in Table A–VI/1–4 (i) Using various types of portable of the STCW Code. fire extinguishers. (b) Every 5 years, seafarers qualified (ii) Extinguishing smaller fires. e.g., in accordance with § 12.601 (a) of this electrical fires, oil fires, and propane subpart must provide evidence of main- fires. taining the standard of competence for (iii) Extinguishing extensive fires basic training (BT). with water, using jet and spray nozzles. (c) The Coast Guard will accept on- (iv) Extinguishing fires with foam, board training and experience, through powder, or any other suitable chemical evidence of 1 year of sea service within agent. the last 5 years for the following areas: (v) Fighting fire in smoke-filled en- (1) Personal survival techniques, as closed spaces wearing self-contained set out in Table A–VI/1–1 of the STCW breathing apparatuses. Code: (vi) Extinguishing fire with water fog (i) Donning a lifejacket. or any other suitable firefighting agent (ii) Boarding a survival craft from in an accommodation room or simu- the ship, while wearing a lifejacket. lated engine room with fire and heavy (iii) Taking initial actions on board- smoke. ing a lifeboat to enhance chance of sur- (vii) Extinguishing oil fire with fog vival. applicator and spray nozzles, dry chem- (iv) Streaming a lifeboat drogue or ical powder, or foam applicators. sea-anchor. (e) Applicants who cannot meet the (v) Operating survival craft equip- requirement for 1 year of sea service ment. within the last 5 years, as described in (vi) Operating location devices, in- paragraph (c) of this section, will be re- cluding radio equipment. quired to meet the requirements of

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paragraph (a) of this section or com- quirements of this section if they have plete approved or accepted refresher served as a watchstanding A/B or as an training. RFPNW for a period of not less than 12 months within the 60 months prior to § 12.603 Requirements to qualify for an application. STCW endorsement as able sea- (c) Seafarers holding a rating en- farer-deck. dorsement as able seaman before Janu- (a) To qualify for this endorsement as ary 1, 2017, will be eligible for this enable seafarer-deck, an applicant must— dorsement upon showing evidence of— (1) Be not less than 18 years of age; (1) Holding an endorsement as an (2) Meet the requirements for certifi- RFPNW; and cation as a RFPNW; (2) Having satisfactorily completed (3) While qualified as an RFPNW, approved training in— have seagoing service in the deck de- (i) Proficiency in survival craft and partment of— rescue boats, other than fast rescue (i) Not less than 18 months; or boats (PSC); or (ii) Not less than 12 months and have (ii) Proficiency in survival craft and completed approved training; rescue boats, other than lifeboats or (4) Provide evidence of meeting the fast rescue boats-limited (PSC-lim- standard of competence specified in ited), as appropriate. Table A–II/5 of the STCW Code (incor- (d) The Coast Guard may exempt an porated by reference, see § 12.103 of this applicant from meeting any individual part); and knowledge, understanding, and pro- (5) Provide evidence of having satis- ficiency required in Section A–II/5 of factorily completed approved training the STCW Code. These exemptions in— must be approved by the Coast Guard, (i) Proficiency in survival craft and based upon vessel type. Under these rescue boats other than fast rescue circumstances, the endorsement may boats (PSC); or include a corresponding limitation. (ii) Proficiency in survival craft and (e) Except as provided in paragraphs rescue boats, other than lifeboats or (b) and (c) of this section, seafarers fast rescue boats-limited (PSC-lim- with the following national rating en- ited), as appropriate. dorsements will be eligible for this en- (b) Until January 1, 2017, seafarers dorsement upon completion of the re- will be considered to have met the requirements designated in this section:

TABLE 1 TO § 12.603(e)—STCW ENDORSEMENT AS ABLE SEAFARER-DECK

Sea service under au- Competence— Competence— Training Entry path from national endorsements thority of the endorse- STCW STCW required by ment 1 Table A–II/4 2 Table A–II/5 3 this section 4

A/B unlimited ...... None ...... Y Y N A/B limited ...... None ...... Y Y N A/B special ...... 6 months 5 ...... Y Y N A/B-offshore supply vessels ...... 12 months 6 ...... Y Y N A/B sail ...... 12 months 6 ...... Y Y N A/B-fishing industry ...... 12 months 6 ...... Y Y N 1 This column provides the minimum additional service required of the seafarer already holding an RFPNW endorsement in order to meet the requirements of this section. 2 Complete any items in paragraph (a)(2) of this section not previously satisfied. 3 Complete any items in paragraph (a)(4) of this section not previously satisfied. 4 Complete any items in paragraph (a)(5) of this section not previously satisfied. 5 The service may be reduced to 3 months if training has been completed as part of an approved training program meeting the requirements of paragraph (a)(4) of this section. 6 The service may be reduced to 6 months if training has been completed as part of an approved training program meeting the requirements of (a)(4) of this section.

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3 The service may be reduced to 2 months if training has § 12.605 Requirements to qualify for an been completed as part of an approved training program STCW endorsement as ratings form- meeting the requirements of paragraph (a)(2)(ii) of this ing part of a navigational watch section. (RFPNW). § 12.607 Requirements to qualify for an (a) To qualify for endorsement as an STCW endorsement as rating as RFPNW on a seagoing vessel of 500 GT able seafarer-engine. or more, an applicant must— (a) To qualify for an STCW endorse- (1) Be not less than 16 years of age; ment as an able seafarer-engine, an ap- (2) Provide evidence of service as fol- plicant must— lows: (1) Be not less than 18 years of age; (i) Six months of seagoing service, (2) Meet the requirements for certifi- which includes training and experience cation as a ratings forming part of an associated with navigational engineering watch (RFPEW); watchkeeping functions and involves (3) While qualified as an RFPEW, the performance of duties carried out have seagoing service in the engine de- under the supervision of the master, partment of— mate, or qualified STCW deck rating; (i) Not less than 12 months; or or (ii) Not less than 6 months and have (ii) Proof of successful completion of completed approved training; and Coast Guard-approved or -accepted (4) Provide evidence of meeting the training, which includes not less than 2 standard of competence specified in months of approved seagoing service; Table A–III/5 of the STCW Code (incor- and porated by reference, see § 12.103 of this (3) Provide evidence of meeting part). standards of competence prescribed in (b) Until January 1, 2017, seafarers Table A–II/4 of the STCW Code (incor- will be considered to have met the re- porated by reference, see § 12.103 of this quirements of this section if they have part). served as a watchstanding Qualified (b) The Coast Guard may exempt an Member of the Engine Department applicant from meeting any individual (QMED), junior engineer, oiler, fire- knowledge, understanding, and pro- man/watertender, deck-engine me- ficiency required in Section A–II/4 of chanic, or engineman in the engine de- the STCW Code. These exemptions partment, or as an RFPEW for a period must be approved by the Coast Guard of not less than 12 months within the based upon vessel type. Under these last 60 months prior to application. circumstances, the endorsement may (c) Seafarers holding a rating en- include a corresponding limitation. dorsement as QMED, junior engineer, (c) Seafarers with the following na- electrician or electrician/refrigerating tional rating endorsements will be eli- engineer, pumpman or pumpman/ma- gible for this endorsement upon com- chinist, refrigerating engineer, or ma- pletion of requirements designated in chinist before January 1, 2017, will be this section: eligible for this endorsement upon showing evidence of holding an en- TABLE 1 TO § 12.605(c)—STCW ENDORSEMENT dorsement as an RFPEW. AS RFPNW (d) The Coast Guard may exempt an applicant from meeting any individual Sea service knowledge, understanding, and pro- Entry path from national under author- Competence— endorsements ity of the en- STCW Table ficiency required in Section A–III/5 of A–II/4 2 dorsement 1 the STCW Code. These exemptions A/B unlimited ...... None ...... Y must be approved by the Coast Guard A/B limited ...... None ...... Y based upon vessel type. Under these A/B special ...... None ...... Y circumstances, the endorsement may A/B-offshore supply vessels None ...... Y include a corresponding limitation. A/B sail ...... None ...... Y A/B-fishing industry ...... None ...... Y (e) Except as provided in paragraphs Ordinary seaman ...... 6 mo.3 ...... Y (b) and (c) of this section, seafarers 1 This column provides the minimum additional service re- with the following national rating en- quired of the seafarer in order to meet the requirements of dorsements will be eligible for this en- this section. 2 Complete any items in paragraph (a)(3) of this section not dorsement upon completion of require- previously satisfied. ments designated in this section:

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TABLE 1 TO § 12.607(e)—STCW TABLE 1 TO § 12.609(c)—STCW ENDORSEMENT ENDORSEMENT AS ABLE SEAFARER-ENGINE AS RFPEW

Domestic QMED Additional sea service for Sea service Competence— endorsement AS–E Entry path from national under author- STCW Table endorsements ity of the en- 2 1 A–III/4 Engineman ...... None. dorsement Deck Engine Mechanic ...... None. Any QMED ...... None ...... Y Electrician ...... 6 months.1 Wiper ...... 6 months ...... Y Refrigerating Engineer ...... 6 months.1 Pumpman ...... 6 months.1 1 This column provides the minimum additional service re- Machinist ...... 6 months.1 quired of the seafarer in order to meet the requirements of this section. 1 Service may be reduced to 3 months if training has been 2 Complete any items in paragraph (a)(3) of this section not completed as part of an approved training program. previously satisfied. (d) Limitations. (1) STCW RFPEW en- § 12.609 Requirements to qualify for an STCW endorsement as rating form- dorsements issued in accordance with ing part of an engineering watch this section will be restricted to spe- (RFPEW). cific propulsion modes for steam, motor, or gas turbine-propelled vessels, (a) To qualify for an STCW endorse- as appropriate. ment as an RFPEW in a manned engine (2) STCW RFPEW endorsements room or to qualify to be designated to issued in accordance with this section perform duties in a periodically un- for motor or gas turbine-propelled ves- manned engine room, an applicant sels may be endorsed as limited to must— serve on vessels without auxiliary boil- (1) Be not less than 16 years of age; ers, waste-heat boilers, or distilling (2) Provide evidence of service as fol- plants. An applicant may qualify for lows: removal of any of these limitations by (i) Six months of seagoing service, demonstrating the appropriate com- which includes training and experience petencies. associated with engine room functions, and involves the performance of duties § 12.611 Requirements to qualify for an STCW endorsement as electro-tech- carried out under the supervision of an nical rating (ETR) on vessels pow- engineer officer or a qualified STCW ered by main propulsion machinery rating; or of 750 kW/1,000 HP or more. (ii) Proof of successful completion of (a) To qualify for an STCW endorse- a Coast Guard-approved or -accepted ment as an electro-technical rating, an training, which includes not less than 2 applicant must— months approved seagoing service; and (1) Be not less than 18 years of age; (3) Provide evidence of meeting the (2) Provide evidence of— standard of competence as specified in (i) Twelve months of seagoing serv- Table A–III/4 of the STCW Code (incor- ice, that includes training and experi- porated by reference, see § 12.103 of this ence associated with engine room part). watchkeeping functions and involves (b) The Coast Guard may exempt an the performance of duties carried out applicant from meeting any individual under the supervision of an engineer of- knowledge, understanding, and pro- ficer, electro-technical officer, or a ficiency required in Section A–III/4 of qualified STCW engine rating; the STCW Code. These exemptions (ii) Proof of successful completion of must be approved by the Coast Guard a Coast Guard-approved or -accepted based upon vessel type. Under these program, which includes not less than 6 circumstances, the endorsement may months of approved seagoing service; include a corresponding limitation. or (c) Seafarers with the following na- (iii) Qualifications meeting the tional rating endorsements will be eli- standard of competence specified in gible for this endorsement upon com- Table A–III/7 of the STCW Code (incor- pletion of requirements designated in porated by reference, see § 12.103 of this this section: part) and approved seagoing service of not less than 3 months;

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(3) Provide evidence of meeting the Table A–VI/2–1 of the STCW Code every standard of competence specified in 5 years. Table A–III/7 of the STCW Code; and (2) The Coast Guard will accept on- (4) Provide evidence of completion of board training and experience, through an approved course in— evidence of 1 year of sea service within (i) Computer systems and mainte- the last 5 years, as meeting the re- nance; and quirements of paragraph (b)(1) of this (ii) High-voltage power systems. section for the following areas, as set (b) An applicant who holds an STCW out in Table A–VI/2–1 of the STCW endorsement as able seafarer-engine Code: and a national rating endorsement as (i) Taking charge of a survival craft electrician, electrician/refrigerating or rescue boat during and after launch, engineer, or junior engineer will be including— issued the ETR endorsement upon com- (A) Interpreting the markings on sur- pletion of the requirements in Section vival craft as to the number of persons A–III/7 of the STCW Code and evidence they are intended to carry; of completion of the training required (B) Giving correct commands for in paragraph (a)(4) of this section. launching and boarding survival craft, (c) Seafarers with the following na- clearing the ship, and handling and dis- tional rating endorsement will be eligi- embarking persons from survival craft; ble for this endorsement upon comple- (C) Preparing and safely launch sur- tion of the requirements designated in vival craft, operating its engine, and this section: clearing the ship’s side quickly; and (D) Safely recovering survival craft TABLE 1 TO § 12.611(c)—STCW ENDORSEMENT and rescue boats. AS ELECTRO-§ TECHNICAL RATING (ii) Operating a survival craft engine, Sea service including— Entry path from national en- under author- Competence— (A) Rowing and steering a boat and dorsements ity of the en- STCW Table A–III/7 2 dorsement 1 steer by compass; (B) Using individual items of equip- Electrician/refrigerating en- None ...... Y ment of survival craft, except for pyro- gineer. Junior engineer ...... None ...... Y technics; and (C) Rigging devices to aid location. 1 This column provides the minimum additional service required of the seafarer in order to meet the requirements of (iii) Using locating devices, including this section. communication and signaling appa- 2 Complete any items in paragraph (a)(3) of this section not previously satisfied. ratus, including— (A) Using of portable radio equip- § 12.613 Requirements to qualify for an ment for survival craft. STCW endorsement in proficiency (B) [Reserved] in survival craft and rescue boats (iv) Applying first aid to survivors. other than fast rescue boats (PSC). (3) The Coast Guard will only accept (a) To qualify for an STCW endorse- evidence of assessments conducted ment in proficiency in survival craft ashore as meeting the requirements of and rescue boats other than fast rescue paragraph (b)(1) of this section for the boats (PSC), the applicant must— areas not included in paragraph (b)(2) (1) Be at least 18 years of age; of this section, as set out in Table A– (2) Meet the requirements for a VI/2–1 of the STCW Code. lifeboatman endorsement in § 12.407 of (4) Applicants who cannot meet the this part and Table A–VI/2–1 of the requirement for 1 year of sea service STCW Code (incorporated by reference, within the last 5 years, as described in see § 12.103 of this part); and paragraph (b)(2) of this section, will be (3) Complete basic training (BT), required to meet the requirements of found in § 12.601(c) of this subpart. paragraph (a) of this section or com- (b) Continued professional competence. plete approved or accepted refresher (1) Seafarers qualified in accordance training. with paragraph (a) of this section must (c) Seafarers holding an MMD or provide evidence of maintaining the MMC endorsement as lifeboatman be- standard of competence as set out in fore January 1, 2017 will be eligible for

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this endorsement upon showing evi- (B) Using individual items of equip- dence of sea service of not less than 12 ment of survival craft other than life- months within the last 60 months. The boats, except for pyrotechnics; and sea service must be completed prior to (C) Rigging devices to aid location. January 1, 2017. (iii) Using locating devices, including communication and signaling § 12.615 Requirements to qualify for an apparatuses, including— STCW endorsement in proficiency (A) Using portable radio equipment in survival craft and rescue boats other than lifeboats and fast rescue for rescue boats and survival craft; boats-limited (PSC-limited). (B) [Reserved] (iv) Applying first aid to survivors. (a) To qualify for an STCW endorse- (3) The Coast Guard will only accept ment in proficiency in survival craft evidence of assessments conducted and rescue boats other than lifeboats and fast rescue boats–limited (PSC– ashore as meeting the requirements of limited), the applicant must— paragraph (b)(1) of this section for the (1) Be at least 18 years of age; areas not included in paragraph (b)(2) (2) Meet the requirements for a of this section as set out in Table A–VI/ lifeboatman-limited endorsement in 2–1 of the STCW Code. § 12.409 of this part and Table A–VI/2–1 (4) Applicants who cannot meet the of the STCW Code (incorporated by ref- requirement for 1 year of sea service erence, see § 12.103 of this part); and within the last 5 years, as described in (3) Complete BT, found in § 12.601(c) of paragraph (b)(2) of this section, will be this subpart. required to meet the requirements of (b) Continued professional competence. paragraph (a) of this section or com- (1) Seafarers qualified in accordance plete approved or accepted refresher with paragraph (a) of this section must training. provide evidence of maintaining the (c) Seafarers holding an MMD or standard of competence as set out in MMC endorsement as lifeboatman-lim- Table A–VI/2–1 of the STCW Code every ited before January 1, 2017, will be eli- 5 years. gible for this endorsement upon show- (2) The Coast Guard will accept on- ing evidence of sea service of not less board training and experience, through than 12 months within the last 60 evidence of 1 year of sea service within months. The sea service must be com- the last 5 years, as meeting the re- pleted prior to January 1, 2017. quirements of paragraph (b)(1) of this section for the following areas, as set § 12.617 Requirements to qualify for an out in Table A–VI/2–1 of the STCW STCW endorsement in proficiency in fast rescue boats. Code: (i) Taking charge of a survival craft (a) To qualify for an STCW endorse- or rescue boat during and after launch ment in proficiency in fast rescue including— boats, an applicant must— (A) Interpreting the markings on sur- (1) Be not less than 18 years of age; vival craft as to the number of persons (2) Hold an endorsement in pro- they are intended to carry; ficiency in survival craft and rescue (B) Giving correct commands for boats other than fast rescue boats launching and boarding rescue boats (PSC) or in proficiency in survival and survival craft other than lifeboats, craft and rescue boats other than life- clearing the ship, and handling and dis- boats and fast rescue boats–limited embarking persons from survival craft; (PSC–limited) under this subpart; (C) Preparing and safely launching (3) Provide evidence of successful rescue boats and survival craft, other completion of a Coast Guard-approved than lifeboats, starting the engine, and or -accepted course; and clearing the ship’s side quickly; and (4) Provide evidence of meeting the (D) Safely recovering rescue boats. standard of competence specified in (ii) Managing survivors and survival Table A–VI/2–2 of the STCW Code (in- craft after abandoning ship, includ- corporated by reference, see § 12.103 of ing— this part). (A) Steering a rescue boat and steer (b) Continued professional competence. by compass; (1) Seafarers qualified in accordance

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with paragraph (a) of this section must corporated by reference, see § 12.103 of provide evidence of maintaining the this part). standard of competence as set out in (b) An applicant holding one of the Table A–VI/2–2 of the STCW Code every following credentials is qualified for an 5 years. endorsement as medical first-aid pro- (2) The Coast Guard will accept on- vider: board training and experience, through (1) A valid professional license listed evidence of 1 year of sea service within in § 11.807(a)(5) or (a)(6) of this sub- the last 5 years, as meeting the re- chapter, without restriction or limita- quirements of paragraph (b)(1) of this tion placed upon it by the issuing section for the following areas, as set State. out in Table A–VI/2–2 of the STCW (2) A rating listed in § 11.807(a)(7) or Code: (a)(8) of this subchapter. (i) Taking charge of a fast rescue boat during and after launch, includ- § 12.621 Requirements to qualify for an ing— STCW endorsement as person in charge of medical care. (A) Controlling safe launching, operating of the engine, and recovering a (a) To qualify for an STCW endorse- fast rescue boat; ment as person in charge of medical (B) Handling a fast rescue boat in care, an applicant must— prevailing weather and sea conditions; (1) Provide evidence of successful (C) Using communication and sig- completion of an approved course that naling equipment between the fast res- leads to an endorsement for seafarers cue boat and a helicopter and a ship; designated to take charge of medical care onboard a ship; and (D) Using the emergency equipment (2) Provide evidence of meeting the carried; and standard of competence specified in (E) Carrying out search patterns, Table A–VI/4–2 of the STCW Code (in- taking account of environmental fac- corporated by reference, see § 12.103 of tors. this part). (ii) [Reserved] (b) An applicant holding any of the (3) The Coast Guard will only accept following credentials is qualified for an evidence of assessments conducted endorsement as person in charge of ashore as meeting the requirements of medical care: paragraph (b)(1) of this section for the (1) A valid professional license listed areas not included in paragraph (b)(2) in § 11.807(a)(5) or (a)(6) of this sub- of this section, as set out in Table A– chapter, without restriction or limita- VI/2–2 of the STCW Code. tion placed upon it by the issuing (4) Applicants who cannot meet the State. requirement for 1 year of sea service (2) A rating listed in § 11.807(a)(7) or within the last 5 years, as described in (a)(8) of this subchapter. paragraph (b)(2) of this section, will be required to meet the requirements of § 12.623 Requirements to qualify for an paragraph (a)(3) of this section or com- STCW endorsement as Global Mari- plete approved or accepted refresher time Distress and Safety System training. (GMDSS) at-sea maintainer. To qualify for an STCW endorsement § 12.619 Requirements to qualify for an as GMDSS at-sea maintainer, an appli- STCW endorsement as medical first- cant must— aid provider. (a) Be not less than 18 years of age; (a) To qualify for an STCW endorse- (b) Provide evidence of— ment as medical first-aid provider, an (1) Successful completion of a train- applicant must— ing program that covers at least the (1) Provide evidence of successful scope and content of the training out- completion of an approved course in lined in Section B–IV/2 of the STCW medical first aid; and Code (incorporated by reference, see (2) Provide evidence of meeting the § 12.103 of this part); or standard of competence specified in (2) Passing an approved GMDSS at- Table A–VI/4–1 of the STCW Code (in- sea maintainer course; and

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(c) Hold a valid Federal Communica- (3) Meet the safety and suitability re- tions Commission (FCC) certificate as quirements and the National Driver GMDSS at-sea maintainer. Registry review requirements in § 10.209(e) of this subchapter, unless the § 12.625 Requirements to qualify for an applicant has met these requirements STCW endorsement as vessel per- within the previous 5 years in connec- sonnel with designated security duties. tion with another endorsement. (b) Until March 24, 2014, seafarers will (a) An applicant for an STCW en- be able to apply for an endorsement in dorsement as vessel personnel with des- security awareness by— ignated security duties must— (1) Having performed approved sea- (1) Present satisfactory documentary going service for a period of at least 6 evidence, such as a certificate or letter months in total during the preceding 3 signed by a company official, or a cer- years; tificate of completion from a Coast (2) Having performed security func- Guard-accepted or Coast Guard-ap- tions considered to be equivalent to the proved course, of meeting the requirements in 33 CFR 104.220; seagoing service required in paragraph (b)(1) of this section; or (2) Meet the physical examination requirements in 46 CFR Part 10, subpart (3) Successfully completing Coast C; and Guard-accepted or Coast Guard-ap- (3) Meet the safety and suitability re- proved training. quirements and the National Driver Registry review requirements in Subpart G—Entry-Level National § 10.209(e) of this subchapter, unless the Ratings and Miscellaneous Ratings applicant has met these requirements within the previous 5 years in connec- § 12.701 Credentials required for tion with another endorsement. entry-level and miscellaneous rat- (b) Until March 24, 2014, seafarers will ings. be able to apply for an endorsement as Every person employed or engaged on vessel personnel with designated secu- a vessel subject to 46 U.S.C. 8701, must rity duties by— produce an MMC or MMD with the ap- (1) Having completed approved sea- propriate endorsement to the master or going service with designated security person in charge (PIC), if appropriate, duties, for a period of at least 6 months before signing shipping articles. in total during the preceding 3 years; (2) Having performed security func- § 12.703 General requirements for tions considered to be equivalent to the entry-level ratings. seagoing service required in paragraph (a) Rating endorsements will be (b)(1) of this section; or issued without professional examina- (3) Successfully completing Coast tion to applicants in capacities other Guard-accepted or Coast Guard-ap- than able seaman, lifeboatman, proved training. lifeboatman-limited, tankerman, or QMED, including— § 12.627 Requirements to qualify for an STCW endorsement for security (1) Ordinary seaman; awareness. (2) Wiper; (a) An applicant for an endorsement (3) Steward’s department; and for security awareness must— (4) Steward’s department (F.H.). (1) Present satisfactory documentary (b) Holders of MMCs or MMDs en- evidence, such as a certificate or letter dorsed as ordinary seaman may serve signed by a company official, or a cer- in any unqualified rating in the deck or tificate of completion from a Coast steward’s department, except as a food Guard-accepted or Coast Guard-ap- handler. proved course, of meeting the require- (c) Holders of MMCs or MMDs en- ments in 33 CFR 104.225; dorsed as wiper may serve in any un- (2) Meet the physical examination re- qualified rating in the engine or stew- quirements in 46 CFR, part 10, subpart ard’s department, except as a food han- C; and dler.

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(d) Only MMCs or MMDs endorsed as (b) Persons holding the endorsement steward’s department (F.H.) will au- as apprentice engineer are deemed to thorize the holder’s service in any ca- be seamen. pacity in the steward’s department, including food handler. § 12.711 Apprentice mate. (a) A person enrolled in a mate train- § 12.705 Endorsements for persons en- ing program approved by the Coast rolled in a Maritime Administra- Guard, and who presents a letter or tion-approved training program. other documentary evidence that he or MMCs issued to individuals obtaining she is enrolled, may be issued an MMC sea service as part of an approved rating endorsement as apprentice mate training curriculum while enrolled at and may be signed on a vessel in this either the United States Merchant Ma- capacity. The rating endorsement as rine Academy or a deck or engineering apprentice mate may be in addition to class of a Maritime Academy approved other endorsements; however, this en- by and conducted under the rules pre- dorsement does not authorize the hold- scribed by the Maritime Administrator er to replace any of the regular re- and listed in 46 CFR Part 310 will in- quired crew. (b) Persons holding the endorsement clude an endorsement of cadet (deck) as apprentice mate are deemed to be or cadet (engine), as appropriate, and seamen. lifeboatman. Individuals obtaining sea service as part of such an approved training curriculum must do so in the Subpart H—Non-Resident Alien capacity of cadet (deck) or cadet (en- Members of the Steward’s De- gine), as appropriate, notwithstanding partment on U.S. Flag Large any other rating endorsements the in- Passenger Vessels dividual may hold or any other capacity in which the individual may have § 12.801 Purpose. previously served. The rules in this subpart implement 46 U.S.C. 8103(k) by establishing re- § 12.707 Student observers. quirements for the issuance of MMCs, Students in technical schools who valid only for service in the steward’s department of U.S. flag large passenger are enrolled in courses in marine man- vessels, to non-resident aliens. agement, naval architecture, and ship operations, and who present a letter or § 12.803 General requirements. other documentary evidence that they (a) Unless otherwise specified in this are enrolled, will be issued an MMC en- subpart, non-resident alien applicants dorsed as ‘‘student observer—any de- for Coast Guard-issued MMCs are sub- partment’’ and may be signed on ships ject to all applicable requirements con- as such. Students holding these en- tained in this subchapter. dorsements will not take the place of (b) No application for an MMC from a any of the crew, or replace any of the non-resident alien issued pursuant to regular required crew. this subpart will be accepted unless the applicant’s employer satisfies all of the § 12.709 Apprentice engineers. requirements of § 12.805 of this subpart. (a) Persons enrolled in an engineer training program approved by the § 12.805 Employer requirements. Coast Guard, and who present a letter (a) The employer must submit the or other documentary evidence that following to the Coast Guard, as a part they are enrolled, may be issued an of the applicant’s MMC application, on MMC endorsed as apprentice engineer behalf of the applicant: and may be signed on ships as such. (1) A signed report that contains all The endorsement as apprentice engi- material disciplinary actions related to neer may be in addition to other en- the applicant, such as, but not limited dorsements; however, this endorsement to, violence or assault, theft, drug and does not authorize the holder to re- alcohol policy violations, and sexual place any of the regular required crew. harassment, along with an explanation

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of the criteria used by the employer to (d) In the event that the seaman’s determine the materiality of those ac- MMC and/or TWIC expires, the sea- tions. man’s visa status terminates, the sea- (2) A signed report regarding an em- man serves onboard the U.S. flag large ployer-conducted background check. passenger vessel(s) for 36 months in the The report must contain— aggregate as a nonimmigrant crewman, (i) A statement that the applicant the employer terminates employment has successfully undergone an em- of the seaman, or, if the seaman other- ployer-conducted background check; wise ceases working with the employer, (ii) A description of the employer- the employer must return the MMC to conducted background check, including the Coast Guard and/or the TWIC to all databases and records searched. The the Transportation Security Adminis- background check must, at a min- tration (TSA) within 10 days of the imum, show that the employer has re- event. viewed all information reasonably and (e) In addition to the initial material legally available to the owner or man- disciplinary actions report and the ini- aging operator, including the review of tial employer-conducted background available court and police records in check specified in paragraph (a) of this the applicant’s country of citizenship, section, the employer must— and any other country in which the ap- (1) Submit to the National Maritime plicant has received employment refer- Center an annual material disciplinary rals, or resided, for the past 20 years actions report to update whether there prior to the date of application; and have been any material disciplinary ac- (iii) All information derived from the tions related to the applicant since the employer-conducted background check. last material disciplinary actions re- (3) An employer-conducted back- port was submitted to the Coast Guard. ground check, which must be con- The annual material disciplinary ac- ducted to the satisfaction of the Coast tions report must— Guard for an MMC to be issued to the (i) Be submitted to the satisfaction of applicant. the Coast Guard in accordance with the (b) If an MMC is issued to the appli- same criteria set forth in paragraph cant, the report and information re- (a)(1) of this section, except that the quired in paragraph (a)(2) of this sec- period of time examined for the mate- tion must be securely kept by the em- rial disciplinary actions report need ployer on the U.S. flag large passenger only extend back to the date of the last vessel on which the applicant is em- material disciplinary actions report; ployed. The report and information and must remain on the last U.S. flag large (ii) Be submitted to the Coast Guard passenger vessel on which the appli- on or before the anniversary of the cant was employed until such time as issuance date of the MMC; and the MMC is returned to the Coast (2) Conduct a background check each Guard in accordance with paragraph (d) year that the MMC is valid to search of this section. for any changes that might have oc- (c) If an MMC or a transportation curred since the last employer-con- worker identification credential ducted background check was per- (TWIC) is issued to the applicant, each formed. The annual background check MMC and TWIC must be securely kept must— by the employer on the U.S. flag large (i) Be conducted to the satisfaction of passenger vessel on which the appli- the Coast Guard in accordance with the cant is employed. The employer must same criteria set forth in paragraph maintain a detailed record of the sea- (a)(2) of this section, except that the man’s total service on all authorized period of time examined during the an- U.S. flag large passenger vessels, and nual background check need only ex- must make that information available tend back to the date of the last back- to the Coast Guard upon request, to ground check; and demonstrate that the limitations of (ii) Be submitted to the Coast Guard § 12.811(c) of this subpart have not been on or before the anniversary of the exceeded. issuance date of the MMC.

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(f) The employer is subject to the (c) Any non-resident alien applying civil penalty provisions specified in 46 for an MMC under this subpart may not U.S.C. 8103(f) for any violation of this be a citizen of, or a temporary or per- section. manent resident of, a country designated by the Department of State as § 12.807 Basis for denial. a ‘‘State Sponsor of Terrorism’’ pursu- In addition to the requirements for ant to section 6(j) of the Export Admin- an MMC established elsewhere in this istration Act of 1979 (50 U.S.C. App. subchapter, and the basis for denial es- 2405(j)) or section 620A of the Foreign tablished in §§ 10.209, 10.211, and 10.213 Assistance Act of 1961 (22 U.S.C. 2371). of this subchapter, an applicant for an MMC issued pursuant to this subpart § 12.811 Restrictions. must— (a) An MMC issued to a non-resident (a) Have been employed for a period alien under this subpart authorizes of at least 1 year on a foreign flag pas- service only in the steward’s depart- senger vessel that is under the same ment of the U.S. flag large passenger common ownership or control as the vessel(s), that is/are under the same U.S. flag large passenger vessel on common ownership and control as the which the applicant will be employed foreign flag passenger vessel(s) on upon issuance of an MMC under this which the non-resident alien served to subpart; meet the requirements of § 12.807(a) of (b) Have no record of material dis- this subpart. ciplinary actions during the employ- (1) The MMC will be endorsed for ment required under paragraph (a) of service in the steward’s department, in this section, as verified in writing by accordance with § 12.703 of this part. the owner or managing operator of the (2) The MMC may also be endorsed U.S. flag large passenger vessel on for service as a food handler if the ap- which the applicant will be employed; plicant meets the requirements of (c) Have successfully completed an § 12.703 of this part. employer-conducted background check (3) No other rating or endorsement is to the satisfaction of both the em- authorized, except lifeboatman or ployer and the Coast Guard; and lifeboatman-limited, in which case all (d) Meet the citizenship and identity applicable requirements of this sub- requirements of § 12.809 of this subpart. chapter and the STCW Convention and STCW Code (incorporated by reference, § 12.809 Citizenship and identity. see § 12.103 of this part) must be met. (a) Instead of the requirements of (b) The following restrictions must § 10.221 of this subchapter, a non-resi- be printed on the MMC, or be listed in dent alien may apply for a Coast an accompanying Coast Guard letter, Guard-issued MMC, endorsed and valid or both: only for service in the steward’s de- (1) The name and official number of partment of a U.S. flag large passenger all U.S. flag vessels on which the non- vessel, as defined in 46 U.S.C. resident alien may serve. Service is not 8103(k)(5)(B), if he or she is employable authorized on any other U.S. flag ves- in the United States under the Immi- sel. gration and Nationality Act (8 U.S.C. (2) Upon issuance, the MMC must re- 1101, et seq.), including an alien crew- main in the custody of the employer at man described in section 101 all times. (a)(15)(D)(i) of that Act. (3) Upon termination of employment, (b) To meet the citizenship and iden- the MMC must be returned to the tity requirements of this subpart, an Coast Guard within 10 days, in accord- applicant must present an unexpired ance with § 12.805 of this subpart. passport issued by the government of (4) A non-resident alien issued an the country of which the applicant is a MMC under this subpart may not per- citizen or subject, and either a valid form watchstanding, engine room duty U.S. C–1/D Crewman Visa or another watch, or vessel navigation functions. valid U.S. visa or authority deemed ac- (5) A non-resident alien issued an ceptable by the Coast Guard. MMC under this subpart may perform

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emergency-related duties, provided well as the related elements contained that— in § 15.530 of this subchapter, to the sat- (i) The emergency-related duties do isfaction of the Coast Guard. not require any other rating or endorsement, except lifeboatman or Subpart I—Crewmembers on a lifeboatman-limited as specified in paragraph (a)(3) of this section; Passenger Ship on an Inter- (ii) The non-resident alien has com- national Voyage pleted familiarization and basic training (BT), as required in § 15.1105 of this § 12.901 Purpose. subchapter; This subpart establishes require- (iii) If the non-resident alien serves ments for the qualification of ratings as a lifeboatman or lifeboatman-lim- serving on passenger ships as defined in ited, he or she has the necessary § 12.903 of this part. lifeboatman or lifeboatman-limited endorsement; and § 12.903 Definitions. (iv) The non-resident alien has com- Passenger ship in this subpart means pleted the training for crewmembers on a ship carrying more than 12 pas- passenger ships performing duties in- sengers when on an international voy- volving safety or care for passengers, age. as required in § 15.1103 of this subchapter. § 12.905 General requirements. (c) A non-resident alien may only serve for an aggregate period of 36 (a) Any seafarer may serve on a pas- months of actual service on all author- senger vessel on an international voy- ized U.S. flag large passenger vessels age and perform duties that involve combined under the provisions of this safety or care for passengers, only subpart. after— (d) Once this 36-month limitation is (1) Meeting the appropriate require- reached, the MMC becomes invalid and ments of the STCW Regulation V/2 and must be returned to the Coast Guard of section A–V/2 of the STCW Code (in- under § 12.805(d) of this subpart, and the corporated by reference, see § 12.103 of non-resident alien is no longer author- this part); and ized to serve in a position requiring an (2) Holding documentary evidence to MMC on any U.S. flag large passenger show that the mariner meets these re- vessel. quirements through approved or ac- (e) An individual who successfully ad- cepted training. justs his or her immigration status to become either an alien lawfully admit- (b) Seafarers who are required to be ted for permanent residence to the trained in accordance with paragraph United States, or a citizen of the (a)(1) of this section must, at intervals United States, may apply for an MMC, not exceeding 5 years, provide evidence subject to the requirements of § 10.221 of maintaining the standard of com- of this subchapter, without any restric- petence. tions or limitations imposed by this (c) The Coast Guard will accept on- subpart. board training and experience, through evidence of 1 year of sea service within § 12.813 Alternative means of compli- the last 5 years, as meeting the re- ance. quirements of paragraph (a)(2) of this (a) The owner or managing operator section. of a U.S. flag large passenger vessel (d) Personnel serving onboard small seeking to employ non-resident aliens passenger vessels engaged in domestic, issued MMCs under this subpart may near-coastal voyages, as defined in submit a plan to the Coast Guard, § 15.105(g)(1) of this subchapter, are not which, if approved, will serve as an al- subject to any obligation for the pur- ternative means of complying with the pose of this STCW requirement. requirements of this subpart. (b) The plan must address all the elements contained in this subpart, as

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PART 13—CERTIFICATION OF Subpart F—Requirements for STCW TANKERMEN Tankerman Endorsements 13.601 General. Subpart A—General 13.603 Requirements to qualify for an STCW endorsement for advanced oil tanker Sec. cargo operations. 13.101 Purpose. 13.605 Requirements to qualify for an STCW 13.103 Incorporation by reference. endorsement for advanced chemical 13.105 Paperwork approval. tanker cargo operations. 13.106 Requirement to hold an MMC. 13.607 Requirements to qualify for an STCW 13.107 Tankerman endorsement: General. endorsement for advanced liquefied gas tanker cargo operations. 13.109 Tankerman endorsement: Authorized 13.609 Requirements to qualify for an STCW cargoes. endorsement for basic oil and chemical 13.111 Restricted tankerman endorsement. tanker cargo operations. 13.113 [Reserved] 13.611 Requirements to qualify for an STCW 13.115 Chemical testing requirements. endorsement for basic liquefied gas tank- 13.117 Re-issuance of expired tankerman en- er cargo operations. dorsements. AUTHORITY: 46 U.S.C. 3703, 7317, 8105, 8703, 13.119 Expiration of endorsement. 9102; Department of Homeland Security Dele- 13.120 Renewal of tankerman endorsement. gation No. 0170.1. 13.121 Courses for tankerman endorsements. 13.123 Recency of service or experience for SOURCE: CGD 79–116, 60 FR 17142, Apr. 4, original tankerman endorsement. 1995, unless otherwise noted. 13.125 Physical and medical requirements. 13.127 Service: General. Subpart A—General 13.129 Quick-reference table for tankerman endorsements. § 13.101 Purpose. This part describes the various Subpart B—Requirements for Tankerman- tankerman endorsements issued by the PIC Endorsement Coast Guard on a merchant mariner 13.201 Original application for tankerman- credential (MMC). PIC endorsement. (a) This part prescribes the require- 13.203 Service requirements. ments for the following endorsements: 13.205 Proof of service for tankerman-PIC (1) Tankerman-PIC. endorsement. (2) Tankerman-PIC (Barge). (3) Restricted Tankerman-PIC. Subpart C—Requirements for Tankerman- (4) Restricted Tankerman-PIC PIC (Barge) Endorsement (Barge). (5) Tankerman-assistant. 13.301 Original application for tankerman- PIC (barge) endorsement. (6) Tankerman-engineer. 13.303 Service requirements. (b) This part prescribes the require- 13.305 Proof of service for tankerman-PIC ments for the following STCW endorse- (barge). ments: (1) Advanced oil tanker cargo oper- Subpart D—Requirements for Tankerman- ation. Assistant Endorsement (2) Advanced chemical tanker cargo operation. 13.401 Original application for tankerman- (3) Advanced liquefied gas tanker assistant endorsement. cargo operation. 13.403 Service requirements. (4) Basic oil and chemical tanker 13.405 Proof of service for tankerman-assistant endorsement. cargo operation. (5) Basic liquefied gas tanker cargo Subpart E—Requirements for Tankerman- operation. Engineer Endorsement [USCG–2004–17914, 78 FR 77987, Dec. 24, 2013]

13.501 Original application for tankerman- § 13.103 Incorporation by reference. engineer endorsement. 13.503 Service requirements. (a) Certain material is incorporated 13.505 Proof of service for tankerman-engi- by reference into this part with the ap- neer endorsement. proval of the Director of the Federal

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Register under 5 U.S.C. 552(a) and 1 ments for the MMC on which the en- CFR part 51. To enforce any edition dorsement would appear. These re- other than that specified in this sec- quirements are set out in part 10 of tion, the Coast Guard must publish a this subchapter. notice of change in the Federal Reg- [USCG–2006–24371, 74 FR 11259, Mar. 16, 2009, ister and the material must be avail- as amended by USCG–2004–17914, 78 FR 77988, able to the public. All approved mate- Dec. 24, 2013] rial is available for inspection at the Coast Guard, Office of Operating and § 13.107 Tankerman endorsement: Gen- Environmental Standards (CG–OES), eral. 2100 2nd St. SW., Stop 7126, Wash- (a) If an applicant meets the require- ington, DC 20593–7126, 202–372–1405, and ments of subpart B of this part, the is available from the sources listed Coast Guard may endorse his or her below. It is also available for inspec- MMC as tankerman-PIC with the ap- tion at the National Archives and propriate cargo classification or classi- Records Administration (NARA). For fications. A person holding this en- information on the availability of this dorsement and meeting the other re- material at NARA, call 202–741–6030 or quirements of 33 CFR 155.710(a) may go to http://www.archives.gov/ act as a PIC of a transfer of fuel oil, of federallregister/ a transfer of liquid cargo in bulk, or of codeloflfederallregulations/ cargo-tank cleaning on any tank ves- ibrllocations.html. sel. That person may also act as a (b) International Maritime Organiza- tankerman-engineer, provided that he tion (IMO), 4 Albert Embankment, or she also holds an engineer license or London SE1 7SR, England: engineer endorsement. (1) The Seafarers’ Training, Certifi- (b) If an applicant meets the require- cation and Watchkeeping Code, as ments of subpart C of this part, the amended, 2011 (the STCW Code), ap- Coast Guard may endorse his or her proved for incorporation by reference MMC as tankerman-PIC (barge) with in §§ 13.601, 13.603, 13.605, 13.607, 13.609, the appropriate cargo classification or and 13.611; and classifications. A person holding this (2) [Reserved] endorsement and meeting the other requirements of 33 CFR 155.710(b) may [USCG–2004–17914, 78 FR 77987, Dec. 24, 2013] act as a PIC of a transfer of liquid § 13.105 Paperwork approval. cargo in bulk only on a tank barge. (c) If an applicant meets the require- (a) This section lists the control ments of subpart D of this part, the numbers assigned by the Office of Man- Coast Guard may endorse his or her agement and Budget (OMB) under the MMC as tankerman-assistant with the Paperwork Reduction Act of 1980 [Pub. appropriate cargo classification or L. 96–511] for the reporting and record- classifications. No person holding this keeping requirements in this part. endorsement may act as a PIC of any (b) OMB has assigned the following transfer of fuel oil, of any transfer of control numbers to the sections indi- liquid cargo in bulk, or of cargo-tank cated: cleaning unless he or she also holds an (1) OMB 1625–0040—46 CFR 13.113, endorsement authorizing service as 13.115, 13.117, 13.201, 13.203, 13.205, 13.301, PIC. He or she may, however, without 13.303, 13.305, 13.401, 13.403, 13.405, 13.501, being directly supervised by the PIC, 13.503, 13.505. perform duties relative to cargo and (2) OMB 1625–0028—46 CFR 13.121, cargo-handling equipment assigned by 13.207, 13.209, 13.307, 13.309, 13.407, 13.409, the PIC of transfers of fuel oil, of 13.507, 13.509. transfers of liquid cargo in bulk, or of [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as cargo-tank cleaning. When performing amended by USCG-2004–18884, 69 FR 58343, these duties, he or she shall maintain Sept. 30, 2004] continuous two-way voice communications with the PIC. § 13.106 Requirement to hold an MMC. (d) If an applicant meets the require- An applicant for any endorsement in ments of subpart E of this part, the this part must also meet the require- Coast Guard may endorse his or her

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MMC as tankerman-engineer. No per- carried on barges not certified for son holding this endorsement may act ocean service. as a PIC or tankerman-assistant of any [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as transfer of liquid cargo in bulk, or of amended by USCG–2008–0906, 73 FR 56508, cargo-tank cleaning unless he or she Sept. 29, 2008; USCG–2006–24371, 74 FR 11259, also holds an endorsement authorizing Mar. 16, 2009; USCG–2004–17914, 78 FR 77988, such service. A person holding this en- Dec. 24, 2013] dorsement and acting in this capacity has the primary responsibility, on his § 13.111 Restricted tankerman endorsement. or her self-propelled tank vessel carrying dangerous liquid (DL) or lique- (a) An applicant may apply for a fied gas (LG), for maintaining both the tankerman endorsement restricted to cargo systems and equipment for trans- specific cargoes, specific vessels, or fer of liquid cargo in bulk. No person li- groups of vessels (such as uninspected censed or credentialed under part 11 of towing vessels and Oil Spill Response this chapter may serve as a chief engi- Vessels), specific facilities, and/or specific employers. The Coast Guard will neer, first assistant engineer, or cargo evaluate each application and may engineer aboard an inspected self-pro- modify the applicable requirements for pelled tank vessel when liquid cargo in the endorsement, allowing for special bulk or cargo residue is carried unless circumstances and for whichever re- he or she holds an endorsement as strictions the endorsement will state. tankerman-engineer or equivalent. (b) To qualify for a restricted (e) If an applicant meets the require- tankerman-PIC endorsement, an appli- ments of § 13.111 of this subpart, the cant must meet §§ 13.201 (excluding Coast Guard may place on his or her paragraph (c)(4)), 13.203, and 13.205 of MMC an endorsement as a tankerman- this part. PIC restricted according to the defini- (1) Twenty-five percent of the service tions of ‘‘restricted tankerman en- described in § 13.203(a) of this part must dorsement’’ in § 10.107 of this sub- have occurred within the past 5 years. chapter. (2) Two of the transfers described in (f) This section does not apply to any § 13.203(b) of this part must have oc- person solely by reason of his or her in- curred within the past 5 years. volvement in bunkering or fueling. (c) To qualify for a restricted tankerman-PIC (barge) endorsement, [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as an applicant must meet §§ 13.301 (ex- amended by CGD 79–116, 62 FR 25127, May 8, 1997; USCG–2008–0906, 73 FR 56508, Sept. 29, cluding paragraph (c)(4)), 13.303, and 2008; USCG–2006–24371, 74 FR 11259, Mar. 16, 13.305 of this part. 2009; USCG–2004–17914, 78 FR 77988, Dec. 24, (1) Twenty-five percent of the service 2013] described in § 13.303(a) of this part must have occurred within the past 5 years. § 13.109 Tankerman endorsement: Au- (2) Two of the transfers described in thorized cargoes. § 13.303(b) of this part must have oc- (a) Each tankerman endorsement de- curred within the past 5 years. scribed in § 13.107 will expressly limit (d) To qualify for a restricted the holder’s service under it to trans- tankerman-PIC (barge) endorsement fers involving one or both of the fol- restricted to a tank-cleaning and gas- lowing cargo classifications: freeing facility, an applicant must— (1) Dangerous liquid (DL). (1) Be at least 18 years old; (2) Liquefied gas (LG). (2) Apply on a form provided by the Coast Guard; (b) No tankerman endorsement is (3) Present evidence of passing a necessary to transfer the liquid cargoes physical and medical examination ac- in bulk listed in table 2 of part 153 of cording to § 13.125 of this part; this chapter when those cargoes are (4) Present evidence in the form of a letter, which must be dated within the 5 years prior to the application for the credential, on company letterhead

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from the operator of the facility stat- § 13.119 Expiration of endorsement. ing that OSHA considers the applicant An endorsement as tankerman is a ‘‘competent person (as designated valid for the duration of the merchant under 29 CFR 1915.7)’’ for the facility mariner’s document or merchant mar- and that the applicant has the knowl- iner credential on which the endorse- edge necessary to supervise tank-clean- ment appears. ing and gas-freeing; and (5) Be capable of speaking and under- [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as amended by USCG–2006–24371, 74 FR 11259, standing, in English, all instructions Mar. 16, 2009] needed to commence, conduct, and complete a transfer of cargo, and of § 13.120 Renewal of tankerman en- reading and understanding the English dorsement. found in the Declaration of Inspection, An applicant seeking renewal of a vessel response plans, and Cargo Infor- tankerman endorsement or an STCW mation Cards. endorsement valid for service on tank (e) The restricted tankerman-PIC vessels must meet the requirements of (barge) endorsement restricted to a § 10.227 of this subchapter, except tank-cleaning and gas-freeing facility § 10.227(e)(1), for renewing an MMC and is valid only while the applicant is em- meet the following additional require- ployed by the operator of the facility ments: that provided the letter of service re- (a) For endorsements as tankerman- quired by paragraph (d)(4) of this sec- PIC, advanced oil and chemical tanker tion, and this and any other appro- cargo operation; and advanced lique- priate restrictions will appear in the fied gas tanker cargo operations, endorsement. present evidence of— (f) A restricted tankerman-PIC en- (1) At least 90 days of service during dorsement limited to operation on ves- the preceding 5 years onboard a tank vessel for which the endorsement is sels inside the boundary line is not valid, performing duties appropriate to valid where STCW certification is re- the tankerman endorsement held; and quired. participation in at least two transfers [USCG–2004–17914, 78 FR 77988, Dec. 24, 2013] of liquid cargo in bulk of the type for which the endorsement is valid within § 13.113 [Reserved] the preceding 5 years; or (2) Completion of an approved course § 13.115 Chemical testing require- for Tankship: Dangerous Liquids or ments. Tankship: Liquefied Gases, appropriate Each applicant for an original for the endorsement to be renewed, tankerman endorsement must provide within the previous 5 years. evidence of having passed a chemical (b) For endorsements as tankerman- test for dangerous drugs or of quali- assistant, basic oil and chemical tank- fying for an exemption from testing in er cargo operation; and basic liquefied § 16.220 of this chapter as specified in gas tanker cargo operations, present § 10.225(b)(5) of this subchapter. evidence of— (1) At least 90 days of service during [USCG–2004–17914, 78 FR 77988, Dec. 24, 2013] the preceding 5 years onboard a tank vessel for which the endorsement is § 13.117 Re-issuance of expired valid, performing duties appropriate to tankerman endorsements. the tankerman endorsement held; or Whenever an applicant applies for re- (2) Completion of an approved course issuance of an endorsement as any for Tankship: Dangerous Liquids or tankerman rating more than 12 months Tankship: Liquefied Gases, appropriate after expiration of the previous en- for the endorsement to be renewed, dorsement, the applicant must meet within the previous 5 years. the requirements for an original en- (c) For endorsements as tankerman- dorsement. PIC (Barge), present evidence of— (1) Participation in at least two [USCG–2004–17914, 78 FR 77988, Dec. 24, 2013] transfers of liquid cargo in bulk of the

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type for which the endorsement is (1) Tankerman-PIC DL is Tankship: valid, within the preceding 5 years; or Dangerous Liquids; (2) Completion of a course approved (2) Tankerman-PIC (barge) DL is for this purpose, appropriate for the en- Tank Barge: Dangerous Liquids; dorsement to be renewed, within the (3) Tankerman-PIC LG is Tankship: previous 5 years. Liquefied Gases; (d) For endorsements as tankerman- (4) Tankerman-PIC (barge) LG is engineer, present evidence of— Tank Barge: Liquefied Gases; (1) At least 90 days of service during (5) Tankerman assistant DL is Tank- the preceding 5 years onboard a tank ship: Familiarization (Dangerous Liq- vessel for which the endorsement is uids); valid, performing duties appropriate to (6) Tankerman assistant LG is Tank- the tankerman endorsement held; or ship: Familiarization (Liquefied (2) Completion of a course approved Gases); for this purpose, appropriate for the endorsement to be renewed, within the (7) Tankerman-engineer DL is Tank- previous 5 years. ship: Dangerous Liquids; and (8) Tankerman-engineer LG is Tank- [USCG–2004–17914, 78 FR 77989, Dec. 24, 2013] ship: Liquefied Gases. (d) The firefighting course required § 13.121 Courses for tankerman endorsements. for an endorsement as— (1) Tankerman-PIC (barge) is Tank (a) This section prescribes the re- Barge: Firefighting or basic fire- quirements, beyond those in §§ 10.302 fighting; and and 10.304 of this subchapter, applicable to schools offering courses required for (2) Tankerman-PIC, tankerman-as- a tankerman endorsement and courses sistant, and tankerman-engineer is that are a substitute for experience basic firefighting. with transfers of liquid cargo in bulk (e) The Coast Guard will evaluate and required for the endorsement. approve the curricula of courses to en- (b) A course that uses simulated sure adequate coverage of the required transfers to train students in loading subjects. Training may employ class- and discharging tank vessels may re- room instruction, demonstrations, or place up to two loadings and two dis- simulated or actual operations. charges, one commencement and one (1) The course curricula for Tankship completion of loading, and one com- Familiarization must consist of the mencement and one completion of dis- topics identified in Table 1 to § 13.121(e) charge required for a tankerman-PIC of this subpart. or tankerman-PIC (barge) endorse- (2) The course curricula for ment. The request for approval of the tankerman-PIC, tankerman-PIC course must specify those segments of (barge), and tankerman-engineer en- a transfer that the course will simu- dorsements must consist of the topics late. The letter from the Coast Guard identified in Table 2 to § 13.121(e) of this approving the course will state the subpart. number and kind of segments that the (3) The course curricula for fire- course will replace. fighting courses must consist of the (c) The liquid cargo course required topics identified in Table 3 to § 13.121(e) for an endorsement as— of this subpart.

TABLE 1 TO § 13.121(e)

Tankship familiarization topics 1 2

Basic knowledge of tankers: types of oil and chemical vessels or liquefied gas tanker vessels ...... X X general arrangement and construction ...... X X Basic knowledge of cargo operations: piping systems and valves ...... X X cargo pumps and cargo handling equipment ...... X X loading and unloading and care in transit ...... X X tank cleaning, purging, gas-freeing and inerting ...... X X Basic knowledge of the physical properties of oil and chemicals: pressure and temperature, including vapor pressure/temperature relationship ...... X

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TABLE 1 TO § 13.121(e)—Continued

Tankship familiarization topics 1 2

types of electrostatic charge generation ...... X chemical symbols ...... X Basic knowledge of the physical properties of liquefied gases, including: properties and characteristics ...... X pressure and temperature, including vapor pressure/temperature relationship ...... X types of electrostatic charge generation ...... X chemical symbols ...... X Knowledge and understanding of tanker safety culture and safety management ...... X X Basic knowledge of the hazards associated with tanker operations, including: health hazards ...... X X environmental hazards ...... X X reactivity hazards ...... X X corrosion hazards ...... X X explosion and flammability hazards ...... X X sources of ignition ...... X X electrostatic hazards ...... X X toxicity hazards ...... X X vapor leaks and clouds ...... X X extremely low temperatures ...... X pressure hazards ...... X Basic knowledge of hazard controls: inerting, water padding, drying agents and monitoring techniques ...... X X anti-static measures ...... X X ventilation ...... X X segregation ...... X X cargo inhibition ...... X X importance of cargo compatibility ...... X X atmospheric control ...... X X gas testing ...... X X Understanding of information on a Material Safety Data Sheet (MSDS) ...... X X Function and proper use of gas-measuring instruments and similar equipment ...... X X Proper use of safety equipment and protective devices, including: breathing apparatus and tank-evacuating equipment ...... X X protective clothing and equipment ...... X X resuscitators ...... X X rescue and escape equipment ...... X X Basic knowledge of safe working practices and procedures in accordance with legislation and industry guidelines and personal shipboard safety relevant to oil and chemical tankers, including: precautions to be taken when entering enclosed spaces ...... X X precautions to be taken before and during repair and maintenance work ...... X X safety measures for hot and cold work ...... X X electrical safety ...... X X ship/shore safety checklist ...... X X Basic knowledge of first aid with reference to a Material Safety Data Sheet (MSDS) X X Basic knowledge of emergency procedures, including emergency shutdown ...... X X Basic knowledge of the effects of oil and chemical pollution on human and marine life ...... X X Basic knowledge of shipboard procedures to prevent pollution ...... X X Basic knowledge of measures to be taken in the event of spillage, including the need to: report relevant information to the responsible persons ...... X X assist in implementing shipboard spill-containment procedures ...... X X prevent brittle fracture ...... X Column 1—Tankship familiarization (dangerous liquids). Column 2—Tankship familiarization (liquefied gases).

TABLE 2 TO § 13.121(e)

Tankship and tank barge course topics 1 2 3 4

General characteristics, compatibility, reaction, firefighting procedures, and safety precautions for the cargoes of: ...... Bulk liquids defined as Dangerous Liquids in 46 CFR Part 13 ...... X X ...... Bulk liquefied gases & their vapors defined as Liquefied Gases in 46 CFR Part 13 ...... X X Knowledge and understanding of the physical and chemical properties of oil and chemical cargoes ...... X ...... Physical phenomena of liquefied gas, including: ...... Basic concept ...... X X Compression and expansion ...... X X Mechanism of heat transfer ...... X X Potential hazards of liquefied gas, including: ...... Chemical and physical properties ...... X X

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TABLE 2 TO § 13.121(e)—Continued

Tankship and tank barge course topics 1 2 3 4

Combustion characteristics ...... X X Results of gas release to the atmosphere ...... X X Health hazards (skin contact, inhalation, and ingestion) ...... X X Control of flammability range with inert gas ...... X X Thermal stress in structure and piping of vessel ...... X X Cargo systems, including: ...... Principles of containment systems ...... X X X X Construction, materials, coating, & insulation of cargo tanks ...... X X General arrangement of cargo tanks ...... X X X X Venting and vapor-control systems ...... X X X X Cargo-handling systems, including: ...... Piping systems, valves, pumps, and expansion systems ...... X X X X Operating characteristics...... X X X X Instrumentation systems, including: ...... Cargo-level indicators ...... X X X X Gas-detecting systems ...... X ...... X X Temperature-monitoring systems, cargo ...... X ...... X X Temperature-monitoring systems, hull ...... X X Automatic-shutdown systems ...... X ...... X X Auxiliary systems, including: ...... Ventilation, inerting ...... X X X X Valves, including: ...... Quick-closing ...... X X X X Remote-control ...... X X X X Pneumatic ...... X X X X Excess-flow ...... X X X X Safety-relief ...... X X X X Pressure-vacuum ...... X X X X Heating-systems: cofferdams & ballast tanks ...... X X Operations connected with the loading and discharging of cargo, including: ...... Lining up the cargo and vapor-control systems ...... X X X X Pre-transfer inspections and completion of the Declaration of Inspection ...... X X X X Hooking up of cargo hose, loading arms, and grounding-strap ...... X X X X Starting of liquid flow ...... X X X X Calculation of loading rates ...... X ...... X Discussion of loading ...... X X X X Ballasting and deballasting...... X X X X Topping off of the cargo tanks ...... X X X X Discussion of discharging...... X X X X Stripping of the cargo tanks ...... X X ...... Monitoring of transfers ...... X X X X Gauging of cargo tanks ...... X X X X Disconnecting of cargo hoses or loading arms ...... X X X X Cargo-tank-cleaning procedures and precautions ...... X X ...... Slop arrangements ...... X ...... Ship-to-ship transfers ...... X ...... Operating procedures and sequence for: ...... Inerting of cargo tanks and void spaces ...... X X X X Cooldown and warmup of cargo tanks ...... X X Gas-freeing ...... X X X X Loaded or ballasted voyages ...... X ...... X Testing of cargo-tank atmospheres for oxygen & cargo vapor ...... X X X X Stability and stress considerations connected with loading and discharging of cargo ...... X X X X Loadline, draft, and trim ...... X X X X Disposal of boil-off, including: ...... System design ...... X X Safety features ...... X X Stability-letter requirements ...... X ...... X Emergency procedures, including notice to appropriate authorities, for: ...... Fire ...... X X X X Collision ...... X X X X Grounding ...... X X X X Equipment failure ...... X X X X Leaks and spills ...... X X X Structural failure ...... X X X X Emergency discharge of cargo ...... X X X X Entering cargo tanks ...... X X X X Emergency shutdown of cargo-handling ...... X X X X Emergency systems for closing cargo tanks ...... X X ...... Rules & regulations (international and Federal, for all tank vessels) on conducting operations and preventing pollution ...... X X X X Pollution prevention, including: ......

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TABLE 2 TO § 13.121(e)—Continued

Tankship and tank barge course topics 1 2 3 4

Procedures to prevent air and water pollution ...... X X X X Measures to take in event of spillage ...... X X X X Danger from drift of vapor cloud ...... X X X X Environmental protection equipment, including oil discharge monitoring equipment .... X ...... Terminology for tankships carrying oil and chemicals ...... X ...... Terminology for tank barges carrying oil and chemicals ...... X ...... Terminology for tankships carrying liquefied gases ...... X Terminology for tank barges carrying liquefied gases ...... X Principles & procedures of crude-oil-washing (COW) systems, including: ...... Purpose ...... X ...... Equipment and design ...... X ...... Operations ...... X ...... Safety precautions ...... X ...... Maintenance of plant and equipment ...... X ...... Principles & procedures of the inert-gas systems (IGSs), including: ...... Purpose ...... X ...... X Equipment and design ...... X ...... X Operations ...... X ...... X Safety precautions ...... X ...... X Maintenance of plant and equipment ...... X ...... X Principles & procedures of vapor-control systems, including: ...... Purpose ...... X X X X Principles ...... X X X X Coast Guard regulations...... X X X X Hazards ...... X X X X Active system components...... X X X X Passive system components...... X X X X Operating procedures, including: ...... Testing and inspection requirements ...... X X X X Pre-transfer procedures...... X X X X Connecting sequence...... X X X X Start-up sequence ...... X X X X Normal operations ...... X X X X Loading and unloading plans ...... X ...... Emergency procedures ...... X X X X Cargo-hazard-information systems ...... X X X X Safe entry into confined spaces, including: ...... Testing tank atmospheres for oxygen & hydrocarbon vapors ...... X X ...... Definition and hazards of confined spaces ...... X X X X Cargo tanks and pumprooms ...... X X X X Evaluation and assessment of risks and hazards ...... X X X X Safety precautions and procedures ...... X X X X Enclosed space rescue ...... X ...... Personnel protective equipment (PPE) and clothing ...... X X X X Maintenance of PPE ...... X X X X Dangers of skin contact ...... X X X X Inhalation of vapors ...... X X ...... Electricity and static electricity—hazards and precautions ...... X X X X Emergency procedures...... X X X X Federal regulations, national standards & industry guidelines ...... X X X X Inspections by marine chemists & competent persons, including hot-work permits & procedures ...... X X X X Vessel response plans: ...... Purpose, content, and location of information ...... X X X X Procedures for notice and mitigation of spills ...... X X X X Geographic-specific appendices...... X X X X Vessel-specific appendices...... X X X X Emergency-action checklist...... X X X X Column 1—Tankship: Dangerous Liquids. Column 2—Tank Barge: Dangerous Liquids. Column 3—Tankship: Liquefied Gases. Column 4—Tank Barge: Liquefied Gases.

TABLE 3 TO § 13.121(e)

Firefighting course topics 1 2

Elements of fire (Fire triangle): Fuel ...... X X Source of ignition ...... X X Oxygen ...... X X Ignition sources (general):

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TABLE 3 TO § 13.121(e)—Continued

Firefighting course topics 1 2

Chemical ...... X Biological ...... X Physical ...... X Ignition sources applicable to barges ...... X Definitions of flammability and combustibility: Flammability ...... X X Ignition point ...... X X Burning temperature ...... X X Burning speed ...... X Thermal value ...... X Lower flammable limit ...... X X Upper flammable limit ...... X X Flammable range ...... X X Inerting ...... X Static electricity ...... X X Flash point ...... X X Auto-ignition ...... X X Spread of fire: By radiation ...... X X By convection ...... X X By conduction ...... X X Reactivity ...... X X Fire classifications and applicable extinguishing agents ...... X X Main causes of fires: Oil leakage ...... X X Smoking ...... X X Overheating pumps ...... X X Galley appliances ...... X Spontaneous ignition ...... X X Hot work ...... X X Electrical apparatus ...... X Reaction, self-heating, and auto-ignition ...... X Fire prevention: General ...... X X Fire hazards of DL and LG ...... X X Fire detection: Fire- and smoke-detection systems ...... X Automatic fire alarms ...... X Firefighting equipment: Fire mains, hydrants ...... X International shore-connection ...... X Smothering-installations, carbon dioxide (CO2), foam * * * ...... X Pressure-water spray system in special-category spaces ...... X Automatic sprinkler system ...... X Emergency fire pump, emergency generator ...... X Chemical-powder applicants ...... X General outline of required and mobile apparatus ...... X Fireman’s outfit, personal equipment ...... X Breathing apparatus ...... X Resuscitation apparatus ...... X Smoke helmet or mask ...... X Fireproof life-line and harness ...... X Fire hose, nozzles, connections, and fire axes ...... X Fire blankets ...... X Portable fire extinguishers ...... X X Limitations of portable and semiportable extinguishers ...... X X Emergency procedures: Arrangements: Escape routes ...... X X Means of gas-freeing tanks ...... X X Class A, B, and C divisions ...... X Inert-gas system ...... X Ship firefighting organization: General alarms ...... X Fire-control plans, muster stations, and duties ...... X Communications ...... X Periodic shipboard drills ...... X Patrol system ...... X Basic firefighting techniques: Sounding alarm ...... X X Locating and isolating fires ...... X X Stopping leakage of cargo ...... X X

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TABLE 3 TO § 13.121(e)—Continued

Firefighting course topics 1 2

Jettisoning ...... X Inhibiting ...... X Cooling ...... X Smothering ...... X Sizing up situation ...... X Locating information on cargo ...... X Extinguishing ...... X X Extinguishing with portable units ...... X X Setting reflash watch ...... X X Using additional personnel ...... X X Firefighting extinguishing-agents: Water (solid jet, spray, fog, and flooding) ...... X Foam (high, medium and low expansion) ...... X Carbon dioxide (CO2) ...... X X Aqueous-film-forming foam (AFFF) ...... X Dry chemicals ...... X X Use of extinguisher on: Flammable and combustible liquids ...... X X Manifold-flange fire ...... X X Drip-pan fire ...... X X Pump fire ...... X X Drills for typical fires on barges ...... X Field exercises: Extinguish small fires using portable extinguishers: Electrical ...... X X Manifold-flange ...... X X Drip-pan ...... X X Pump ...... X X Use self-contained breathing apparatus (SCBA) ...... X Extinguish extensive fires with water ...... X Extinguish fires with foam, or chemical ...... X Fight fire in smoke-filled enclosed space wearing SCBA ...... X Extinguish fire with water fog in an enclosed space with heavy smoke ...... X Extinguish oil fire with fog applicator and spray nozzles, dry-chemical, or foam applicators ...... X Effect a rescue in a smoke-filled space while wearing breathing apparatus ...... X Column 1—tankerman-PIC (barge). Column 2—tankerman-PIC, tankerman-engineer, and tankerman-assistant.

[USCG–2004–17914, 78 FR 77989, Dec. 24, 2013, as amended by USCG–2014–0688, 79 FR 58279, Sept. 29, 2014]

§ 13.123 Recency of service or experi- physical requirements of part 10, sub- ence for original tankerman en- part C, of this chapter. dorsement. [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as An applicant for an original amended by USCG–2006–24371, 74 FR 11259, tankerman endorsement in subpart B, Mar. 16, 2009; USCG–2004–17914, 78 FR 77994, C, D, or E of this part must have ob- Dec. 24, 2013] tained at least 25 percent of the quali- § 13.127 Service: General. fying service and, if the endorsement (a) A service letter must be signed by requires transfers, at least two of the the owner, operator, master, or chief qualifying transfers, within 5 years of engineer of the vessel and must specify the date of application. the following: [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as (1) The name of the vessel, official amended by USCG–2004–17914, 78 FR 77994, number for the vessel, and date of serv- Dec. 24, 2013] ice for each vessel. (2) For endorsements as tankerman- § 13.125 Physical and medical require- PIC, tankerman-PIC (barge), and ments. tankerman-assistant, the classification Each applicant for an original of cargo (DL, LG, or, for a restricted tankerman endorsement must meet the endorsement, a specific product) handled while the applicant accumulated the service.

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(3) The dates, the numbers and kinds (a)(3) of this section, the following of transfers the applicants have par- rules apply: ticipated in, the ports or terminals, if (1) A transfer must involve the load- applicable, and the number of transfers ing or discharge from at least one of that involved commencement or com- the vessel’s cargo tanks to or from a pletion of loading or discharge. shore facility or another vessel. A shift (4) For endorsements as tankerman- of cargo from one tank to another tank PIC or tankerman-PIC (barge), that the is not a transfer for this purpose. applicant has demonstrated to the sat- (2) Regardless of how long the trans- isfaction of the signer that he or she is fer lasts beyond 4 hours, it counts as fully capable of supervising transfers of only one transfer. liquid cargo, including— (3) A transfer must include both a (i) Pre-transfer inspection; commencement and a completion. (ii) Pre-transfer conference and exe- (4) Regardless of how many tanks or cution of the Declaration of Inspection; products are being loaded or discharged (iii) Connection of cargo hoses or at the same time, a person may receive loading-arms; credit for only one transfer, one load- (iv) Line-up of the cargo system for ing, and one discharge conducted dur- loading and discharge; ing each watch. (v) Start of liquid flow during load- (5) Credit for a transfer during a ing; watch of less than 4 hours accrues only (vi) Start of cargo pump and increase if the watch includes either the connec- of pressure to normal discharge pres- tion and the commencement of transfer sure; or the completion of transfer and the (vii) Calculation of loading-rates; disconnection. (viii) Monitoring; (6) Credit for a commencement of (ix) Topping-off of cargo tanks during loading accrues only if the applicant loading; participates in the pre-transfer inspec- (x) Stripping of cargo tanks; tion, the pre-transfer conference in- (xi) Ballasting and deballasting, if cluding execution of the Declaration of appropriate; Inspection, the connection of hoses or (xii) Disconnection of the cargo hoses loading-arms, the line-up of the system or loading-arms; and for the loading, the start of liquid flow, (xiii) Securing of cargo systems. and the calculation of loading-rates, (5) For endorsements as tankerman- where applicable. engineer, that the applicant has dem- (7) Credit for a commencement of dis- onstrated to the satisfaction of the charge accrues only if the applicant signer that he or she is fully capable of participates in the pre-transfer inspec- supervising transfers of fuel oil, includ- tion, the pre-transfer conference in- ing— cluding execution of the Declaration of (i) Pre-transfer inspection; Inspection, the connection of hoses or (ii) Pre-transfer conference and exe- loading-arms, the line-up of the cargo cution of the Declaration of Inspection; system for the discharge, the start of (iii) Connection of hoses or loading- the pump or pumps and increase of arms; pressure to normal pressure for dis- (iv) Line-up of the piping system for charge, and the monitoring of dis- loading and transfer of fuel oil; charge rates. (v) Start of liquid flow during load- (8) Credit for a completion of trans- ing; fer, whether loading or discharge, ac- (vi) Calculation of loading rates; crues only if the applicant participates (vii) Monitoring; in the topping-off at the loading port, (viii) Topping-off of tanks during or in the stripping of cargo tanks and loading; the commencement of ballasting, if re- (ix) Disconnection of the hoses or quired by the vessel’s transfer proce- loading arms; and dures, at the discharge port. (x) Securing of fuel oil systems. (9) Personnel desiring credit for (b) In determining the numbers and transfers during off-duty hours may kinds of transfers that the applicant satisfy requirements of competence has participated in under paragraph through incremental training periods

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that include segments of transfers. The the Coast Guard, provided the ATB cumulative number of transfers must equipment is comparable to tank ves- equal the minimum specified in sel equipment. The Coast Guard may §§ 13.203(b) or 13.303(b) of this sub- issue blanket authorizations for classes chapter. of ATBs. (c) Service on Articulated Tug Barges (ATBs). Service on ATBs with an ag- [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as gregate tonnage of 1,600 GRT or more amended by CGD 79–116, 62 FR 25133, May 8, will be creditable on a case-by-case 1997; USCG–2004–17914, 78 FR 77994, Dec. 24, basis and with prior authorization by 2013]

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VerDate Sep<11>2014 10:49 Nov 12, 2014 Jkt 232198 PO 00000 Frm 00286 Fmt 8010 Sfmt 8010 Q:\46\46V1.TXT 31 Coast Guard, DHS § 13.129 English language ...... 13.111(d)(5). Cargo training Firefighting 13.111(c) ...... No ...... 13.111(c). . 13.401(d) ...... 13.401(e)(1) ... 13.401(f). ... 13.501(c)(3) ... 13.501(c)(4) ... 13.501(d). ... 13.111(b) ...... No ...... 13.111(b). .... 13.301(c)(3) ... 13.301(c)(4) ... 13.301(d)...... 13.201(c)(3) ... 13.201(c)(4) ... 13.201(d). ice Proof of serv- service Recency of § 13.129 TO 1 ABLE T 18; 13.111(d)(1) .... Yes; Part 10, subpart C ... 13.111(d)(4) ... No ...... 13.111(d)(4) ... No ...... No ...... Category Minimum age Physical required Service Table 1 to § 13.129 provides a guide to the requirements for various tankerman endorsements. Provisions in ref- (Barge), Facility. Tankerman-PIC Subpart B ...... Tankerman-PIC (Barge) Subpart C 18; 13.201(a) 18; 13.301(a) ...... Tankerman-Assistant Subpart D ...... Yes; Part 10, subpart CTankerman-Engineer Subpart E Yes; Part 10, subpart C ... 18; 13.401(a) ...... 13.203Restricted Tankerman-PIC ...... 13.303 ...... 18; 13.501(a) ...... Yes; Part 10, subpart C ...... Restricted Tankerman-PIC (Barge) ... 13.123 18; 13.111(b) 13.123 ...... 18; 13.111(c) ...... Yes; Part 10, subpart CRestricted Tankerman-PIC 13.401(e)(2) ...... 13.205 Yes; Part 10, subpart C ..... 13.305 ... Yes; Part 10, subpart C 13.503 ...... 13.123 ...... 13.111(b) 13.123 ...... 13.111(c) 13.405 ...... 13.111(b) 13.505 ...... 13.111(c) ...... 13.111(b) .... 13.111(c) ...... § 13.129 Quick-reference table for tankerman endorsements. erence sections are controlling. [USCG–2004–17914, 78 FR 77995, Dec. 24, 2013]

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Subpart B—Requirements for (2) At least 90 days of rating or cadet Tankerman-PIC Endorsement service on deck or in the engine department on one or more tankships or self- § 13.201 Original application for propelled tank vessels certified to tankerman-PIC endorsement. carry DL or LG appropriate to the en- Each applicant for an original dorsement applied for; or tankerman-PIC endorsement must— (3) A combination of the service in (a) Be at least 18 years old; paragraphs (a) (1) and (2) of this sec- (b) Apply on a form provided by the tion. Coast Guard; (b) Each applicant must present evi- (c) Present evidence of— dence of participation, under the super- (1) Passing a physical and medical ex- vision of a tankerman-PIC, in at least amination in accordance with § 13.125 of 10 transfers of liquid cargo in bulk of this part; the classification desired on tankships (2) Service on tankships in accord- or self-propelled tank vessels, includ- ance with § 13.203 of this subpart; ing at least— (3) Completion of an approved fire- (1) Five loadings and five discharges; fighting course that provides training (2) Two commencements of loading in the subjects listed in Table 1 to and two completions of loading; and § 13.121(g) of this part completed within 5 years of the date of application for (3) Two commencements of discharge the endorsement, unless he or she has and two completions of discharge. previously submitted such a certificate (c) Each applicant already holding an for a license, tankerman endorsement, MMD or MMC endorsed tankerman-PIC or officer endorsement on an MMC; and for DL and seeking an endorsement for (4) Completion of an approved course LG, or the converse, must— for Tankship: Dangerous Liquids or (1) Provide evidence of at least half Tankship: Liquefied Gases appropriate the service required by paragraph (a) of to the endorsement applied for within this section; and the previous 5 years. A course certifi- (2) Comply with paragraph (b) of this cate used for original issuance or re- section, except that he or she need pro- newal of an endorsement cannot be vide evidence of only three loadings used for a subsequent renewal of the and three discharges along with evi- same endorsement; and dence of compliance with paragraphs (d) Be capable of speaking and under- (b)(2) and (3) of this section. standing, in English, all instructions needed to commence, conduct, and [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as complete a transfer of cargo, and be ca- amended by CGD 79–116, 62 FR 25134, May 8, pable of reading and understanding the 1997; USCG–2006–24371, 74 FR 11259, Mar. 16, English language found in the Declara- 2009; USCG–2004–17914, 78 FR 77995, Dec. 24, tion of Inspection, vessel response 2013] plans, and Material Safety Data Sheet. § 13.205 Proof of service for [USCG–2004–17914, 78 FR 77995, Dec. 24, 2013] tankerman-PIC endorsement.

§ 13.203 Service requirements. Proof of service must be provided in a letter on company letterhead from Each applicant for a tankerman-PIC the owner, operator, or master of the endorsement for DL or LG must meet vessel on which the applicant obtained the requirements of either paragraphs the service. The letter must contain (a) and (b) or paragraph (c) of this sec- the information described in § 13.127(a). tion. (a) Each applicant must present evi- [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as dence of— amended by USCG–2004–17914, 78 FR 77995, (1) At least 90 days of service as a Dec. 24, 2013] deck officer or an engineering officer on one or more tankships or self-propelled tank vessels certified to carry DL or LG appropriate to the endorsement applied for;

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Subpart C—Requirements for personnel, on one or more tank vessels Tankerman-PIC (Barge) En- certified to carry DL or LG appropriate dorsement to the endorsement applied for; or (2) At least 6 months of closely re- § 13.301 Original application for lated service directly involved with tankerman-PIC (barge) endorse- tank barges appropriate to the endorsement. ment applied for; and Each applicant for a tankerman-PIC (b) Participation, under the super- (barge) endorsement must— vision of a tankerman-PIC or (a) Be at least 18 years old; tankerman-PIC (barge), in at least 10 (b) Apply on a form provided by the transfers of liquid cargo in bulk of the Coast Guard; classification desired on any tank ves- (c) Present evidence of— sel, including at least— (1) Passing a physical and medical ex- (1) Five loadings and five discharges; amination according to § 13.125 of this (2) Two commencements of loading part; and two completions of loading; and (2) Service on tank vessels in accord- (3) Two commencements of discharge ance with § 13.303 of this subpart; and two completions of discharge. (3) Completion of an approved Tank Barge: Firefighting course providing (c) Each applicant already holding an training in the subjects identified in MMD or MMC endorsed tankerman-PIC Table 1 to § 13.121(g) of this part com- (barge) for DL and seeking an endorse- pleted within 5 years of the date of ap- ment for LG, or the converse, must— plication for the endorsement, unless (1) Provide evidence of at least half he or she has previously submitted the service required by paragraph (a) of such a certificate for a license, this section; and tankerman endorsement, or officer en- (2) Comply with paragraph (b) of this dorsement on an MMC; and section, except that he or she need pro- (4) Completion of an approved Tank vide evidence of only three loadings Barge: Dangerous Liquids or Tank and three discharges along with evi- Barge: Liquefied Gases course appro- dence of compliance with paragraphs priate for the endorsement applied for (b)(2) and (3) of this section. within the previous 5 years. A course certificate used for original issuance or [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as renewal of an endorsement cannot be amended by CGD 79–116, 62 FR 25134, May 8, used for a subsequent renewal of the 1997; USCG–2006–24371, 74 FR 11260, Mar. 16, same endorsement; and 2009; USCG–2004–17914, 78 FR 77996, Dec. 24, 2013] (d) Be capable of speaking, and understanding, in English, all instruc- § 13.305 Proof of service for tions needed to commence, conduct, tankerman-PIC (barge). and complete a transfer of cargo, and be capable of reading and under- Proof of service must be provided in standing the English language found in a letter on company letterhead from the Declaration of Inspection, vessel the owner or operator of a terminal; response plans, and Material Safety the owner or operator of a tank barge; Data Sheet. the owner, operator, or master of a tank vessel; or the employer of shore- [USCG–2004–17914, 78 FR 77995, Dec. 24, 2013] based tankermen. The letter must con- § 13.303 Service requirements. tain the information required by § 13.127(a), excluding paragraph Each applicant for a tankerman-PIC (barge) endorsement for DL or LG must (a)(4)(vii). meet the requirements of either para- [CGD 79–116, 62 FR 25134, May 8, 1997, as graphs (a) and (b) or paragraph (c) of amended by USCG–2004–17914, 78 FR 77996, this section. Dec. 24, 2013] (a) Each applicant must present evidence of— (1) At least 60 days of service, whether by shore-based or by vessel-based

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Subpart D—Requirements for (2) Complete a course in DL or LG ap- Tankerman-Assistant Endorsement propriate to the endorsement applied for as prescribed in § 13.401(e)(1) of this § 13.401 Original application for subpart. tankerman-assistant endorsement. (b) [Reserved] Each applicant for a tankerman-as- [USCG–2004–17914, 78 FR 77996, Dec. 24, 2013] sistant endorsement must— (a) Be at least 18 years old; § 13.405 Proof of service for (b) Apply on a form provided by the tankerman-assistant endorsement. Coast Guard; Service must be proved by either— (c) Present evidence of passing a (a) A letter on company letterhead physical and medical examination ac- from the owner, operator, or master of cording to § 13.125 of this part; a tankship or self-propelled tank ves- (d) Present evidence of completion of sel. The letter must specify— an approved firefighting course pro- (1) The name of the vessel(s), the ap- viding training in the subjects identi- plicable dates, and the port(s) or ter- fied in Table 1 to § 13.121(g) of this part minal(s); completed within 5 years of the date of (2) The classification of cargo (DL or application for the endorsement, unless LG) carried while the applicant accu- he or she has previously submitted mulated the service; such a certificate for a license, (3) The number of days of deck serv- tankerman endorsement, or officer en- ice the applicant accumulated on the dorsement on an MMC; tankship or self-propelled tank vessel; (e) Present evidence of either— and (1) Completion of an approved Tank- (4) That the applicant has dem- ship Familiarization course providing onstrated an understanding of cargo training in the subjects identified in transfer and a sense of responsibility Table 1 to § 13.121(e) of this part within that, in the opinion of the signer, will the previous 5 years. A course certifi- allow the applicant to safely carry out cate used for original issuance or re- duties respecting cargo transfer and newal of an endorsement cannot be transfer equipment assigned by the PIC used for a subsequent renewal of the of the transfer without direct super- same endorsement; or vision by the PIC; or (2) At least 90 days of deck service on (b) Certificates of Discharge from tankships or self-propelled tank vessels tankships with the appropriate classi- certified to carry DL or LG appropriate fication of cargo (DL, LG, or both); and to the endorsement applied for and suc- a letter on company letterhead from cessfully complete a professional exam- the owner, operator, or master of one ination for the topics identified in of the tankships or self-propelled tank Table 1 to § 13.121(e) of this part; and vessels stating that he or she has dem- (f) Be capable of speaking and under- onstrated— standing, in English, all instructions (1) An understanding of cargo trans- needed to commence, conduct, and fers; and complete a transfer of cargo. (2) A sense of responsibility that, in the opinion of the signer, will allow [USCG–2004–17914, 78 FR 77996, Dec. 24, 2013] him or her to safely carry out duties respecting cargo and its equipment as- § 13.403 Service requirements. signed by the PIC of the transfer with- (a) Each applicant already holding an out direct supervision by the PIC. MMD or MMC endorsed tankerman-assistant for DL and seeking one for LG, [USCG–2004–17914, 78 FR 77996, Dec. 24, 2013] or the converse, must— (1) Provide evidence of at least half Subpart E—Requirements for the service required in § 13.401(e)(2) of Tankerman-Engineer Endorsement this subpart and successfully complete a professional examination for the top- § 13.501 Original application for ics identified in Table 1 to § 13.121(e) of tankerman-engineer endorsement. this part appropriate to the endorse- Each applicant for a tankerman-engi- ment applied for; or neer endorsement must—

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(a) Be at least 18 years old; must prove at least half the service re- (b) Apply on a form provided by the quired by paragraph (a) of this section. Coast Guard; [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as (c) Present evidence of— amended by CGD 79–116, 62 FR 25134, May 8, (1) Passing a physical and medical ex- 1997; USCG–2006–24371, 74 FR 11260, Mar. 16, amination according to § 13.125 of this 2009; USCG–2004–17914, 78 FR 77997, Dec. 24, part; 2013] (2) Service on tankships and self-pro- § 13.505 Proof of service for pelled tank vessels in accordance with tankerman-engineer endorsement. § 13.503 of this subpart; (a) Service must be proved by a letter (3) Completion of an approved fire- on company letterhead from the owner, fighting course providing training in operator, master, or chief engineer of a the subjects identified in Table 1 to tankship or self-propelled tank vessel. § 13.121(g) of this part completed within The letter must specify— 5 years of the date of application for (1) The classification of cargo (DL, the endorsement, unless he or she has LG, or both) carried while the appli- previously submitted such a certificate cant accumulated the service; and for a license, tankerman endorsement, (2) The number of days of officer, rat- or officer endorsement on an MMC; and ing, and cadet service in the engine de- (4) Completion of an approved Tank- partment on tankships or self-propelled ship course in dangerous liquids or liq- tank vessels; or (b) Service must be proved by certifi- uefied gases, appropriate for the en- cates of discharge from tankships or dorsement applied for within the pre- self-propelled tank vessels with the ap- vious 5 years. A course certificate used propriate classification of cargo (DL, for original issuance or renewal of an LG, or both). endorsement cannot be used for a subsequent renewal of the same endorse- [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79–116, 62 FR 25135, May 8, ment; and 1997; USCG–2006–24371, 74 FR 11260, Mar. 16, (d) Be capable of speaking and under- 2009] standing, in English, all instructions needed to commence, conduct, and Subpart F—Requirements for STCW complete a transfer of cargo or fuel. Tankerman Endorsements [USCG–2004–17914, 78 FR 77996, Dec. 24, 2013] SOURCE: USCG–2004–17914, 78 FR 77997, Dec. § 13.503 Service requirements. 24, 2013, unless otherwise noted. (a) Each applicant for a tankerman- § 13.601 General. engineer endorsement must present evidence of at least— (a) When all tankerman endorsements are issued, renewed, or other- (1) 90 days of service as an engineer- wise modified, the Coast Guard will de- ing officer on tankships or self-pro- termine, upon request, whether the ap- pelled tank vessels certified to carry plicant meets the requirements for an DL or LG appropriate to the endorse- STCW tankerman endorsement for ment applied for; service on seagoing vessels. If the ap- (2) 90 days of rating or cadet service plicant is qualified, the Coast Guard in the engine department on tankships will issue the appropriate endorsement. or self-propelled tank vessels certified An applicant for any STCW endorse- to carry DL or LG appropriate to the ment must hold the appropriate na- endorsement applied for; or tional endorsement unless otherwise (3) A combination of the service in specified. paragraphs (a) (1) and (2) of this sec- (b) Applicants for an STCW tion. tankerman endorsement must— (b) Each applicant already holding an (1) Meet the training and service re- MMD or MMC endorsed as tankerman- quirements for the endorsement sought; and engineer for DL and seeking an en- (2) Meet the appropriate standard of dorsement for LG, or the converse, competence identified in the STCW

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Code (incorporated by reference, see self-propelled vessels. To qualify for § 13.103 of this part). this endorsement, an applicant must— (c) The Coast Guard will accept the (1) Hold a national endorsement as following as proof of meeting the tankerman-PIC (barge) dangerous liq- standards of competence: uids; (1) In-service experience: Documenta- (2) Provide evidence of meeting the tion of successful completion of assess- standards of competence identified in ments, approved or accepted by the Table A–V/1–1–2 of the STCW Code; and Coast Guard, and signed by a qualified (3) Provide evidence of at least 90 assessor, deck or engineering, as appro- days of service, whether shore-based or priate. vessel-based, on one or more oil tank- (2) Training ship experience: Docu- ers. The Coast Guard will accept serv- mentation of successful completion of ice submitted to qualify for a national an approved training program involv- endorsement required in § 13.303 of this ing formal training and assessment on- part, provided that the service was on board a school ship. oil tankers. (3) Simulator training: Documenta- (c) Applicants may qualify for an en- tion of successful completion of train- dorsement in advanced oil tanker cargo ing and assessment from a Coast operations with a limitation to mainte- Guard-approved course involving mari- nance and repair of cargo equipment. time simulation. To qualify for this endorsement, an ap- (4) Training program: Documentation plicant must— of successful completion of an approved (1) Qualify for a national endorse- training program involving formal ment as tankerman-engineer; training and assessments. (2) Provide evidence of meeting the (d) The Coast Guard will publish standards of competence identified in guidelines that should be used to docu- Table A–V/1–1–2 of the STCW Code ap- ment successful demonstrations of plicable to maintenance and repair of competence. Organizations may de- cargo equipment; and velop alternative assessment docu- (3) Provide evidence of— mentation for demonstrations of com- (i) At least 90 days of service as an petence ; however, such documentation engineering officer on oil tankers; must be approved by the Coast Guard (ii) At least 90 days of rating or cadet prior to its use and submittal with an service on deck or in the engine depart- application. ment on oil tankers; or (iii) A combination of the service in § 13.603 Requirements to qualify for an paragraphs (c)(3)(i) and (c)(3)(ii) of this STCW endorsement for advanced section. oil tanker cargo operations. (d) Applicants holding an endorse- (a) Every applicant for an endorsement in advanced chemical tanker ment in advanced oil tanker cargo op- cargo operations or advanced liquefied erations must— gas tanker cargo operations may qual- (1) Qualify for a national endorse- ify for an endorsement in advanced oil ment as tankerman-PIC dangerous liq- tanker cargo operations by completing, uid; in a supernumerary capacity, an ap- (2) Meet the standards of competence proved training program onboard oil identified in Table A–V/1–1–2 of the tankers. The program must be at least STCW Code (incorporated by reference, 1 month and include at least three see § 13.103 of this part); and loading and three discharge operations. (3) Provide evidence of 90 days of sea (e) Grandfathering. Seafarers holding service onboard oil tankers. The Coast valid tankerman-PIC dangerous liquid, Guard will accept service submitted to tankerman-PIC (barge) dangerous liq- qualify for a national endorsement as uid, or tankerman-engineer endorse- required in § 13.203 of this part, pro- ments issued prior to March 24, 2014, vided that the service was on oil tank- will be issued STCW endorsements for ers. advanced oil and chemical tanker (b) Applicants may qualify for an en- cargo operations, with any appropriate dorsement in advanced oil tanker cargo limitations, without meeting the re- operations with a limitation to non- quirements of this section. Seafarers

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holding an endorsement as tankerman- er cargo operations with a limitation PIC (barge) dangerous liquid, and hold- to maintenance and repair of cargo ing an advanced oil tanker cargo oper- equipment. To qualify for this endorse- ations endorsement issued on or before ment, an applicant must: March 24, 2014, will be limited to non- (1) Qualify for a national endorse- self-propelled vessels. Seafarers hold- ment as tankerman-engineer; ing an endorsement as tankerman-en- (2) Provide evidence of meeting the gineer, and holding an advanced oil standards of competence identified in tanker cargo operations endorsement Table A–V/1–1–3 of the STCW Code ap- issued on or before March 24, 2014, will plicable to maintenance and repair of be limited to maintenance and repair cargo equipment; and of cargo equipment. After March 24, 2014, all seafarers applying for an origi- (3) Provide evidence of— nal endorsement in advanced oil tanker (i) At least 90 days of service as an cargo operations must meet the re- engineering officer on chemical tank- quirements of this section. ers; (ii) At least 90 days of rating or cadet § 13.605 Requirements to qualify for an service on deck or in the engine depart- STCW endorsement for advanced ment on chemical tankers; or chemical tanker cargo operations. (iii) A combination of the service in (a) Every applicant for an endorse- paragraphs (c)(3)(i) and (c)(3)(ii) of this ment in advanced chemical tanker section. cargo operations must: (d) Applicants holding an endorse- (1) Qualify for a national endorsement in advanced oil tanker cargo op- ment as tankerman-PIC dangerous liq- erations or advanced liquefied gas uid; tanker cargo operations may qualify (2) Meet the standards of competence for an endorsement in advanced chem- identified in Table A–V/1–1–3 of the ical tanker cargo operations by com- STCW Code (incorporated by reference, see § 13.103 of this part); and pleting, in a supernumerary capacity, (3) Provide evidence of 90 days of sea an approved training program onboard service onboard chemical tankers. The chemical tankers. The program must Coast Guard will accept service sub- be at least 1 month and include at least mitted to qualify for a national en- three loading and three discharge oper- dorsement as required in § 13.203 of this ations. part, provided that the service was on (e) Grandfathering. Seafarers holding chemical tankers. valid tankerman-PIC dangerous liquid, (b) Applicants may qualify for an en- tankerman-PIC (barge) dangerous liq- dorsement in advanced chemical tank- uid, or tankerman-engineer endorse- er cargo operations with a limitation ments issued prior to March 24, 2014 to non-self-propelled vessels. To qual- will be issued STCW endorsements for ify for this endorsement, an applicant advanced oil and chemical tanker must: cargo operations, with any appropriate (1) Qualify for a national endorse- limitations, without meeting the re- ment as tankerman-PIC (barge) dan- quirements of this section. Seafarers gerous liquid; holding an endorsement as tankerman- (2) Provide evidence of meeting the PIC (barge) dangerous liquid, and hold- standards of competence identified in ing an advanced chemical tanker cargo Table A–V/1–1–3 of the STCW Code; and operations endorsement issued on or (3) Provide evidence of at least 90 before March 24, 2014, will be limited to days of service, whether shore-based or non-self-propelled vessels. Seafarers vessel-based, on chemical tankers. The holding an endorsement as tankerman- Coast Guard will accept service submitted to qualify for a national en- engineer, and holding an advanced dorsement as required in § 13.303 of this chemical tanker cargo operations en- part, provided that the service was on dorsement issued on or before March chemical tankers. 24, 2014, will be limited to maintenance (c) Applicants may qualify for an en- and repair of cargo equipment. After dorsement in advanced chemical tank- March 24, 2014, all seafarers applying

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for an original endorsement in ad- (i) At least 90 days of service as an vanced chemical tanker cargo oper- engineering officer on liquefied gas ations must meet the requirements of tankers; this section. (ii) At least 90 days of rating or cadet service on deck or in the engine depart- § 13.607 Requirements to qualify for an ment on liquefied gas tankers; or STCW endorsement for advanced (iii) A combination of the service in liquefied gas tanker cargo oper- paragraphs (c)(3)(i) and (c)(3)(ii) of this ations. section. (a) Every applicant for an endorse- (d) Applicants holding an endorsement in advanced liquefied gas tanker ment in advanced oil tanker cargo op- cargo operations must: erations or advanced chemical tanker (1) Qualify for a national endorse- cargo operations may qualify for an en- ment as tankerman-PIC liquefied gas; dorsement in advanced liquefied gas (2) Meet the standards of competence tanker cargo operations by completing, identified in Tables A–V/1–2–2 of the in a supernumerary capacity, an ap- STCW Code (incorporated by reference, proved training program onboard lique- see § 13.103 of this part); and fied gas tankers. The program must be (3) Provide evidence of 90 days of at least 1 month and include at least service on liquefied gas tankers. The three loading and three discharge oper- Coast Guard will accept service sub- ations. mitted to qualify for a national en- (e) Grandfathering. Seafarers holding dorsement as required in § 13.203 of this valid tankerman-PIC liquefied gas, part, provided that the service was on tankerman-PIC (barge) liquefied gas, liquefied gas tankers. or tankerman-engineer endorsements (b) Applicants may qualify for an en- issued prior to March 24, 2014, will be dorsement in advanced liquefied gas issued an STCW endorsement for ad- tanker cargo operations with a limita- vanced liquefied gas tanker cargo oper- tion to non-self-propelled vessels. To ations, with any appropriate limita- qualify for this endorsement, an appli- tions, without meeting the require- cant must: ments of paragraph (a) of this section. (1) Qualify for a national endorse- Seafarers holding an endorsement as ment as tankerman-PIC (barge) lique- tankerman-PIC (barge) liquefied gas, fied gas; and holding an advanced liquefied gas (2) Provide evidence of meeting the tanker cargo operations endorsement standards of competence identified in issued on or before March 24, 2014, will Table A–V/1–2–2 of the STCW Code; and be limited to non-self-propelled vessels. (3) Provide evidence of at least 90 Seafarers holding an endorsement as days of service, whether shore-based or tankerman-engineer, and holding an vessel-based, on liquefied gas tankers. advanced liquefied gas tanker cargo op- The Coast Guard will accept service erations endorsement issued on or be- submitted to qualify for a national en- fore March 24, 2014, will be limited to dorsement as required in § 13.303 of this maintenance and repair of cargo equip- part, provided that the service was on ment. After March 24, 2014, all sea- liquefied gas tankers. farers applying for an original endorse- (c) Applicants may qualify for an en- ment in advanced liquefied gas tanker dorsement in advanced liquefied gas operations must meet the requirements tanker cargo operations with a limita- of this section. tion to maintenance and repair of cargo equipment. To qualify for this § 13.609 Requirements to qualify for an endorsement, an applicant must: STCW endorsement for basic oil (1) Qualify for a national endorse- and chemical tanker cargo oper- ment as tankerman-engineer; ations. (2) Provide evidence of meeting the (a) Every applicant for an endorse- standards of competence identified in ment in basic oil and chemical tanker Table A–V/1–2–2 of the STCW Code ap- operations must: plicable to maintenance and repair of (1) Qualify for a national endorse- cargo equipment; and ment as tankerman-assistant dan- (3) Provide evidence of— gerous liquid; and

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(2) Provide evidence of meeting the Subpart B—Shipment of Merchant Mariners standards of competence identified in 14.201 Voyages upon which shipping articles Table A–V/1–1–1 of the STCW Code (in- are required. corporated by reference, see § 13.103 of 14.203 Voyages upon which shipping articles this part). are not required. (b) Grandfathering. Seafarers holding 14.205 Production of credentials by mer- a valid tankerman-assistant dangerous chant mariner signing shipping articles. liquid or tankerman-engineer endorse- 14.207 Content and form of shipping articles. 14.209 Preparation of shipping articles at ment issued prior to March 24, 2014 will beginning of voyage. be issued an STCW endorsement for 14.211 Posting of copy of shipping articles. basic oil and chemical tanker cargo op- 14.213 Report of shipment of merchant mar- erations without meeting the require- iner. ments of paragraph (a) of this section. After March 24, 2014, all seafarers ap- Subpart C—Discharge of Merchant plying for an original endorsement in Mariners basic oil and chemical tanker oper- 14.301 Paying off of merchant mariner dur- ations must meet the requirements of ing or after voyage upon which shipping this section. articles are required. 14.303 Discharge of merchant mariner in § 13.611 Requirements to qualify for an foreign port. STCW endorsement for basic lique- 14.305 Entries in continuous discharge book. fied gas tanker cargo operations. 14.307 Entries on certificate of discharge. 14.309 Entries in shipping articles at end of (a) Every applicant for an endorse- voyage. ment in basic liquefied gas tanker op- 14.311 Report of discharge of merchant mar- erations must: iner. (1) Qualify for a national endorse- 14.313 Storage of shipping articles and of certificates of discharge. ment as tankerman-assistant liquefied gas; and Subpart D—Oceanographic Research (2) Provide evidence of meeting the Vessels standards of competence identified in Table A–V/1–2–1 of the STCW Code (in- 14.401 General. corporated by reference, see § 13.103 of 14.403 Exemptions. 14.405 Procedures. this part). 14.407 Reports. (b) Grandfathering. Seafarers holding a valid tankerman-assistant liquefied AUTHORITY: 5 U.S.C. 552; 46 U.S.C. Chapters 103 and 104; 46 U.S.C. 70105. gas or tankerman-engineer endorsement issued prior to March 24, 2014, SOURCE: CGD 94–004, 61 FR 56637, Nov. 4, will be issued an STCW endorsement 1996, unless otherwise noted. for basic liquefied gas tanker cargo operations without meeting the require- Subpart A—General ments of paragraph (a) of this section. § 14.101 Purpose of part. After March 24, 2014, all seafarers applying for an original endorsement in This part prescribes rules for the basic liquefied gas tanker operations shipment and discharge of merchant must meet the requirements of this mariners aboard certain vessels of the section. United States. § 14.103 Addresses of Coast Guard. PART 14—SHIPMENT AND DIS- (a) U.S. postal mail: U.S. Coast CHARGE OF MERCHANT MARI- Guard National Maritime Center NERS (NMC–42), 100 Forbes Drive, Martins- burg, West Virginia 25404. Subpart A—General (b) Electronic mail: [email protected]. Sec. (c) World wide web: http:// 14.101 Purpose of part. www.uscg.mil/nmc. 14.103 Addresses of Coast Guard. 14.105 Disclosure and privacy. [USCG–2008–0906, 73 FR 56508, Sept. 29, 2008]

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§ 14.105 Disclosure and privacy. ment entitled to participate in the The Coast Guard makes information profits or results of a cruise or voyage; available to the public in accordance (d) A vessel employed exclusively in with 49 CFR part 7, including appendix trade on the navigable rivers of the B. United States; or (e) A ferry, or a tug used in ferrying, if the vessel is employed exclusively in Subpart B—Shipment of Merchant trade on the Great Lakes, other lakes, Mariners bays, sounds, bayous, canals, or har- bors. § 14.201 Voyages upon which shipping articles are required. § 14.205 Production of credentials by (a) Before proceeding either upon a merchant mariner signing shipping foreign, intercoastal, or coastwise voy- articles. age (including a voyage on the Great On engagement for a voyage upon Lakes) listed in paragraph (b) of this which shipping articles are required, section or with the engagement or re- each merchant mariner must present placement of a merchant mariner for to the master or individual in charge of such a voyage, each master or indi- the vessel every document, certificate, vidual in charge of a vessel or seagoing credential, or license required by law barge of the United States must exe- for the service the mariner would per- cute shipping articles however pre- form. pared, manually or electronically. The master or individual in charge and [CGD 94–004, 61 FR 56637, Nov. 4, 1996, as amended by USCG–2006–24371, 74 FR 11260, each mariner engaged or replaced must Mar. 16, 2009; USCG–2004–17914, 78 FR 77999, sign the articles. Dec. 24, 2013] (b) Except as provided by § 14.203 of this subpart, articles are required upon § 14.207 Content and form of shipping each voyage by a vessel of the United articles. States— (a)(1) The content and form of ship- (1) Of 100 GRT or more, on a foreign ping articles for each vessel of the voyage, which is a voyage from a port United States of 100 GRT or more upon in the United States to any foreign a foreign or intercoastal voyage must port other than a port in— comply with the requirements of 46 (i) Canada; U.S.C. 10302, 10303, 10304, and 10305. The (ii) Mexico; or articles must identify the nature of the (iii) The West Indies. voyage and specify at least the name, (2) Of 75 GRT or more on a voyage be- license, MMD or MMC number, capac- tween a port of the United States on ity of service, time due onboard to the Atlantic Ocean and a port of the begin work, name and address of the United States on the Pacific Coast; or next of kin, and wages due to each mer- (3) Of 50 GRT or more on a voyage be- chant mariner, either who was dis- tween a port in one State and a port in charged or whose services were other- another State other than an adjoining wise terminated during the month. State. (2) The content and form of articles [CGD 94–004, 61 FR 56637, Nov. 4, 1996, as for each such vessel upon a coastwise amended by USCG–2004–17914, 78 FR 77999, voyage (including a voyage on the Dec. 24, 2013] Great Lakes) must also comply with the requirements of 46 U.S.C. 10502. The § 14.203 Voyages upon which shipping articles must specify at least the mat- articles are not required. ter identified by paragraph (a)(1) of Although they may be used for the this section, except that they must not voyage; shipping articles are not re- specify the wages due to the mariner. quired for any voyage by— The wages section of the form must be (a) A yacht; left blank for coastwise voyages. (b) A vessel engaged exclusively in (b) Any shipping company that fishing or whaling; manually prepares the articles may, (c) A vessel aboard which the mer- upon request, obtain a form from the chant mariners are by custom or agree- Coast Guard.

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(c) Any company that electronically (b) When a vessel of the United prepares the articles may develop its States sails exclusively on the Great own software or buy it off the shelf; Lakes— but, in either of these cases, it must se- (1) Each master or individual in cure approval to use the software for charge must, at the commencement of these purposes from the National Mari- the season, or once the vessel is put time Center at any of the addresses into service, whichever occurs earlier, provided in § 14.103 of this part. send one copy of articles, signed by the [USCG–2004–17914, 78 FR 77999, Dec. 24, 2013] master and by each mariner, to the owner, charterer, or managing oper- § 14.209 Preparation of shipping arti- ator; cles at beginning of voyage. (2) The master or individual in Each master or individual in charge charge must every 60 days send supple- of a vessel when shipping articles are mentary particulars of engagement required must prepare an original and covering each mariner engaged during two copies of the articles. The original this period, signed by the master and and one copy must be signed by the by each mariner, to the owner, master or individual in charge and by charterer, or managing operator; and each merchant mariner; but the second (3) The master or individual in copy must not be signed by any of charge must, at the close of the season, them. or once the vessel is withdrawn from [CGD 94–004, 61 FR 56637, Nov. 4, 1996, as service, whichever occurs later, send amended by USCG–2004–17914, 78 FR 77999, articles, signed by the master and by Dec. 24, 2013] each mariner, to the owner, charterer, or managing operator. § 14.211 Posting of copy of shipping ar- (c) When a vessel of the United ticles. States sales exclusively on bays or On commencement of a foreign, sounds, each master or individual in intercoastal, or coastwise voyage (in- charge must, at least every 60 days, cluding a voyage on the Great Lakes), send articles, signed by the master and each master or individual in charge of by each mariner, to the owner, charter, a vessel when shipping articles are re- or managing operator. quired must ensure that a legible copy (d) Any person who fails to comply of the articles, unsigned by the mar- with the requirements of this section is iner, and without the next of kin infor- subject to a civil penalty of $5,000. mation, is posted at a place accessible to the crew. [CGD 94–004, 61 FR 56637, Nov. 4, 1996, as amended by USCG–2004–17914, 78 FR 77999, [CGD 94–004, 61 FR 56637, Nov. 4, 1996, as Dec. 24, 2013; USCG–2014–0688, 79 FR 58279, amended by USCG–2004–17914, 78 FR 77999, Sept. 29, 2014] Dec. 24, 2013; USCG–2014–0688, 79 FR 58279, Sept. 29, 2014] Subpart C—Discharge of § 14.213 Report of shipment of mer- Merchant Mariners chant mariner. § 14.301 Paying off of merchant mar- (a) When a vessel of the United iner during or after voyage upon States sails upon a foreign, inter- which shipping articles are re- coastal, or coastwise voyage (excluding quired. a voyage on the Great Lakes), each master or individual in charge must, at Each master or individual in charge the commencement of the voyage, send of a vessel when shipping articles are one copy of shipping articles, signed by required must complete and sign, and the master and by each merchant mar- each merchant mariner paid off during iner, to the owner, charterer, or man- or after such a voyage must sign the aging operator. The master must keep articles and otherwise comply with the the original throughout the voyage and requirements of this subpart. When enter in it all charges made to the crew signed by the master or individual in during the voyage. charge and by the mariner, the articles

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constitute a release from the duties to must give the original certificate to which they bound their parties. the mariner. (d) Except as directed by § 14.313, the [CGD 94–004, 61 FR 56637, Nov. 4, 1996, as amended by USCG–2004–17914, 78 FR 77999, shipping company must keep both cop- Dec. 24, 2013] ies of the certificate. (e) The company must provide copies § 14.303 Discharge of merchant mar- of certificates of discharge to the mariner in foreign port. iner and the Coast Guard upon request. Upon the discharge of any mariner in [CGD 94–004, 61 FR 56637, Nov. 4, 1996, as a foreign port, the master must make amended by USCG-2002–13058, 67 FR 61278, the required entries on the ship’s arti- Sept. 30, 2002; USCG–2006–24371, 74 FR 11260, cles. Upon the request of the master or Mar. 16, 2009; USCG–2004–17914, 78 FR 17999, a mariner, the consular officer will dis- Dec. 24, 2013] charge the mariner in accordance with § 14.309 Entries in shipping articles at the requirements of 46 U.S.C. 10318. end of voyage. [CGD 94–004, 61 FR 56637, Nov. 4, 1996, as (a) At the end of each voyage upon amended by USCG–2004–17914, 78 FR 77999, which shipping articles are required, Dec. 24, 2013] the master or individual in charge of the vessel must— § 14.305 Entries in continuous dis- (1) Complete the articles, conforming charge book. the pertinent entries in them to those If the merchant mariner holds a con- on the certificate of discharge and its tinuous discharge book, the master or copies; individual in charge of the vessel must (2) Note in the articles the execution make the proper entries in it. of each Mutual Release; [CGD 94–004, 61 FR 56637, Nov. 4, 1996, as (3) Attach to the articles each Mu- amended by USCG–2004–17914, 78 FR 77999, tual Release and a copy of each certifi- Dec. 24, 2013] cate of discharge ; and (4) Pay to each merchant mariner all § 14.307 Entries on certificate of dis- wages due. charge. (b) When paid off, each mariner must (a) Each master or individual in sign the articles. charge of a vessel must, for each mer- [CGD 94–004, 61 FR 56637, Nov. 4, 1996, as chant mariner being discharged from amended by USCG–2004–17914, 78 FR 77999, the vessel, prepare a certificate of dis- Dec. 24, 2013] charge and two copies, whether by writing or typing them on the pre- § 14.311 Report of discharge of mer- scribed form with permanent ink or chant mariner. generating them from computer in the (a) At the end of each foreign, inter- prescribed format, and must sign them coastal, and coastwise voyage by a ves- with permanent ink. The prescribed sel of the United States, or of each voy- format for a certificate of discharge is age by such a vessel that sails exclu- the same as the current form CG–718A. sively on bays or sounds (or by such a The form has the mariner’s printed vessel at the close of the season on the name, signature, citizenship, MMD or Great Lakes, or once the vessel is with- MMC number, certification statement, drawn from service there, whichever date, master’s signature, rate/rank the occurs later), the shipping company mariner is serving on the voyage, date may electronically transmit the data and place of shipment, date and place from the certificates of discharge to of discharge, name of the vessel, name the electronic address provided by the of the operating company, official Coast Guard in § 14.103 of this part . number of the vessel, class of the ves- (b) If the data is submitted manually, sel, and nature of the voyage. the shipping companies must provide (b) Each mariner being discharged the data for foreign and intercoastal must sign the certificate and both cop- voyages at the end of each voyage. For ies with permanent ink. coastwise voyages or of each voyage by (c) When the mariner leaves the ves- such a vessel that sails exclusively on sel, the master or individual in charge bays or sounds (or by such a vessel at

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the close of the season of the Great ing or supplementing that title be- Lakes, or once the vessel is withdrawn comes, applicable to oceanographic re- from service there, whichever occurs search vessels. later), the shipping companies must submit a copy of each certificate of dis- § 14.403 Exemptions. charge to the address in § 14.103(a) at (a) Certain requirements of Title 46, least once per calendar month. United States Code do not apply to the [CGD 94–004, 61 FR 56637, Nov. 4, 1996, as employment of merchant mariners on amended by USCG–2007–29018, 72 FR 53964, oceanographic research vessels. These Sept. 21, 2007; USCG–2004–17914, 78 FR 78000, requirements are those concerned with, Dec. 24, 2013] among other things, the shipment and discharge of mariners, their pay and al- § 14.313 Storage of shipping articles lotments, and the adequacy of their and of certificates of discharge. clothing. 46 U.S.C. 2113(2) allows ex- (a) Each shipping company must emptions of oceanographic research keep all original shipping articles and vessels from certain requirements of copies of all certificates of discharge parts B, C, F, or G of subtitle II of 46 for 3 years. After 3 years the shipping U.S.C., upon such terms as the Sec- companies must prepare the original retary of the Department of Homeland shipping articles in alphabetical order Security deems suitable. The exemp- by vessel name and send to the address tions available under this subpart are in § 14.103(a) for storage at the Federal subject to the following terms: Records Center at Suitland, Maryland. (1) No use of any exemption relieves The company may dispose of the copies the owner, charterer, managing oper- of certificates of discharge. The Coast ator, master, or individual in charge of Guard will dispose of copies of certifi- the vessel of other statutory respon- cates submitted manually, once the sibilities for the protection of every data are entered into its sea-service mariner under his or her command. database and are validated. (b) Each shipping company that goes (2) If it is presented at a reasonable out of business or merges with another time and in a reasonable manner, the company must send all original arti- master or individual in charge must re- cles to the address in § 14.103(a) within ceive, consider, and appropriately ad- 30 days of the transaction. dress the legitimate complaint of any (c) Articles sent for storage to the mariner. address in § 14.103(a) of this part that (b) For any oceanographic research are not prepared in accordance with vessel sailing with any mariner em- paragraph (a) of this section may be re- ployed by any firm, association, cor- turned to the shipping company for poration, or educational or govern- correction. mental body or agency, the Com- (d) The shipping company must pro- mandant may grant exemptions from— vide copies of shipping articles and cer- (1) 46 U.S.C. 10301, Application; tificates of discharge to the mariner (2) 46 U.S.C. 10302, Shipping articles and the Coast Guard upon request. (for foreign and intercoastal voyages); (3) 46 U.S.C. 10307, Posting of articles; [CGD 94–004, 61 FR 56637, Nov. 4, 1996, as amended by USCG–2004–17914, 78 FR 77999, (4) 46 U.S.C. 10308, Foreign engage- Dec. 24, 2013] ments; (5) 46 U.S.C. 10311, Certificates of dis- Subpart D—Oceanographic charge; Research Vessels (6) 46 U.S.C. 10313 and 10504, Wages; (7) 46 U.S.C. 10314 and 10505, Ad- § 14.401 General. vances; Unless otherwise provided by Title 46 (8) 46 U.S.C. 10315, Allotments; United States Code, by any act amend- (9) 46 U.S.C. 10316 and 10506, Trusts; ing or supplementing that title, or by (10) 46 U.S.C. 10321 and 10508, General this subpart, that title as far as it gov- penalties; erns the employment of merchant (11) 46 U.S.C. 10502, Shipping articles mariners remains, and any act amend- (for coastwise voyages); and

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(12) 46 U.S.C. 10509, Penalty for fail- At least every 6 months, the person ure to begin coastwise voyages. maintaining this record shall transmit [CGD 94–004, 61 FR 56637, Nov. 4, 1996, as it to the Coast Guard, either manually, amended by USCG–2004–17914, 78 FR 77999, in the form of a copy of a certificate of Dec. 24, 2013] discharge, or electronically to the address provided in § 14.103 of this part. § 14.405 Procedures. (b) The owner, charterer, managing (a) Upon written request for the operator, master, or individual in owner, charterer, managing operator, charge of the vessel must keep original master, or individual in charge of the shipping articles and a copy of each vessel to the Coast Guard OCMI in certificate of discharge ready for re- whose zone the vessel is located, the view by the Coast Guard or the con- Commandant may grant an exemption cerned mariner upon request. The of any oceanographic research vessel Coast Guard will no longer keep either designated by 46 U.S.C. 2113(2) from any original articles or copies of certifi- requirement of any section listed by § 14.403(b). cates of discharge; it will keep only (b) The request must state— electronic records of employment. (1) Any requirement of any section (c) The master or individual in listed in § 14.403(b) from which the ap- charge of the vessel must ensure that plicant wishes an exemption; and every entry made in the articles agrees (2) What business practices regard- with the corresponding entry made in a ing, among other things, the shipment continuous discharge book, on a cer- and discharge of merchant mariners, tificate of discharge, or in any other their pay and allotments, and the ade- proof of sea service furnished to the quacy of their clothing would justify mariner. the exemption. (d) Each oceanographic company (c) The Coast Guard will forward the must keep all original articles and cop- request, along with his or her rec- ies of all certificates of discharge for 3 ommendation, to the Commandant, years. After 3 years the company must who will determine whether to grant prepare the original shipping articles any exemption of any vessel from any in alphabetical order by vessel name requirement. The Coast Guard will issue a letter indicating any exemption and send to the address in § 14.103(a) of granted. The master or individual in this part for storage at the Federal charge of the vessel must keep the let- Records Center at Suitland, Maryland. ter aboard the vessel. The company may dispose of the copies (d) If operating conditions change, of certificates of discharge. The Coast the owner, charterer, managing oper- Guard will dispose of copies of certifi- ator, master, or individual in charge of cates submitted manually, once the in- the vessel must so advise the Coast formation is entered into its sea-serv- Guard . The Coast Guard will forward ice database and is validated. pertinent information on how the con- (e) Each oceanographic company that ditions have changed, along with his or goes out of business or merges with an- her recommendation, to the Com- other company must send all original mandant, who will determine whether articles to the address in § 14.103(a) any exemption should remain granted. within 30 days of the transaction. [CGD 94–004, 61 FR 56637, Nov. 4, 1996, as (f) Articles sent for storage to the ad- amended by USCG–2004–17914, 78 FR 78000, dress in § 14.103(a) of this part that are Dec. 24, 2013] not prepared in accordance with para- § 14.407 Reports. graph (d) of this section may be returned to the company for correction. (a) The owner, charterer, managing operator, master, or individual in [CGD 94–004, 61 FR 56637, Nov. 4, 1996, as charge of each oceanographic research amended by USCG–2004–17914, 78 FR 78000, vessel of 100 GRT or more must main- Dec. 24, 2013; USCG–2014–0688, 79 FR 58279, tain a record of the employment, dis- Sept. 29, 2014] charge, or termination of service of every merchant mariner in the crew.

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PART 15—MANNING Subpart H—Computations REQUIREMENTS 15.801 General. 15.805 Master. Subpart A—Purpose and Applicability 15.810 Mates. 15.812 Pilots. Sec. 15.815 Radar observers. 15.101 Purpose of regulations. 15.816 Automatic radar plotting aids 15.102 Paperwork approval. (ARPAs). 15.103 Incorporation by reference. 15.817 Global Maritime Distress and Safety 15.105 General. System (GMDSS) radio operator. 15.818 Global Maritime Distress and Safety Subparts B–C [Reserved] System (GMDSS) at-sea maintainer. 15.820 Chief engineer. Subpart D—Manning Requirements; All 15.825 Engineers. Vessels 15.830 Radio officers. 15.835 Staff officers. 15.401 Employment and service within re- 15.840 Able seamen. strictions of credential. 15.845 Lifeboatmen. 15.403 When credentials for ratings are re- 15.850 Lookouts. quired. 15.855 Cabin watchmen and fire patrolmen. 15.404 Requirements for serving onboard a 15.860 Tankerman. vessel. 15.865 Qualified member of the engine de- 15.405 Familiarity with vessel characteris- partment (QMED). tics. 15.410 Credentialed individuals for assistance towing vessels. Subpart I—Equivalents 15.415 [Reserved] 15.901 Inspected vessels of less than 100 GRT. Subpart E—Manning Requirements; 15.905 Uninspected passenger vessels. Inspected Vessels 15.910 Towing vessels. 15.915 Engineer officer endorsements. 15.501 Certificate of inspection. 15.505 Changes in the certificate of inspec- Subpart J—Vessels in Foreign Trade tion. 15.510 Right of appeal. 15.1001 General. 15.515 Compliance with certificate of inspec- 15.1010 California. tion. 15.1020 Hawaii. 15.520 Mobile offshore drilling units 15.1030 New York and New Jersey. (MODUs). 15.1040 Massachusetts. 15.525 Additional manning requirements for 15.1050 North Carolina. tank vessels. 15.530 Large passenger vessels. Subpart K—Vessels Subject to Requirements of STCW Subpart F—Manning Requirements; Uninspected Vessels 15.1101 General. 15.1103 Employment and service within the 15.601 General. restrictions of an STCW endorsement or 15.605 Credentialed operators for of a certificate of training. uninspected passenger vessels. 15.1105 Familiarization and basic training 15.610 Master and mate (pilot) of towing (BT). vessels. 15.1107 Maintenance of merchant mariners’ records by owner or operator. Subpart G—Limitations and Qualifying 15.1109 Watches. Factors 15.1111 Work hours and rest periods. 15.1113 Security personnel. 15.701 Officers Competency Certificates Convention, 1936. AUTHORITY: 46 U.S.C. 2101, 2103, 3306, 3703, 15.705 Watches. 8101, 8102, 8104, 8105, 8301, 8304, 8502, 8503, 8701, 15.710 Working hours. 8702, 8901, 8902, 8903, 8904, 8905(b), 8906, 9102, 15.715 Automated vessels. and 8103; sec. 617, Pub. L. 111–281, 124 Stat. 15.720 Use of non-U.S.-credentialed per- 2905; and Department of Homeland Security sonnel. Delegation No. 0170.1. 15.725 Sailing short. SOURCE: CGD 81–059, 52 FR 38652, Oct. 16, 15.730 Language requirements. 1987, unless otherwise noted.

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Subpart A—Purpose and www.archives.gov/federallregister/ Applicability codeloflfederallregulations/ ibrllocations.html. § 15.101 Purpose of regulations. (b) International Maritime Organiza- The purpose of this part is to set tion (IMO), 4 Albert Embankment, forth uniform minimum requirements London, SE1 7SR England: for the manning of vessels. In general, (1) The International Convention on they implement, interpret, or apply the Standards of Training, Certification specific statutory manning require- and Watchkeeping for Seafarers, 1978, ments in title 46, U.S.C., implement as amended, 2011 (STCW Convention), various international conventions incorporation by reference approved which affect merchant marine per- for §§ 15.403, 15.404, 15.1103, 15.1105, and sonnel, and provide the means for es- 15.1109. tablishing the complement necessary (2) The Seafarers’ Training, Certifi- for safe operation of vessels. cation and Watchkeeping Code, as amended, 2011 (STCW Code), incorpora- [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as tion by reference approved for § 15.1109. amended by USCG–2004–17914, 78 FR 78000, (3) The International Convention for Dec. 24, 2013] the Safety of Life at Sea, 1974 (SOLAS), § 15.102 Paperwork approval. approved for incorporation by reference in §§ 15.818 and 15.1103. (a) This section lists the control numbers assigned by the Office of Man- [USCG–2004–17914, 78 FR 78000, Dec. 24, 2013] agement and Budget under the Paper Reduction Act of 1980 (Pub. L. 96–511) § 15.105 General. for the reporting and recordkeeping re- (a) The regulations in this part apply quirements in this part. to all vessels that are subject to the (b) The following control numbers manning requirements contained in the have been assigned to the sections indi- navigation and shipping laws of the cated: United States, including uninspected (1) OMB 1625–0079—46 CFR 15.1107. vessels (46 U.S.C. 7101–9308). (2) [Reserved] (b) The navigation and shipping laws [CGD 95–62, 62 FR 34538, June 26, 1997, as state that a vessel may not be operated amended by USCG-2004–18884, 69 FR 58343, unless certain manning requirements Sept. 30, 2004] are met. In addition to establishing a minimum number of officers and rated § 15.103 Incorporation by reference. crew to be carried onboard certain ves- (a) Certain material is incorporated sels, they establish minimum qualifica- by reference into this part with the ap- tions concerning licenses and MMC en- proval of the Director of the Federal dorsements, citizenship, and conditions Register under 5 U.S.C. 552(a) and 1 of employment. It is the responsibility CFR part 51. To enforce any edition of the owner, charterer, managing op- other than that specified in this sec- erator, master, or person in charge or tion, the Coast Guard must publish no- in command of the vessel to ensure tice of change in the Federal Register that appropriate personnel are carried and the material must be available to to meet the requirements of the appli- the public. All approved material is cable navigation and shipping laws and available for inspection at the Coast regulations. Guard, Office of Operating and Envi- (c) Inspected vessels are issued a Cer- ronmental Standards (CG–OES), 2703 tificate of Inspection (COI) which indi- Martin Luther King Avenue SE. Stop cates the minimum complement of offi- 7509, Washington, DC 20593–7509, 202– cers and crew (including lifeboatmen) 372–1405, and is available from the considered necessary for safe oper- sources listed below. It is also avail- ation. The COI complements the statu- able for inspection at the National Ar- tory requirements but does not super- chives and Records Administration sede them. (NARA). For information on the avail- (d) Uninspected vessels operating on ability of this material at NARA, call an international voyage may be issued 202–741–6030, or go to http:// a safe manning certificate indicating

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the minimum complement of qualified sels and will not establish qualification mariners necessary for safe operation. for any other purpose. (e) The regulations in subpart K of [USCG–2004–17914, 78 FR 78000, Dec. 24, 2013] this part apply to seagoing vessels subject to the International Convention on Subpart B–C [Reserved] Standards of Training, Certification and Watchkeeping for Seafarers, 1978, as amended (STCW). Subpart D—Manning (f) Persons serving on any of the fol- Requirements; All Vessels lowing vessels, or any owner or operator of any of these vessels, do not SOURCE: USCG–2004–17914,78 FR 17914, Dec. need to meet the requirements of sub- 24, 2013, unless otherwise noted. part K of this part, because the vessels § 15.401 Employment and service with- are exempt from application of STCW: in restrictions of credential. (1) Fishing vessels as defined in 46 (a) A person may not employ or en- U.S.C. 2101(11)(a). gage an individual, and an individual (2) Fishing vessels used as fish-tender may not serve, in a position in which vessels as defined in 46 U.S.C. an individual is required by law or reg- 2101(11)(c). ulation to hold a license, certificate of (3) Barges as defined in 46 U.S.C. 102, registry, Merchant Mariner’s Docu- including non-self-propelled mobile off- ment (MMD), Transportation Worker shore drilling units. Identification Credential (TWIC) and/or (4) Vessels operating exclusively on Merchant Mariner Credential (MMC), the Great Lakes or on the inland wa- unless the individual holds all creden- ters of the U.S. in the Straits of Juan tials required, as appropriate, author- de Fuca or on the Inside Passage be- izing service in the capacity in which tween Puget Sound and Cape Spencer. the individual is engaged or employed, (5) Pilot vessels engaged on pilotage and the individual serves within any duty. restrictions placed on the credential. (g) Owners and operators, and per- An individual holding an active li- sonnel serving on the following small cense, certificate of registry, MMD, or vessels engaged exclusively on domes- MMC issued by the Coast Guard must tic, near-coastal voyages are in compli- also hold a valid TWIC issued by the ance with subpart K of this part and Transportation Security Administra- are, therefore, not subject to further tion unless the individual is exempt requirements for the purposes of the under 46 CFR 10.203(b)(1). STCW Convention: (b) A person may not employ or en- (1) Small passenger vessels subject to gage an individual, and an individual subchapter T or K of 46 CFR chapter I. may not serve in a position in which it is required by law or regulation that (2) Vessels of less than 200 GRT, other the individual hold an MMC endorsed than passenger vessels subject to sub- with a national endorsement, as well as chapter H of 46 CFR chapter I. a corresponding STCW endorsement for (3) Uninspected passenger vessels service outside the boundary line. (UPVs) as defined in 46 U.S.C. (c) A person may not employ or en- 2101(42)(B). gage an individual in a position re- (h) Personnel serving on vessels iden- quired to hold an MMC unless that in- tified in paragraphs (g)(1) and (g)(2) of dividual maintains a current medical this section may be issued, without ad- certificate. Medical certificates must ditional proof of qualification, an ap- be issued and will remain current for propriate STCW endorsement on their the following periods of time, unless license or MMC when the Coast Guard otherwise noted on the certificate: determines that such an endorsement (1) After January 1, 2017, two years is necessary to enable the vessel to en- for individuals serving on vessels to gage on a single international voyage which STCW applies unless the mariner of a non-routine nature. The STCW en- is under the age of 18, in which case the dorsement will be expressly limited to maximum period of validity will be 1 service on the vessel or the class of ves- year.

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(2) Two years for individuals serving GRT or more, except those navigating as a first-class pilot or those individ- rivers exclusively and the smaller in- uals serving as pilots on vessels of 1,600 land lakes, must possess a valid MMC GRT or more under § 15.812 of this part. or MMD, along with a valid medical (3) Five years for all other mariners. certificate, with all appropriate en- (d) Each individual referred to in dorsements for the positions served. paragraph (a) of this section must hold (2) No endorsements are required of an MMD or MMC that serves as identi- any person below the rank of officer fication, with an appropriate endorse- employed on any barges except sea- ment for the position in which the seagoing barges and barges to which 46 man serves, and the MMD or MMC, U.S.C. chapter 37 applies. along with a valid medical certificate, (3) No endorsements are required of must be presented to the master of the any person below the rank of officer vessel at the time of employment or employed on any sail vessel of less before signing Articles of Agreement. than 500 net tons while not carrying (e) Each individual below the grades passengers for hire and while not oper- of officer and staff officer employed on ating outside the line dividing inland any U.S. flag merchant vessel of 100 waters from the high seas. 33 U.S.C. GRT or more must possess a valid 151. MMD or MMC issued by the Coast (c) Each person serving as an able Guard, except as noted below: seafarer-deck, or a rating forming part (1) Mariners on vessels navigating ex- of a navigational watch (RFPNW), on a clusively on rivers and lakes, except seagoing vessel of 500 GT or more must the Great Lakes, as defined in § 10.107 hold an STCW endorsement certifying of this subchapter. him or her as qualified to perform the (2) Mariners below the rank of officer navigational function at the support employed on any non-self-propelled level, in accordance with the STCW vessel, except seagoing barges and Convention (incorporated by reference, barges to which 46 U.S.C. chapter 37 ap- see § 15.103 of this part). plies. (d) Each person serving as an able (3) Personnel not designated with any seafarer-engine, or a rating forming safety or security duties onboard ca- part of an engineering watch (RFPEW), sino vessels. on a seagoing vessel driven by main (f) Every person employed on a vessel propulsion machinery of 1,000 HP/750 with dual tonnages (both domestic and kW propulsion power or more must international) must hold a credential hold an STCW endorsement certifying authorizing service appropriate to the him or her as qualified to perform the tonnage scheme under which the vessel marine-engineering function at the is manned and operating. support level, in accordance with the STCW Convention. § 15.403 When credentials for ratings (e) Notwithstanding any other rule in are required. this part, no person subject to this part (a) Every seaman referred to in this serving on any of the following vessels section, when required, must produce a needs an STCW endorsement: valid MMC or MMD with all applicable (1) Vessels exempted from the appli- rating endorsements for the position cation of the STCW Convention, in- sought, a valid TWIC unless the mar- cluding— iner is exempt under 46 CFR (i) Fishing vessels as defined in 46 10.203(b)(2), and a valid medical certifi- U.S.C. 2101(11)(a); cate to the master of the vessel at the (ii) Fishing vessels used as fish-ten- time of his or her employment before der vessels as defined in 46 U.S.C. signing Articles of Agreement. Seamen 2101(11)(c); who do not possess one of these creden- (iii) Barges as defined in 46 U.S.C. 102, tials may be employed at a foreign port including non-self-propelled mobile off- or place within the limitations speci- shore-drilling units; fied in § 15.720 of this part. (iv) Vessels operating exclusively on (b)(1) Every person below the grades the Great Lakes; or of officer and staff officer employed on (v) Pilot vessels engaged in pilotage any U.S. flag merchant vessel of 100 duty.

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(2) Vessels not subject to any obliga- (2) A QMED may serve as a qualified tion under the STCW Convention due rating in the engine department only to their special operating conditions as in the specific ratings endorsed on his small vessels engaged in domestic, or her MMD or MMC. near-coastal voyages, including— (3) Persons serving on vessels subject (i) Small passenger vessels subject to to the STCW Convention as junior en- subchapter T or K of 46 CFR chapter I; gineer, pumpman/machinist, or elec- (ii) Vessels of less than 200 GRT trician/refrigeration engineer must (other than passenger vessels subject also hold an STCW endorsement as able to subchapter H of 46 CFR) chapter I; seafarer-engine. or (e) Lifeboatman. Every person as- (iii) Uninspected passenger vessels as signed duties as a lifeboatman must defined in 46 U.S.C. 2101(42)(B). hold a credential attesting to such proficiency. Persons serving on vessels § 15.404 Requirements for serving on- subject to the STCW Convention must board a vessel. also hold an STCW endorsement in pro- (a) Ratings Forming Part of a Naviga- ficiency in survival craft and rescue tional Watch (RFPNW). Each person boats other than fast rescue boats serving as an RFPNW on a seagoing (PSC). vessel of 500 GT or more, subject to the (f) Lifeboatman-limited. Every person STCW Convention (incorporated by ref- assigned duties onboard a vessel that is erence, see § 15.103 of this part), must not required to carry lifeboats and is hold an STCW endorsement attesting required to employ a lifeboatman must to his or her qualifications to perform hold an endorsement as either the navigational function at the sup- lifeboatman or lifeboatman-limited. port level. Persons serving on vessels subject to (b) Able seaman. Each person serving the STCW Convention must also hold as a rating as able seaman on a U.S. an STCW endorsement in proficiency flag vessel must hold an MMC endorsed in survival craft and rescue boats other as able seaman, except that no creden- than lifeboats and fast rescue boats— tial as able seaman is required of any limited (PSC—limited). person employed on any tug or towboat (g) Fast rescue boats. Every person en- on the bays and sounds connected di- gaged or employed in a position requir- rectly with the seas, or on any barges ing proficiency in fast rescue boats except seagoing barges or tank barges. must hold an endorsement attesting to Each person serving as an able seaman such proficiency. on a seagoing vessel subject to the (h) Entry level. Every person em- STCW Convention must also hold an ployed in a rating other than able sea- STCW endorsement as able seafarer- man or QMED on a U.S. flag vessel on deck. which MMCs are required must hold an (c) Ratings Forming Part of an Engi- MMD or MMC endorsed as wiper, ordi- neering Watch (RFPEW). Each person nary seaman, steward’s department, or serving as an RFPEW in a manned steward’s department (F.H.). engineroom or designated to perform (i) Person in charge of medical care. duties in a periodically unmanned Every person designated to take charge engineroom, on a seagoing vessel driv- of medical care onboard vessels subject en by main propulsion machinery of to the STCW Convention must hold an 1,000 HP/750 kW propulsion power or MMD or MMC endorsed as person in more, must hold an STCW endorsement charge of medical care. attesting to his or her qualifications to (j) Medical first-aid provider. Every perform the marine-engineering func- person designated to provide medical tion at the support level. first aid onboard vessels subject to the (d) Qualified Member of the Engine De- STCW Convention must hold an MMD partment (QMED). (1) The holder of an or MMC endorsed as medical first-aid MMD or MMC endorsed with one or provider or a deck or engineer officer more QMED ratings may serve in any endorsement. unqualified rating in the engine depart- (k) GMDSS radio operator or main- ment without obtaining an additional tainer. Every person responsible for the endorsement. operation or shipboard maintenance of

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GMDSS radio equipment onboard ves- of port calls, cargo carried, type of sels subject to the STCW Convention service in which employed, degree of must hold an MMD or MMC endorsed automation, use of labor saving de- as GMDSS radio operator or GMDSS vices, and the organizational structure radio maintainer, as appropriate. of the vessel. § 15.405 Familiarity with vessel char- [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as acteristics. amended at CGD 81–059, 54 FR 149, Jan. 4, Each credentialed crewmember must 1989] become familiar with the relevant § 15.505 Changes in the certificate of characteristics of the vessel appro- inspection. priate to his or her duties and responsibilities prior to assuming those du- All requests for changes to the man- ties and responsibilities. As appro- ning required on the COI must be made priate, these may include, but are not to the OCMI who last issued the COI, limited to, general arrangement of the unless the request is made in conjunc- vessel, maneuvering characteristics, tion with an inspection for certifi- proper operation of the installed navi- cation, in which case the request gation equipment, proper operation of should be addressed to the OCMI con- firefighting and lifesaving equipment, ducting the inspection. stability and loading characteristics, emergency duties, and main propulsion [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as and auxiliary machinery, including amended by USCG–2004–17914, 78 FR 78003, steering gear systems and controls. Dec. 24, 2013]

§ 15.410 Credentialed individuals for § 15.510 Right of appeal. assistance towing vessels. Any person directly affected by a de- Every assistance towing vessel must cision or action taken under this part, be under the direction and control of by or on behalf of the Coast Guard, an individual holding a license or MMC may appeal therefrom in accordance authorizing him or her to engage in as- with subpart 1.03 of this chapter. sistance towing under the provisions of § 11.482 of this subchapter. [CGD 88–033, 54 FR 50380, Dec. 6, 1989]

§ 15.415 [Reserved] § 15.515 Compliance with certificate of inspection. Subpart E—Manning (a) Except as provided by § 15.725 of Requirements; Inspected Vessels this part, no vessel may be navigated unless it has in its service and onboard

SOURCE: Redesignated by USCG–2004–17914, the crew complement required by the 78 FR 78001, Dec. 24, 2013, unless otherwise COI. noted. (b) Any time passengers are embarked on a passenger vessel, the vessel § 15.501 Certificate of inspection. must have the crew complement re- (a) The certificate of inspection (COI) quired by the COI, whether the vessel issued by an Officer in Charge, Marine is underway, at anchor, made fast to Inspection (OCMI), to a vessel required shore, or aground. However, the master to be inspected under 46 U.S.C. 3301 may allow reduced crew for limited or specifies the minimum complement of special operating conditions subject to officers and crew necessary for the safe the approval of the OCMI. operation of the vessel. (c) No vessel subject to inspection (b) The manning requirements for a under 46 U.S.C. 3301 will be navigated particular vessel are determined by the unless it is under the direction and OCMI after consideration of the applicable laws, the regulations in this part, control of an individual who holds an and all other factors involved, such as: appropriate license or officer endorse- Emergency situations, size and type of ment on his or her MMC. vessel, installed equipment, proposed [USCG–2004–17914, 78 FR 78002, Dec. 24, 2013] routes of operation including frequency

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§ 15.520 Mobile offshore drilling units (i) An individual holding a license or (MODUs). MMC officer endorsement as BS may (a) The requirements in this section serve as BCO. for MODUs supplement other require- (j) The OCMI issuing the MODU’s COI ments in this part. may authorize the substitution of chief or assistant engineer (MODU) for chief (b) The OCMI determines the min- or assistant engineer, respectively, on imum number of officers and crew (in- self-propelled or propulsion-assisted cluding lifeboatmen) required for the surface units, except drillships. The safe operation of inspected MODUs. In OCMI may also authorize the substi- addition to other factors listed in this tution of assistant engineer (MODU) part, the specialized nature of the for assistant engineer on drillships. MODU is considered in determining the specific manning levels. (k) Requirements in this part concerning radar observers do not apply to (c) A license or officer endorsement non-self-propelled MODUs. on an MMC as offshore installation (l) A surface MODU underway or on manager (OIM), barge supervisor (BS), location, when afloat and equipped or ballast control operator (BCO) au- with a ballast control room, must have thorizes service only on MODUs. A li- that ballast control room manned by cense or endorsement as OIM is re- an individual holding a license or MMC stricted to the MODU type and mode of officer endorsement authorizing serv- operation specified on the credential. ice as BCO. (d) When underway, a self-propelled MODU, other than a drillship, must be [USCG–2004–17914, 78 FR 78003, Dec. 24, 2013] under the command of an individual who holds a license as master endorsed § 15.525 Additional manning require- as OIM, or an MMC endorsed as master ments for tank vessels. and OIM. When not underway, such a Parts 31 and 35 of this chapter con- vessel must be under the command of tain additional manning requirements an individual holding the appropriate applicable to tank vessels. OIM credential. (e) A drillship must be under the § 15.530 Large passenger vessels. command of an individual who holds a (a) The owner or operator of a U.S. license or MMC officer endorsement as flag large passenger vessel must ensure master. When a drillship is on location, that any non-resident alien holding a or is maintaining its position with a Coast Guard-issued MMC described in dynamic positioning system, the indi- part 12, subpart H of this subchapter is vidual in command must hold a license provided the rights, protections, and as master endorsed as OIM or an MMC benefits of the International Labor Or- with master and OIM officer endorse- ganization’s Merchant Shipping (Min- ments. imum Standards) Convention of 1976. (f) A non-self-propelled MODU must (b) On U.S. flag large passenger ves- be under the command of an individual sels, non-resident aliens holding a who holds a license or MMC officer en- Coast Guard-issued MMC described in dorsement as OIM. part 12, subpart H of this subchapter— (g) An individual serving as mate on (1) May only be employed in the a self-propelled surface unit when un- steward’s department on the vessel(s) derway, other than a drillship, must specified on the MMC or accompanying hold an appropriate license, or an MMC Coast Guard letter under § 12.811 of this endorsed as mate and BS or BCO. When subchapter; not underway, such a vessel may sub- (2) May only be employed for an ag- stitute an individual holding the appro- gregate period of 36 months of actual priate BS or BCO endorsement for the service on all authorized U.S. flag large mate, if permitted by the cognizant passenger vessels combined, under OCMI. § 12.811 of this subchapter; (h) An individual holding a license or (3) May not perform watchstanding, MMC officer endorsement as BS is re- engine room duty watch, or vessel quired on a non-self-propelled surface navigation functions, under § 12.811 of unit other than a drillship. this subchapter; and

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(4) May perform emergency-related § 15.601 General. duties only if, under § 12.811 of this sub- The following sections of subparts F, chapter— G, and H of this part contain provisions (i) The emergency-related duties do concerning manning of uninspected not require any other rating or en- vessels; §§ 15.701, 15.705, 15.710, 15.720, dorsement, except lifeboatman as spec- 15.730, 15.801, 15.805, 15.810, 15.820, 15.825, ified in § 12.811 of this subchapter; 15.840, 15.850, 15.855, 15.905, 15.910, and (ii) The non-resident alien has com- 15.915. pleted familiarization and basic training, as required in § 15.1105 of this part; § 15.605 Credentialed operators for (iii) The non-resident alien, if serving uninspected passenger vessels. as a lifeboatman, has the necessary Each uninspected passenger vessel lifeboatman’s endorsement; and (UPV) must be under the direction and (iv) The non-resident alien has com- control of an individual credentialed pleted the training for crewmembers on by the Coast Guard, as follows: passenger ships performing duties in- (a) Every UPV of 100 GRT or more, as volving safety or care for passengers, defined by 46 U.S.C. 2101(42)(A), must be as required in part 12, subpart J of this under the command of an individual subchapter. holding a license or MMC endorsed as (c) No more than 25 percent of the master. When navigated, it must be total number of ratings on a U.S. flag under the direction and control of a large passenger vessel may be aliens, credentialed master, pilot, or mate. whether admitted to the United States (b) Every self-propelled UPV as de- for permanent residence or authorized fined by 46 U.S.C. 2101(42)(B) must be for employment in the United States as under the direction and control of an non-resident aliens. individual holding a license or MMC (d) The owner or operator of a U.S. endorsed as or equivalent to an oper- flag large passenger vessel employing ator of an uninspected passenger vessel non-resident aliens holding Coast (OUPV). Guard-issued MMCs described in part (c) Personnel serving on UPVs en- 12, subpart H of this subchapter must— gaged on international voyages must (1) Retain custody of all non-resident meet the requirements of subpart K of alien MMCs for the duration of employ- this part. ment, under § 12.811 of this subchapter; and [USCG–2004–17914, 78 FR 78004, Dec. 24, 2013] (2) Return all non-resident alien § 15.610 Master and mate (pilot) of MMCs to the Coast Guard upon termi- towing vessels. nation of employment, under § 12.811 of (a) Except as provided in this para- this subchapter. graph, every towing vessel of at least 8 (e) The owner or operator of a U.S. meters (26 feet) in length, measured flag large passenger vessel employing from end to end over the deck (exclud- non-resident aliens holding Coast ing sheer), must be under the direction Guard-issued MMCs described in part and control of a person holding a li- 12, subpart H of this subchapter is sub- cense or MMC officer endorsement as ject to the civil penalty provisions master or mate (pilot) of towing ves- specified in 46 U.S.C. 8103(f), for any sels, or as master or mate of vessels of violation of this section. greater than 200 GRT, holding either an [USCG–2004–17914, 78 FR 78003, Dec. 24, 2013] endorsement on his or her license or MMC for towing vessels or a completed Subpart F—Manning Require- Towing Officer Assessment Record (TOAR) signed by a designated exam- ments; Uninspected Vessels iner indicating that the officer is proficient in the operation of towing ves- SOURCE: Redesignated by USCG–2004–17914, sels. This requirement does not apply 78 FR 78001, Dec. 24, 2013, unless otherwise to any vessel engaged in assistance noted. towing.

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(b) Any towing vessel operating in (2) A wooden vessel of primitive the pilotage waters of the Lower Mis- build, such as a dhow or junk; sissippi River must be under the con- (3) A barge; and trol of an officer meeting the require- (4) A vessel of less than 200 gross ments of paragraph (a) of this section tons. who holds either a first-class pilot’s en- (b) The master, mates and engineers dorsement for that route or MMC offi- on any vessel to which this section ap- cer endorsement for the Western Riv- plies must hold a license or MMC offi- ers, or who meets the requirements of cer endorsement to serve in that capac- paragraph (a) of this section and meets ity issued by the Coast Guard under the requirements of either paragraphs parts 10 and 11 of this subchapter. (b)(1) or (b)(2) of this section as appli- (c) A vessel to which this section ap- cable: plies, or a foreign flag vessel to which (1) To operate a towing vessel with the Officers Competency Certificates tank barges, or a tow of barges car- Convention applies, may be detained by rying hazardous materials regulated a designated official until that official under subchapters N or O of this chap- is satisfied that the vessel is in compli- ter, an officer in charge of the towing ance with the Convention. Designated vessel must have completed 12 official includes Coast Guard officers, roundtrips over this route as an ob- Coast Guard petty officers and officers server, with at least three of those or employees of the Customs and Bor- trips during hours of darkness, and pro- der Protection Service. vide evidence that at least one of the 12 roundtrips was completed within the (d) Whenever a vessel is detained, the last 5 years. owner, charterer, managing operator, (2) To operate a towing vessel with- agent, master, or individual in charge out barges, or a tow of uninspected may appeal the detention within 5 days barges, an officer in charge of the tow- under the provisions of § 2.01–70 of this ing vessel must have completed at chapter. least four round trips over this route as [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as an observer, with at least one of those amended by USCG–2006–24371, 74 FR 11261, trips during hours of darkness, and pro- Mar. 16, 2009; USCG–2004–17914, 78 FR 78004, vide evidence that at least one of the Dec. 24, 2013] four roundtrips was within the last 5 years. § 15.705 Watches. [USCG–1999–6224, 66 FR 20944, Apr. 26, 2001, as (a) Title 46 U.S.C. 8104 applies to the amended at 68 FR 35818, June 17, 2003; USCG– establishment of watches aboard cer- 2008–0906, 73 FR 56508, Sept. 29, 2008; USCG– tain U.S. vessels. The establishment of 2006–24371, 74 FR 11261, Mar. 16, 2009; USCG– adequate watches is the responsibility 2004–17914, 78 FR 78004, Dec. 24, 2013; USCG– of the vessel’s master. The Coast Guard 2014–0688, 79 FR 58279, Sept. 29, 2014] interprets the term ‘‘watch’’ to be the direct performance of vessel oper- Subpart G—Limitations and ations, whether deck or engine, where Qualifying Factors such operations would routinely be controlled and performed in a sched- SOURCE: CGD 81-059, 52 FR 38652, Oct. 16, uled and fixed rotation. The perform- 1987, unless otherwise noted. Redesignated ance of maintenance or work necessary by USCG–2004–17914, 78 FR 78001, Dec. 24, 2013. to the vessel’s safe operation on a daily basis does not in itself constitute the § 15.701 Officers Competency Certifi- establishment of a watch. The min- cates Convention, 1936. imum safe manning levels specified in (a) This section implements the Offi- a vessel’s COI or other safe manning cers Competency Certificates Conven- document take into consideration rou- tion, 1936 (see 46 U.S.C. 8304), and ap- tine maintenance requirements and plies to each vessel documented under ability of the crew to perform all oper- the laws of the United States navi- ational evolutions, including emer- gating seaward of the Boundary Lines gencies, as well as those functions in part 7 of this chapter, except: which may be assigned to persons in (1) A public vessel; watches.

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(b) Subject to exceptions, 46 U.S.C. divided into two watches regardless of 8104 requires that when a master of a the length of the voyage. seagoing vessel of more than 100 GRT (e) Fish processing vessels are subject establishes watches for the officers, to various provisions of 46 U.S.C. 8104 sailors, coal passers, firemen, oilers, concerning watches, including— and watertenders, ‘‘the personnel shall (1) For fish processing vessels that be divided, when at sea, into at least entered into service before January 1, three watches and shall be kept on 1988, the following watch requirements duty successively to perform ordinary apply to the officers and deck crew: work incidental to the operation and (i) If more than 5,000 GRT—three management of the vessel.’’ Solely for watches. the purposes of this part, the Coast (ii) If more than 1,600 GRT and not Guard interprets ‘‘sailors’’ to mean more than 5,000 GRT—two watches. those members of the deck department (iii) If not more than 1,600 GRT—no other than officers, whose duties in- watch division specified; or volve the mechanics of conducting the (2) For fish processing vessels that ship on its voyage, such as helmsman entered into service after December 31, (wheelsman), lookout, etc., and which 1987, the following watch requirements are necessary to the maintenance of a apply to the officers and deck crew: continuous watch. The term ‘‘sailors’’ (i) If more than 5,000 GRT—three is not interpreted to include able sea- watches. men and ordinary seamen not per- (ii) If not more than 5,000 GRT and forming these duties. having more than 16 individuals on- (c)(1) Subject to exceptions, 46 U.S.C. board, primarily employed in the prep- 8104(g) permits the officers and crew aration of fish or fish products—two members (except the coal passers, fire- watches. men, oilers, and watertenders) to be di- (iii) If not more than 5,000 GRT and vided into two watches when at sea and having not more than 16 individuals engaged on a voyage of less than 600 onboard, primarily employed in the miles on the following categories of preparation of fish or fish products—no vessels— watch division specified. (i) Towing vessel; (f) Properly manned uninspected pas- (ii) Offshore supply vessels, except as senger vessels of at least 100 GRT— provided by paragraph (c)(2) of this sec- (1) Which are underway for no more tion; or than 12 hours in any 24-hour period, (iii) Barge. and which are adequately moored, an- (2) Paragraph (c)(1) of this section ap- chored, or otherwise secured in a har- plies to an OSV of at least 6,000 GT ITC bor of safe refuge for the remainder of (500 GRT if GT ITC is not assigned), as that 24-hour period, may operate with defined in § 125.160 of this chapter, if one navigational watch; the individuals engaged on the vessel (2) Which are underway more than 12 are in compliance with the work hours hours in any 24-hour period, must pro- and rest period requirements in § 15.1111 vide a minimum of a two-watch sys- of this part. tem; (d) Subject to exceptions, 46 U.S.C. (3) In no case may the crew of any 8104(h) permits a master or mate (pilot) watch work more than 12 hours in any operating a towing vessel that is at 24-hour period, except in an emergency. least 8 meters (26 feet) in length measured from end to end over the deck (ex- [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as amended by USCG-1999–6224, 64 FR 63235, cluding sheer) to work not more than Nov. 19, 1999; USCG-1999–5040, May 15, 2002; 12 hours in a consecutive 24-hour period USCG-2004–18884, 69 FR 58343, Sept. 30, 2004; except in an emergency. The Coast USCG–2006–24371, 74 FR 11261, Mar. 16, 2009; Guard interprets this, in conjunction USCG–2004–17914, 78 FR 78004, Dec. 24, 2013; with other provisions of the law, to USCG–2012–0208, 79 FR 48924, Aug. 18, 2014] permit masters or mates (pilots) serving as operators of towing vessels that § 15.710 Working hours. are not subject to the provisions of the In addition to prescribing watch re- Officers’ Competency Certificates Con- quirements, 46 U.S.C. 8104 sets limita- vention, 1936 (see 46 U.S.C. 8304), to be tions on the working hours of

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credentialed officers and crew mem- the most expeditious manner replace- bers, prescribes certain rest periods, ments who are citizens of the United and prohibits unnecessary work on States can be obtained. Sundays and certain holidays when the (b) The citizenship requirements of 46 vessel is in a safe harbor. It is the re- U.S.C. 8103(a) and (b) and the TWIC responsibility of the master or person in quirement of 46 U.S.C. 70105 are waived, charge to ensure that these limitations except for the requirement that the are met. However, under 46 U.S.C. master must be a U.S. citizen holding a 8104(f), the master or other TWIC, with respect to the following credentialed officer can require any vessels: part of the crew to work when, in his or (1) A U.S.-documented offshore sup- her judgment, they are needed for: ply vessel (OSV) (as that term is de- (a) Maneuvering, shifting berth, fined in 46 U.S.C. 2101(19)) that is oper- mooring, unmooring; ating from a foreign port; and (b) Performing work necessary for (2) A U.S.-documented mobile off- the safety of the vessel, or the vessel’s shore drilling unit (MODU) (as that passengers, crew, or cargo; term is defined in 46 U.S.C. 2101(15a)) (c) Saving of life onboard another that is operating beyond the water vessel in jeopardy; or, above the U.S. Outer Continental (d) Performing fire, lifeboat, or other Shelf. drills in port or at sea. (c) The waiver provided in paragraph (b) of this section does not apply to any [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as amended by USCG-2004–18884, 69 FR 58343, vessel operating in water above the Sept. 30, 2004; USCG–2006–24371, 74 FR 11261, U.S. Outer Continental Shelf (as that Mar. 16, 2009; USCG–2004–17914, 78 FR 78005, term is defined in 43 U.S.C. 1331(a)). Dec. 24, 2013] (d) The master must assure that any replacements of crewmembers by non- § 15.715 Automated vessels. U.S. citizens made in accordance with (a) Coast Guard acceptance of auto- this section will be with an individual mated systems to replace specific per- who holds a credential that required sonnel or to reduce overall crew re- experience, training, and other quali- quirements is predicated upon the ca- fications equivalent to the U.S. creden- pabilities of the system, the system’s tial required for the position and that demonstrated and continuing reli- the person possesses or will possess the ability, and a planned maintenance training required to communicate to program that ensures continued safe the extent required by § 15.730 of this operation of the vessel. part. (b) The OCMI considers the capabili- (e) Non-U.S.-credentialed officers ties of an automated system in estab- serving onboard vessels subject to lishing initial manning levels; how- STCW must hold a ‘‘Certificate attest- ever, until the system is proven reli- ing recognition’’ in accordance with able, a manning level adequate to oper- part 11, subpart J of this subchapter. A ate in a continuously attended mode mariner may serve for a period not to will be specified on a vessel’s COI. It exceed 3 months onboard the vessel remains the responsibility of the ves- while the Coast Guard is processing his sel’s master to determine when a con- or her application for such a certifi- tinuous watch is necessary. cate. [CGD 89–061, 55 FR 1212, Jan. 12, 1990, as § 15.720 Use of non-U.S.-credentialed amended by USCG–2006–24371, 74 FR 11261, personnel. Mar. 16, 2009; USCG–2004–17914, 78 FR 78005, (a) United States vessels which need Dec. 24, 2013] to replace one or more persons while on a foreign voyage and outside the juris- § 15.725 Sailing short. diction of the United States, in order Whenever a vessel is deprived of the to meet manning requirements, may service of a member of its complement, use non-U.S. credentialed personnel and the master or person in charge is without a TWIC, except for the posi- unable to find appropriate credentialed tions of master and radio officer, until personnel to man the vessel, the mas- the vessel returns to a port at which in ter or person in charge may proceed on

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the voyage, having determined the ves- (c) The words able to understand any sel is sufficiently manned for the voy- order spoken by the officers relates to age. A report of sailing short must be any order to a member of the crew filed with the OCMI having cognizance when directing the performance of that for inspection in the area in which the person’s duties and orders relating to vessel is operating, or the OCMI within emergency situations such as used for whose jurisdiction the voyage is com- response to a fire or in using lifesaving pleted. The report must explain the equipment. It is not expected that a cause of each deficiency and be sub- member of the deck department under- mitted within 12 hours after arrival at stand terminology normally used only the next port. The actions of the mas- in the engineroom or vice versa. ter or person in charge in such in- (d) Whenever information is pre- stances are subject to review and it sented to the Coast Guard that a vessel must be shown the vacancy was not fails to comply with the specified lan- due to the consent, fault or collusion of guage requirements the Coast Guard the master or other individuals speci- investigates the allegation to deter- fied in 46 U.S.C. 8101(e). A civil penalty mine its validity. In determining if an may be assessed against the master or allegation is factual, the Coast Guard person in charge for failure to submit may require a demonstration by the of- the report. ficers and crew that appropriate orders [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as are understood. The demonstration will amended by USCG–2006–24371, 74 FR 11262, require that orders be spoken to the in- Mar. 16, 2009; USCG–2004–17914, 78 FR 78005, dividual members of the crew by the of- Dec. 24, 2013] ficers in the language ordinarily and customarily used by the officers. The § 15.730 Language requirements. orders must be spoken directly by the (a) The provisions of 46 U.S.C. 8702 re- officer to the crew member and not lating to language apply generally to through an interpreter. Signs, ges- vessels of at least 100 GRT except: tures, or signals may not be used in the (1) Vessels operating on rivers and test. The Coast Guard representative lakes except the Great Lakes; will specify the orders to be given and (2) A manned barge except a seagoing will include not only daily routine but barge or a barge to which chapter 37 of orders involving emergencies, either of 46 U.S.C. applies; a departmental or of a general nature. (3) A fishing vessel, fish tender ves- This test will be conducted, if possible, sel, whaling vessel, or yacht; at a time reasonably in advance of the (4) A sailing school vessel with re- vessel’s departure, to avoid delays. spect to sailing school instructors and sailing school students; [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as amended by USCG–2006–24371, 74 FR 11262, (5) An oceanographic research vessel Mar. 16, 2009; USCG–2004–17914, 78 FR 78005, with respect to scientific personnel; Dec. 24, 2013] (6) A fish processing vessel which entered into service before January 1, 1988, and is not more than 1,600 GRT or Subpart H—Computations which entered into service after De- cember 31, 1987, and has not more than SOURCE: CGD 81-059, 52 FR 38652, Oct. 16, 16 individuals onboard primarily em- 1987, unless otherwise noted. Redesignated ployed in the preparation of fish or fish by USCG–2004–17914, 78 FR 78001, Dec. 24, 2013. products; and (7) All fish processing vessels with re- § 15.801 General. spect to those personnel primarily em- The OCMI will determine the specific ployed in the preparation of fish or fish manning levels for vessels required to products or in a support position not have certificates of inspection by part related to navigation. B of subtitle II of title 46 U.S.C. The (b) 46 U.S.C. 8702(b) requires that on- masters or individuals in command of board vessels departing U.S. ports 75 all vessels, whether required to be in- percent of the crew in each department spected under 46 U.S.C. 3301 or not, are onboard is able to understand any order responsible for properly manning ves- spoken by the officers. sels in accordance with the applicable

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laws, regulations, and international § 15.810 Mates. conventions. (a) The OCMI determines the min- [CGD 81–059, 54 FR 149, Jan. 4, 1989] imum number of mates required for the safe operation of inspected vessels. § 15.805 Master. (b) The minimum number of mariners holding a license or MMC officer en- (a) There must be an individual hold- dorsement as mate required to be car- ing an appropriate license as or a valid ried on every inspected, self-propelled, MMC with endorsement as master in seagoing and Great Lakes vessel, and command of each of the following ves- every inspected, seagoing, passenger sels: vessel must not be less than the fol- (1) Every self-propelled, seagoing doc- lowing, except when reductions are au- umented vessel of 200 GRT and over. thorized under paragraph (e) of this (2) Every self-propelled inspected ves- section: sel; (1) Vessels of 1,000 GRT or more (ex- (3) Every inspected passenger vessel; cept MODUs)—three mates (except (4) Every inspected small passenger when on a voyage of less than 400 miles vessel; and from port of departure to port of final (5) Every towing vessel of at least 8 destination—two mates). meters (26 feet) or more in length must (2) MODUs of 1,000 GRT or more: be in command of a master of towing (i) Three mates when on a voyage of vessels, or a mariner holding a license more than 72 hours. or MMC endorsed as master of in- (ii) Two mates when on a voyage of spected, self-propelled vessels greater more than 16 but not more than 72 than 200 GRT holding either— hours. (i) A completed Towing Officer’s As- (iii) One mate when on a voyage of sessment Record (TOAR), bearing the not more than 16 hours. (3) Vessels of 100 GRT or more but signature of a Designated Examiner less than 1,000 GRT—two mates (except and stating that the Examiner found vessels of at least 100 but less than 200 the candidate proficient; or GRT on voyages which do not exceed 24 (ii) A license or MMC endorsed for hours in duration—one mate). master of towing vessels. (4) All vessels of less than 100 GRT— (6) Every uninspected passenger ves- one mate (except vessels on voyages sel of at least 100 GRT. not exceeding 12 hours in duration (7) Every uninspected passenger ves- may, if the OCMI determines it to be sel engaged on an international voy- safe, be operated without mates). age. (5) An offshore supply vessel of 100 (b) On vessels subject to STCW, the GRT (100 GT ITC if GRT is not as- individual meeting the requirement of signed) or more, but less than 6,000 GT this section must also hold an STCW ITC (500 GRT if GT ITC is not assigned) endorsement as master with the appro- as defined in § 125.160 of this chapter— priate tonnage for the vessel which he one credentialed mate (except when on or she is operating, except as noted in a voyage of at least 600 miles—two § 15.105(g) of this part for vessels on do- credentialed mates). A voyage includes mestic near-coastal voyages. the accrued distance from port of de- (c) Every vessel documented under parture to port of arrival and does not the laws of the United States, other include stops at offshore points. than a vessel with only a recreational (6) An offshore supply vessel of at endorsement, must be under the com- least 6,000 GT ITC (500 GRT if GT ITC mand of a U.S. citizen. is not assigned) as defined in § 125.160 of this chapter—two credentialed mates [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as provided that the OSV meets the re- amended by CGD 81–059, 54 FR 149, Jan. 4, quirements in 46 CFR 15.1111 (except 1989; USCG-1999–6216, 64 FR 53223, Oct. 1, 1999; USCG-1999–6224, 64 FR 63235, Nov. 19, 1999; 66 when on a voyage of more than 600 FR 20944, Apr. 26, 2001; USCG-1999–5040, 67 FR miles—three credentialed mates). A 34767, May 15, 2002; USCG–2006–24371, 74 FR voyage includes the accrued distance 11261, Mar. 16, 2009; USCG–2004–17914, 78 FR from the vessel’s port of departure to 78005, Dec. 24, 2013] the vessel’s port of arrival. Stops at

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offshore points or facilities do not con- § 15.812 Pilots. stitute separate voyages; stops at off- (a) Except as specified in paragraph shore points or facilities are included (f) of this section, the following ves- in the total accrued distance between sels, not sailing on register, when un- the vessel’s port of departure and the derway on the navigable waters of the vessel’s port of arrival. United States, must be under the direc- (c) An individual in charge of the tion and control of an individual quali- navigation or maneuvering of a self- fied to serve as pilot under paragraph propelled, uninspected, documented, (b) or (c) of this section, as appropriate: seagoing vessel of 200 GRT or over (1) Coastwise seagoing vessels pro- must hold an appropriate license or pelled by machinery and subject to in- MMC authorizing service as mate. spection under 46 U.S.C. Chapter 33, (d) Each person in charge of the navi- and coastwise seagoing tank barges gation or maneuvering of a towing ves- subject to inspection under 46 U.S.C. sel of at least 8 meters (26 feet) in Chapter 37. length must satisfy the requirements (2) Vessels that are not authorized by of § 15.805(a)(5) of this part or hold a li- their COI to proceed beyond the Bound- cense or MMC authorizing service as ary Line established in part 7 of this either— chapter, are in excess of 1,600 GRT pro- (1) Mate (pilot) of towing vessels; or pelled by machinery, and are subject to (2) Mate of inspected self-propelled inspection under 46 U.S.C. Chapter 33. vessels greater than 200 GRT within (3) Vessels operating on the Great any other restrictions on the officer’s Lakes, that are propelled by machinery license or MMC, holding either— and subject to inspection under 46 (i) A completed TOAR bearing the U.S.C. Chapter 33, or are tank barges signature from a Designated Examiner subject to inspection under 46 U.S.C. and stating that the Examiner found Chapter 37. the candidate proficient; or (b) The following individuals may (ii) A license or MMC with officer en- serve as a pilot on a vessel subject to dorsement for towing vessels. paragraph (a) of this section, when un- (e) The OCMI may increase the min- derway on the navigable waters of the imum number of mates indicated in United States that are designated paragraph (b) of this section where he areas: or she determines that the vessel’s (1) An individual holding a valid characteristics, route, or other oper- first-class pilot’s license or MMC offi- ating conditions create special cir- cer endorsement as first-class pilot, op- cumstances warranting an increase. erating within the restrictions of his or (f) The Commandant will consider re- her credential, may serve as pilot on ductions to the number of mates re- any vessel to which this section ap- quired by this section when special cir- plies. cumstances allowing a vessel to be safely operated can be demonstrated. (2) An individual holding a valid license or MMC officer endorsement as (g) On vessels subject to STCW, the master or mate, employed aboard a individual meeting the requirement of vessel within the restrictions of his or this section must also hold an STCW her credential, may serve as pilot on a endorsement as officer in charge of a vessel of not more than 1,600 GRT pro- navigational watch with the appro- pelled by machinery, described in para- priate tonnage for the vessel which he graphs (a)(1) and (a)(3) of this section, or she is operating, except as noted in provided he or she— § 15.105 (g) of this part for vessels on domestic near-coastal voyages. (i) Is at least 21 years old; (ii) Is able to show current knowledge [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as of the waters to be navigated, as re- amended by CGD 81–059, 54 FR 149, Jan. 4, quired in § 11.713 of this subchapter; and 1989; CGD 81–059a, 55 FR 14805, Apr. 18, 1990; (iii) Provides evidence of completing USCG-1999–6224, 64 FR 63235, Nov. 19, 1999; 66 FR 20944, Apr. 26, 2001; USCG–2006–24371, 74 a minimum of four roundtrips over the FR 11262, Mar. 16, 2009; USCG–2004–17914, 78 route to be traversed while in the FR 78005, Dec. 24, 2013; USCG–2012–0208, 79 FR wheelhouse as watchstander or ob- 48924, Aug. 18, 2014] server. At least one of the roundtrips

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must be made during the hours of dark- aboard a vessel within the restrictions ness if the route is to be traversed dur- of his or her credential, may serve as a ing darkness. pilot for a vessel subject to paragraphs (3) An individual holding a valid li- (a)(1) and (a)(2) of this section, when cense or MMC officer endorsement as underway on the navigable waters of master, mate, or operator employed the United States that are not des- aboard a vessel within the restrictions ignated areas of pilotage waters, proof his or her credential, may serve as vided he or she— pilot on a tank barge or tank barges (1) Is at least 21 years old totaling not more than 10,000 GRT/GT, (2) Is able to show current knowledge described in paragraphs (a)(1) and (a)(3) of the waters to be navigated, as re- of this section, provided he or she— quired in § 11.713 of this subchapter; an (i) Is at least 21 years old (3) Has a current physical examina- (ii) Is able to show current knowledge tion in accordance with the provisions of the waters to be navigated, as re- of § 11.709 of this subchapter quired in § 11.713 of this subchapter (iii) Has a current physical examina- (d) In any instance in which the tion in accordance with the provisions qualifications of a person satisfying of § 11.709 of this subchapter the requirements for pilotage through (iv) Has at least 6 months of service the provisions of this subpart are ques- in the deck department on towing ves- tioned by the Coast Guard, the indi- sels engaged in towing operations; an vidual must, within a reasonable time, (v) Provides evidence of completing a provide the Coast Guard with docu- minimum of 12 roundtrips over the mentation proving compliance with route to be traversed, as an observer or the applicable portions of paragraphs under instruction in the wheelhouse. (b) and (c) of this section At least three of the roundtrips must (e) Federal pilotage requirements be made during the hours of darkness if contained in paragraphs (a) through (d) the route is to be traversed during of this section are summarized in the darkness following two quick reference tables (c) An individual holding a valid li- (1) Table 1 to § 15.812(e)(1) provides a cense or MMC officer endorsement as guide to the pilotage requirements for master, mate, or operator, employed inspected, self-propelled vessels.

TABLE 1 TO § 15.812(e)(1)—QUICK REFERENCE TABLE FOR FEDERAL PILOTAGE REQUIREMENTS FOR U.S.–INSPECTED, SELF-PROPELLED VESSELS, NOT SAILING ON REGISTER

Designated areas of pilotage waters (routes for which First-Class Pilot’s li- Non-designated areas of pilotage waters censes or MMC officer endorsements (between the 3-mile line and the start of are issued) traditional pilotage routes)

Inspected self-propelled vessels greater First-Class Pilot ...... Master or Mate may serve as pilot if he than 1,600 GRT, authorized by their or she— COI to proceed beyond the Boundary 1. Is at least 21 years old; Line, or operating on the Great Lakes. 2. Has an annual physical exam; and 3. Maintains current knowledge of the waters to be navigated.1 Inspected self-propelled vessels not more First-Class Pilot, or Master or Mate may Master or Mate may serve as pilot if he than 1,600 GRT, authorized by their serve as pilot if he or she— or she— COI to proceed beyond the Boundary 1. Is at least 21 years old; ...... 1. Is at least 21 years old; Line, or operating on the Great Lakes. 2. Maintains current knowledge of the 2. Has an annual physical exam; and waters to be navigated; and1 3. Maintains current knowledge of the 3. Has four roundtrips over the route.2 waters to be navigated.1 Inspected self-propelled vessels greater First-Class Pilot ...... Master or Mate may serve as pilot if he than 1,600 GRT, not authorized by their or she— COI to proceed beyond the Boundary 1. Is at least 21 years old; Line (inland route vessels); other than 2. Has an annual physical exam; and vessels operating on the Great Lakes. 3. Maintains current knowledge of the waters to be navigated.1 Inspected self-propelled vessels not more No pilotage requirement ...... No pilotage requirement. than 1,600 GRT, not authorized by their COI to proceed beyond the Boundary Line (inland route vessels); other than vessels operating on the Great Lakes. 1 One roundtrip within the past 60 months.

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2 If the route is to be traversed during darkness, one of the four roundtrips must be made during darkness. (2) Table 1 to § 15.812(e)(2) provides a guide to the pilotage requirements for tank barges.

TABLE 1 TO § 15.812(e)(2)—QUICK REFERENCE TABLE FOR FEDERAL PILOTAGE REQUIREMENTS FOR U.S.-INSPECTED TANK BARGES, NOT SAILING ON REGISTER

Tank Barges greater than 10,000 GRT/ First-Class Pilot ...... Master, Mate, or Master, Mate (Pilot) of GT, authorized by their COI to proceed Master, Mate, or Master, Mate (Pilot) of towing vessels may serve as pilot if he beyond the Boundary Line, or operating towing vessels may serve as pilot if he or she: on the Great Lakes. or she:. 1. Is at least 21 years old; 1. Is at least 21 years old; 2. Has an annual physical exam; 2 2. Has an annual physical exam; 3. Maintains current knowledge of the 3. Maintains current knowledge of the waters to be navigated;1 and waters to be navigated;1 and 4. Has at least 6 months’ service in the 4. Has at least 6 months’ service in the deck department on towing vessels deck department on towing vessels engaged in towing operations engaged in towing Tank Barges 10,000 GRT/GT or less, au- First-Class Pilot, or Master, Mate, or thorized by their COI to proceed be- Master, Mate (Pilot) of towing vessels yond the Boundary Line, or operating may serve as pilot if he or she: on the Great Lakes. 1. Is at least 21 years old; 2. Has an annual physical exam; 2 3. Maintains current knowledge of the waters to be navigated; 1 4. Has at least 6 months’ service in the deck department on towing vessels engaged in towing operations; and 5. Has 12 roundtrips over the route.3 Tank Barges authorized by their COI for No pilotage requirement ...... No pilotage requirement. inland routes only (lakes, bays, and sounds/rivers); other than vessels operating on the Great Lakes 1 One roundtrip within the past 60 months. 2 Annual physical exam does not apply to an individual who will serve as a pilot of a tank barge of less than 1,600 GRT. 3 If the route is to be traversed during darkness, three of the 12 roundtrips must be made during darkness.

(f) In Prince William Sound, Alaska, (i) On the West by a line 1 mile west coastwise seagoing vessels over 1,600 of the western boundary of the Traffic GRT and propelled by machinery and Separation Scheme subject to inspection under 46 U.S.C. (ii) On the East by 146°00′ West lon- Chapter 37 must— gitude; (1) When operating from 60°49′ north (iii) On the North by 60°49′ North lati- latitude to the Port of Valdez, be under tude; and the direction and control of an indi- (iv) On the South by that area of vidual holding a valid license or MMC Hinchinbrook Entrance within the ter- endorsed as pilot who— ritorial sea bounded by 60°07′ North (i) Is operating under the authority ° ′ of a license or MMC latitude and 146 31.5 West longitude (ii) Holds a license issued by the [USCG–2004–17914, 78 FR 78005, Dec. 24, 2013] State of Alaska; an (iii) Is not a crewmember of the ves- § 15.815 Radar observers. sel; an (a) Each person in the required com- (2) Navigate with either two plement of deck officers, including the credentialed deck officers on the bridge master, on inspected vessels of 300 GRT or an individual holding a valid license or over which are radar equipped, must or MMC endorsed as pilot, when oper- hold an endorsement as radar observer. ating south of 60°49′ north latitude and in the approaches through (b) Each person who is employed or Hinchinbrook Entrance and in the area serves as pilot in accordance with Fed- bounded— eral law onboard radar-equipped vessels

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of 300 GRT or over must hold an en- § 15.818 Global Maritime Distress and dorsement as radar observer. Safety System (GMDSS) at-sea (c) Each person having to hold a li- maintainer. cense or MMC officer endorsement Every person employed or engaged to under 46 U.S.C. 8904(a) for employment maintain GMDSS equipment at sea, or service as master or mate onboard when the service of a person so des- an uninspected towing vessel of 8 me- ignated is used to meet the mainte- ters (26 feet) or more in length must, if nance requirements of SOLAS Regula- the vessel is equipped with radar, hold tion IV/15 (incorporated by reference, an endorsement as radar observer. see § 15.103 of this part), must provide (d) Each person who is required to documentary evidence that he or she is hold a radar endorsement must have competent to maintain GMDSS equip- his or her certificate of training read- ment at sea. ily available to demonstrate that the [USCG–2004–17914, 78 FR 78008, Dec. 24, 2013] endorsement is still valid. (e) For this section, ‘‘readily avail- § 15.820 Chief engineer. able’’ means that the documentation (a) There must be an individual hold- must be provided to the Coast Guard, ing an MMC or license endorsed as or other appropriate Federal agency, chief engineer or other credential au- within 48 hours of a request by the thorizing service as chief engineer em- Coast Guard or other agency. The doc- ployed onboard the following mechani- umentation may be provided by the in- cally propelled inspected vessels: dividual, or his or her company rep- (1) Seagoing or Great Lakes vessels resentative, electronically, by fac- of 200 GRT and over; simile, or physical copy. (2) Offshore supply vessels of more than 200 GRT; [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as amended by CGD 94–041, 60 FR 8309, Feb. 14, (3) Inland (other than Great Lakes) 1995; CGD 95–028, 62 FR 51196, Sept. 30, 1997; vessels of 300 GRT or more, if the OCMI USCG-2004–18884, 69 FR 58343, Sept. 30, 2004; determines that an individual with a li- USCG–2006–26202, 73 FR 52795, Sept. 11, 2008; cense or the appropriate MMC officer USCG–2006–24371, 74 FR 11262, Mar. 16, 2009; endorsement responsible for the ves- USCG–2004–17914, 78 FR 78007, Dec. 24, 2013; sel’s mechanical propulsion is nec- USCG–2014–0688, 79 FR 58279, Sept. 29, 2014] essary. (b) On vessels subject to STCW, the § 15.816 Automatic radar plotting aids individual meeting the requirement of (ARPAs). this section must also hold an STCW Every person in the required com- endorsement as chief engineer with the plement of deck officers, including the appropriate propulsion power for the master, on seagoing vessels equipped vessel upon which he or she is oper- with automatic radar plotting aids ating, except as noted in § 15.105(g) of (ARPAs), except those vessels listed in this part for vessels on domestic near- § 15.105(f) and (g) of this part, must hold coastal voyages. an appropriate STCW endorsement (c) An individual engaged or em- valid for vessels equipped with ARPA. ployed to perform the duties of chief engineer on a mechanically propelled, [USCG–2004–17914, 78 FR 78007, Dec. 24, 2013] uninspected, seagoing, documented vessel of 200 GRT or more must hold an § 15.817 Global Maritime Distress and Safety System (GMDSS) radio oper- appropriately endorsed license or MMC ator. authorizing service as a chief engineer. Every person in the required com- [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as plement of deck officers, including the amended by USCG–2006–24371, 74 FR 11262, master, on seagoing vessels equipped Mar. 16, 2009; USCG–2004–17914, 78 FR 78007, Dec. 24, 2013] with a GMDSS, except those vessels listed in § 15.105(f) and (g) of this part, § 15.825 Engineers. must provide evidence of a valid STCW (a) An individual in charge of an en- endorsement as GMDSS radio operator. gineering watch on a mechanically pro- [USCG–2004–17914, 78 FR 78007, Dec. 24, 2013] pelled, seagoing, documented vessel of

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200 GRT or more, other than an individuals serving as officers, must be vidual described in § 15.820 of this sub- able seamen. For vessels permitted to part, must hold an appropriately en- maintain a two-watch system, the per- dorsed license or MMC authorizing centage of able seamen may be reduced service as an assistant engineer. to 50 percent. (b) On vessels subject to STCW, the (b) Able seamen are rated as: unlim- individual meeting the requirement of ited, limited, special, offshore supply this section must also hold an STCW vessel (OSV), sail, and fishing industry, endorsement as officer in charge of an under the provisions of part 12 of this engineering watch with the appropriate subchapter. 46 U.S.C. 7312 specifies the propulsion power for the vessel upon categories of able seamen (i.e., unlim- which he or she is operating, except as ited, limited, etc.) necessary to meet noted in § 15.105(g) of this part for ves- the requirements of 46 U.S.C. 8702. sels on domestic near-coastal voyages. (c) On vessels subject to STCW, the (c) An offshore supply vessel of at individual meeting the requirement of least 6,000 GT ITC (500 GRT if GT ITC this section must also hold an STCW is not assigned) as defined in § 125.160 of endorsement as ratings forming part of this chapter, for which the Coast Guard a navigational watch or able seafarer- has accepted the use of automated sys- deck (according to § 15.404(a) and (b) of tems to replace specific personnel pur- this part), except as noted in § 15.105 (g) suant to subpart 62.50 of this chapter, of this part for vessels on domestic must carry at least one credentialed near-coastal voyages. assistant engineer, in addition to the (d) It is the responsibility of the mas- individual described in § 15.820 of this ter or person in charge (PIC) to ensure subpart. that the able seamen in the service of (d) The OCMI determines the min- the vessel meet the requirements of 46 imum number of credentialed engi- U.S.C. 7312 and 8702. neers required for the safe operation of inspected vessels. [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as amended by USCG–2006–24371, 74 FR 11263, [USCG–2004–17914, 78 FR 78008, Dec. 24, 2013, Mar. 16, 2009; USCG–2004–17914, 78 FR 78008, as amended by USCG–2012–0208, 79 FR 48924, Dec. 24, 2013] Aug. 18, 2014] § 15.845 Lifeboatmen. § 15.830 Radio officers. (a) The number of lifeboatmen re- Radio officers are required on certain quired for a vessel is specified in part merchant vessels of the United States. 199 of this chapter; however, on vessels The determination of when a radio offi- not equipped with lifeboats, a cer is required is based on the Federal lifeboatman may be replaced by a Communications Commission require- lifeboatman-limited. ments as found in 47 CFR part 13 and 47 (b) On vessels subject to STCW, the CFR part 80. individual meeting the requirement of [CGD 81-059, 52 FR 38652, Oct. 16, 1987. Redes- this section must also hold an STCW ignated and amended by USCG–2004–17914, 78 endorsement for proficiency in survival FR 78001, 78008, Dec. 24, 2013] craft, except as noted in § 15.105 (g) of this part for vessels on domestic near- § 15.835 Staff officers. coastal voyages. Staff officers, when carried, must be [USCG–2004–17914, 78 FR 78008, Dec. 24, 2013] registered as specified in part 11 of this chapter. § 15.850 Lookouts. [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as (a) The requirements for the mainte- amended by USCG–2006–24371, 74 FR 11263, nance of a proper lookout are specified Mar. 16, 2009] in Rule 5 of the International Regula- tions for Preventing Collisions at Sea, § 15.840 Able seamen. 1972 (33 U.S.C. 1602(c)), and Rule 5 of the (a) With certain exceptions, 46 U.S.C. Inland Navigational Rules Act of 1980 8702 applies to all vessels of at least 100 (33 CFR part 83). Lookout is a function GRT. At least 65 percent of the deck to be performed by a member of a navi- crew of these vessels, excluding indi- gational watch.

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(b) On vessels subject to STCW, the (4) High-water alarms are located in individual meeting the requirement of each space with a through hull fitting this section must also hold at least an below the deepest load waterline, a ma- STCW deck endorsement as rating chinery space bilge, bilge well, shaft forming part of a navigational watch, alley bilge, or other space subject to except as noted in § 15.105(g) of this flooding from sea water piping within part for vessels on domestic near-coast- the space, and a space below the water- al voyages. line with non-watertight closure such [USCG–2004–17914, 78 FR 78008, Dec. 24, 2013] as a space with a non-watertight hatch on the main deck. § 15.855 Cabin watchmen and fire pa- (5) Each alarm has an audible- and trolmen. visual-alarm indicator located at the (a) On vessels carrying passengers at normal operating station and, if the night, the master or person in charge normal operating position is not con- must ensure that a suitable number of tinually manned and not navigating watchmen are in the vicinity of the underway, in an alternate location cabins or staterooms and on each deck, that must provide the crew, and may to guard against and give alarm in case at all times provide the passengers, im- of fire or other danger. mediate warning of a hazardous condi- (b) On a fish processing vessel of tion. more than 100 GRT, there must be a (6) The vessel is underway for no suitable number of watchmen trained more than 12 hours in any 24-hour pe- in firefighting onboard when hot work riod, and the master of the vessel has is being done, to guard against and give chosen to operate with less than a alarm in case of a fire. three-watch system in accordance with (c) For the watchmen described in § 15.705 of this part. paragraph (a) of this section, the owner or operator of an uninspected pas- [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as senger vessel not more than 300 GRT amended by USCG-1999–5040, 67 FR 34767, May may substitute the use of fire detec- 15, 2002; USCG–2004–17914, 78 FR 78008, Dec. 24, tors, heat detectors, smoke detectors, 2013] and high-water alarms with audible- § 15.860 Tankerman. and visual-warning indicators, in addition to other required safety alarms, (a) The OCMI enters on the COI only when each of the following condi- issued to each manned tank vessel sub- tions are met: ject to the regulations in this chapter (1) Fire detectors are located in each the number of crewmembers required space containing machinery or fuel to hold valid MMDs or MMCs with the tanks per § 181.400(c) of this chapter. proper tankerman endorsement. Table (2) All grills, broilers, and deep-fat 1 to § 15.860(a) of this section provides fryers are fitted with a grease extrac- the minimum requirements for tion hood per § 181.425 of this chapter. tankermen aboard manned tank ves- (3) Heat and/or smoke detectors are sels; Table 2 to § 15.860(a) of this section located in each galley, public accom- provides the tankerman endorsements modation space, enclosed passageway, required for personnel aboard tank- berthing space, and all crew spaces. ships.

TABLE 1 TO § 15.860(a)—MINIMUM REQUIREMENTS FOR TANKERMEN ABOARD MANNED TANK VESSELS

Tankerman- Tankerman- Tankerman Tankerman PIC or Tank vessels PIC assistant engineer tankerman-PIC (barge)

Tankship Certified for Voyages Beyond Boundary Line: Over 5,000 GRT ...... 2 3 2 5,000 GRT or less ...... 2 ...... 1 2 Tankship Not Certified for Voyages Beyond Boundary Line 2 2 Tank Barge ...... 3 2 1 If only one engineer is required, then only one tankerman-engineer is required. 2 If the total crew complement is one or two persons, then only one tankerman-PIC is required.

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3 If the total crew complement is one or two persons, then only one tankerman-PIC or tankerman-PIC (barge) is required.

TABLE 2 TO 15.860(a)—TANKERMEN ENDORSEMENTS REQUIRED FOR PERSONNEL ABOARD TANKSHIPS [Endorsement for the classification of the bulk liquid cargo or residues carried]

Tankerman- Tankerman Tankerman Tankship certified for voyages beyond boundary line PIC engineer assistant

Master ...... X Chief Mate ...... X Chief Engineer ...... X or X First Assistant Engineer ...... X or X Cargo Engineer ...... X or X Credentialed Officer Acting as PIC of Transfer of Liquid Cargo in Bulk ...... X Credentialed Officer or Crewmember Not Directly Supervised by PIC ...... X

(b) For each tankship of more than tankerman-PICs, tankerman-PICs 5,000 GRT certified for voyages beyond (barge), or restricted tankerman-PICs the boundary line as described in part (barge) must be carried 7 of this chapter— (f) The following personnel aboard (1) At least two tankerman-PICs or each tankship certified for voyages be- restricted tankerman-PICs must be yond the boundary line, as described in carried; part 7 of this chapter, must hold valid (2) At least three tankerman-assist- MMDs or MMCs, endorsed as follows ants must be carried; and (1) The master and chief mate must (3) At least two tankerman-engineers each hold a tankerman-PIC or re- must be carried stricted tankerman-PIC endorsement (c) For each tankship of 5,000 GRT or (2) The chief, first assistant, and less certified for voyages beyond the cargo engineers must each hold a boundary line, as described in part 7 of tankerman-engineer or tankerman-PIC this chapter— endorsement (1) At least two tankerman-PICs or (3) Each credentialed officer acting restricted tankerman-PICs must be as the PIC of a transfer of liquid cargo carried; an (2) At least two tankerman-engineers in bulk must hold a tankerman-PIC or must be carried, unless only one engi- restricted tankerman-PIC endorsement neer is required, in which case at least (4) Each officer or crewmember who one tankerman-engineer must be car- is assigned by the PIC duties and re- ried sponsibilities related to the cargo or (d) For each tankship not certified cargo-handling equipment during a for voyages beyond the boundary line, transfer of liquid cargo in bulk, but is as described in part 7 of this chapter, if not directly supervised by the PIC, the total crew complement is— must hold a tankerman-assistant en- (1) One or two, at least one dorsement tankerman-PIC or restricted (g) The endorsements required by tankerman-PIC must be carried; o this section must be for the classifica- (2) More than two, at least two tion of the liquid cargo in bulk or of tankerman-PICs or restricted the cargo residue being carried tankerman-PICs must be carried (h) All individuals serving on tank- (e) For each tank barge manned ships certified for voyages beyond the under § 31.15–5 of this chapter, if the boundary line, as described in part 7 of total crew complement is— this chapter, must hold an appropriate (1) One or two, at least one STCW endorsement, as follows tankerman-PIC, restricted tankerman- (1) For tankerman-PIC, an STCW en- PIC, tankerman-PIC (barge), or re- dorsement as Advanced Oil Tanker stricted tankerman-PIC (barge) must Cargo Operations, Advanced Chemical be carried; o Tanker Cargo Operations, or Advanced (2) More than two, at least two Liquefied Gas Tanker Cargo Oper- tankerman-PICs, restricted ations, as appropriate

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(2) For tankerman-Assistant, an (b) An individual holding a license or STCW endorsement as Basic Oil and MMC endorsed as master or mate of in- Chemical Tanker Cargo Operations, or spected self-propelled vessels is author- Basic Liquefied Gas Tanker Cargo Op- ized to serve as master or mate, respec- erations, as appropriate. tively, of non-self-propelled vessels (3) For a tankerman-PIC (barge), an other than sail vessels, within any re- STCW endorsement as Advanced Oil strictions on the individual’s license or Tanker Cargo Operations, Advanced MMC, without further endorsement. Chemical Tanker Cargo Operations, or (c) An individual holding a license or Advanced Liquefied Gas Tanker Cargo MMC endorsed as master or mate of in- Operations, as appropriate, including spected sail vessels is authorized to endorsements with a limitation for serve as master or mate, respectively, non-self-propelled vessels. (4) For a tankerman-engineer, an of other non-self-propelled vessels, STCW endorsement as Advanced Oil within any restrictions on the individ- Tanker Cargo Operations, or Advanced ual’s license or MMC, without further Chemical Tanker Cargo Operations, as endorsement. appropriate, including endorsements (d) An individual holding a license or with a limitation to maintenance and MMC endorsed as master or mate of in- repair of cargo equipment. spected auxiliary sail vessels, is authorized to serve as master or mate, re- [USCG–2004–17914, 78 FR 78008, Dec. 24, 2013] spectively, of self-propelled and non- § 15.865 Qualified member of the en- self-propelled vessels, within any re- gine department (QMED). strictions on the individual’s license or (a) Every person serving under the MMC, without further endorsement. authority of a rating endorsement as [CGD 81–059, 54 FR 150, Jan. 4, 1989, as amend- QMED on any United States vessel re- ed by USCG–2006–24371, 74 FR 11263, Mar. 16, quiring QMED must hold an endorse- 2009; USCG–2004–17914, 78 FR 78010, Dec. 24, ment as QMED. 2013] (b) On vessels subject to STCW, certain seafarers meeting the requirement § 15.905 Uninspected passenger ves- of this section must also hold either an sels. STCW endorsement as able seafarer-en- (a) An individual holding a license or gine or rating forming part of an engi- MMC endorsed as master or pilot of an neering watch or designated to perform inspected self-propelled vessel is au- duties in a periodically unmanned thorized to serve as operator of an engineroom (according to § 15.404(c) and uninspected passenger vessel of less (d) of this part), except as noted in than 100 GRT within any restrictions, § 15.105(g) of this part for vessels on do- other than tonnage limitations, on the mestic near-coastal voyages. individual’s license or MMC. [USCG–2004–17914, 78 FR 78009, Dec. 24, 2013] (b) An individual holding a license or MMC endorsed as a master or pilot of Subpart I—Equivalents an inspected self-propelled vessel is authorized to serve as master, as required SOURCE: CGD 81-059, 52 FR 38652, Oct. 16, by 46 CFR 15.805(a)(6), of an 1987, unless otherwise noted. Redesignated uninspected passenger vessel of 100 by USCG–2004–17914, 78 FR 78001, Dec. 24, 2013. GRT or more within any restrictions, including gross tonnage and route, on § 15.901 Inspected vessels of less than 100 GRT. the individual’s license or MMC. (c) An individual holding a license or (a) An individual holding a license or MMC endorsed as mate of an inspected MMC endorsed as mate or pilot of inspected, self-propelled vessels of 200 self-propelled vessel (other than Great GRT or more is authorized to serve as Lakes, inland, or river vessels of less master on inspected vessels of less than than 200 GRT) is authorized to serve as 100 GRT within any restrictions on the individual’s license or MMC, without further endorsement.

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operator of uninspected passenger ves- Subpart J—Vessels in Foreign sels of less than 100 GRT within any re- Trade strictions, other than tonnage limitations, on the individual’s license or SOURCE: CGD 92–061, 60 FR 24796, May 10, MMC. 1995, unless otherwise noted. Redesignated [USCG-1999–5040, 67 FR 34767, May 15, 2002, as by USCG–2004–17914, 78 FR 78001 Dec. 24, 2013. amended by USCG–2006–24371, 74 FR 11263, Mar. 16, 2009; USCG–2004–17914, 78 FR 78010, § 15.1001 General. Dec. 24, 2013] Self-propelled vessels engaged in foreign commerce are required to use a § 15.910 Towing vessels. pilot holding a valid MMC or license No person may serve as a master or with appropriate endorsement as a mate (pilot) of any towing vessel with- first-class pilot when operating in the out meeting the requirements of navigable waters of the United States §§ 15.805(a)(5) or 15.810(d) of this part. specified in this subpart. [CGD 92–061, 60 FR 24796, May 10, 1995, as [USCG–2006–24371, 74 FR 11263, Mar. 16, 2009] amended by USCG–2006–24371, 74 FR 11263, Mar. 16, 2009] § 15.915 Engineer officer endorsements. § 15.1010 California. The following licenses and MMC offi- The following offshore marine oil ter- cer endorsements authorize the holder minals located within U.S. navigable to serve as noted, within any restric- waters of the State of California: tions on the license or MMC, and as (a) Carlsbad, CA. The waters includ- provided by § 15.401 of this part: ing the San Diego Gas and Electric, (a) A designated duty engineer li- Encina Power Plant, lying within an cense or endorsement authorizes serv- area bounded by a line beginning at ice as chief or assistant engineer on latitude 33°10′06″ N, longitude 117°21′42″ vessels of less than 500 GT in the fol- W, thence southwesterly to latitude lowing manners: 33°08′54″ N, longitude 117°24′36″ W, (1) A designated duty engineer lim- thence southwesterly to latitude ° ′ ″ ° ′ ″ ited to vessels of less than 1,000 horse- 33 04 30 N, longitude 117 21 42 W, power or less than 4,000 horsepower thence northeasterly to latitude ° ′ ″ ° ′ ″ may serve only on near-coastal, Great 33 05 36 N, longitude 117 18 54 W, Lakes, or inland waters. thence northwesterly along the shoreline to latitude 33°10′06″ N, longitude (2) A designated duty engineer with 117°21′42″ W. no horsepower limitations may serve (b) Huntington Beach, CA. The waters on any waters. including the Golden West Refining (3) When serving on a vessel to which Company, Huntington Beach Marine STCW applies, the appropriate STCW Terminal, lying within an area bound- endorsement must also be held. ed by a line beginning at latitude (b) A chief engineer (limited) license 33°39′06″ N, longitude 118°00′0″ W, thence or endorsement authorizes service as westerly to latitude 33°39′18″ N, lon- chief or assistant engineer on vessels of gitude 118°05′12″ W, thence southeast- any gross tons on inland waters and of erly along a line drawn three nautical less than 1,600 GRT on ocean, near- miles from the baseline to latitude coastal, or Great Lakes waters. 33°35′30″ N, longitude 118°00′00″ W, (c) An assistant engineer (limited) li- thence easterly to latitude 33°35′30″ N, cense or endorsement authorizes serv- longitude 117°52′30″ W, thence north- ice on vessels of any gross tons on in- westerly along the shoreline to lati- ° ′ ″ ° ′ ″ land waters and of less than 1,600 GRT tude 33 39 06 N, longitude 118 00 00 W. on ocean, near-coastal, or Great Lakes (c) El Segundo, CA. The waters includ- waters. ing the Chevron USA, El Segundo Ma- rine Terminal, lying within an area [USCG–2004–17914, 78 FR 78010, Dec. 24, 2013] bounded by a line beginning at latitude 33°56′18″ N, longitude 118°26′18″ W, thence westerly to latitude 33°56′18″ N,

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longitude 118°30′48″ W, thence southerly to latitude 36°47′00″ N, longitude easterly along a line drawn three nau- 121°51′00″ W thence easterly to latitude tical miles from the baseline to lati- 36°47′00″ N, longitude 121°47′54″ W, tude 33°51′48″ N, longitude 118°27′54″ W, thence northerly along the shoreline to thence easterly to latitude 33°51′48″ N, latitude 36°49′00″ N, longitude 121°47′42″ longitude 118°24′00″ W, thence north- W. westerly along the shoreline to lati- (h) Estero Bay, CA. The waters includ- ° ′ ″ ° ′ ″ tude 33 56 18 N, longitude 118 26 18 W. ing various moorings, including the Pa- (d) Oxnard, CA. The waters including cific Gas and Electric Company moor- the Southern California Edison Com- ing and the two Chevron Oil Company pany, Mandalay Generating Station, Terminals lying within an area bound- lying within an area bounded by a line ° ′ ″ ed by a line beginning at latitude beginning at latitude 34 14 12 N, lon- ° ′ ″ ° ′ ″ gitude 119°16′00″ W, thence westerly to 36 25 00 N, longitude 120 52 30 W, ° ′ ″ latitude 34°14′12″ N, longitude 119°19′36″ thence westerly to latitude 36 25 00 N, ° ′ ″ W, thence southeasterly along a line longitude 120 56 00 W, thence southerly drawn three nautical miles from the to latitude 36°22′00″ N, longitude baseline to latitude 34°09′24″ N, lon- 120°56′00″ W, thence easterly to latitude gitude 119°17′20″ W, thence easterly to 36°22′00″ N, longitude 120°52′12″ W, latitude 34°09′24″ N, longitude 119°13′24″ thence northerly along the shoreline to W, thence northwesterly along the latitude 36°25′00″ N, longitude 120°52′30″ shoreline to latitude 34°14′24″ N, lon- W. gitude 119°16′00″ W. (i) San Luis Obispo Bay, CA. The wa- (e) Goleta, CA. The waters including ters including the Unocal Corporation the ARCO, Ellwood Marine Terminal, Avila Terminal and the approaches lying within an area bounded by a line thereto, lying in an area bounded by a beginning at latitude 34°26′12″ N, lon- line beginning at latitude 35°09′42″ N, gitude 119°57′00″ W, thence southerly to longitude 120°46′00″ W, thence southerly latitude 34°22′48″ N, longitude 119°57′00″ to latitude 35°07′00″ N, longitude W, thence southeasterly along a line 120°46′00″ W, thence easterly to latitude drawn three nautical miles from the 35°07′00″ N, longitude 120°43′00″ W, ° ′ ″ baseline to latitude 34 21 06 N, lon- thence northerly to latitude 35°10′24″ N, gitude 119°50′30.5″ W, thence northerly longitude 120°43′00″ W, thence westerly to latitude 34°24′18″ N, longitude along the shoreline to latitude 35°09′42″ 119°50′30″ W, thence northwesterly N, longitude 120°46′00″ W. along the shoreline to latitude 34°26′12″ N, longitude 119°57′00″ W. [CGD 92–061, 60 FR 24796, Jan. 4, 1995, as (f) Gaviota, CA. The waters including amended by USCG-1998–4442, 63 FR 52189, the Texaco Trading and Transpor- Sept. 30, 1998] tation, Gaviota Marine Terminal, lying within an area bounded by a line begin- § 15.1020 Hawaii. ning at latitude 34°28′06″ N, longitude The following offshore marine oil ter- 120°16′00″ W, thence southerly to lati- minals located within U.S. navigable ° ′ ″ ° ′ ″ tude 34 25 06 N, longitude 120 16 00 W, waters of the State of Hawaii: Barbers thence easterly along a line drawn Point, Island of Oahu. The waters in- three nautical miles from the baseline cluding the Hawaiian Independent Re- to latitude 34°25′24″ N, longitude finery, Inc. and the Chevron moorings 120°08′30″ W, thence northerly to lati- lying within an area bounded by a line tude 34°28′24″ N, longitude 120°08′30″ W, bearing 180 degrees true from Barbers thence westerly along the shoreline to ° ′ latitude 34°28′06″ N, longitude 120°16′00″ Point Light to latitude 21 14.8 N, lon- ° ′ W. gitude 158 06.4 W, thence easterly to ° ′ ° ′ (g) Moss Landing, CA. The waters in- latitude 21 14.8 N, longitude 158 03.3 W, cluding the Pacific Gas and Electric thence northeasterly to latitude Company Power Plant, lying within an 21°15.6′N, longitude 158°01.1′W, thence area bounded by a line beginning at northwesterly to latitude 21°18.5′N, lon- latitude 36°49′00″ N, longitude 121°47′42″ gitude 158°02.0′W, thence westerly along W, thence westerly to latitude 36°49′00″ the shoreline to latitude 21°17.8′N, lon- N, longitude 121°51′00″ W, thence south- gitude 158°06.4′W.

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§ 15.1030 New York and New Jersey. most point of Pasque Island (latitude 41°26′55″ N longitude 70°50′30″ W). The following U.S. navigable waters located within the States of New York [CGD 92–061, 60 FR 24796, May 10, 1995, as and New Jersey when the vessel is amended by USCG-1998–4442, 63 FR 52189, making an intra-port transit, to in- Sept. 10, 1998] clude, but not limited to, a movement from a dock to a dock, from a dock to § 15.1050 North Carolina. an anchorage, from an anchorage to a (a) The following navigable waters of dock, or from an anchorage to an an- the United States within the State of chorage, within the following listed op- North Carolina when the vessel is ma- erating areas: neuvering while berthing or (a) East River from Execution Rocks unberthing, is approaching or passing to New York Harbor, Upper Bay; through a bridge, or is making any (b) Hudson River from Yonkers, New intra-port transit, which transit may York to New York Harbor, Upper Bay; include but is not limited to movement (c) Raritan River from Grossman from a dock to a dock, from a dock to Dock/Arsenal to New York Harbor, an anchorage, from an anchorage to a Lower Bay; dock, or from an anchorage to an an- (d) Arthur Kill Channel; chorage, within either of the following areas: (e) Kill Van Kull Channel; (1) The waters of the Cape Fear River (f) Newark Bay; from the boundary line established by (g) Passaic River from Point No 46 CFR 7.60 to Latitude 34°16.5′ N. Point to Newark Bay; (2) The waters of the Northeast Cape (h) Hackensack River from the turn- Fear River from its confluence with ing basin to Newark Bay; and the Cape Fear River at Point Peter to (i) New York Harbor, Upper and Latitude 34°17′ N. Lower Bay. (b) This subpart does not apply to NOTE TO § 15.1030: ‘‘Intra-port transit’’ as any vessel on the waters specified in used in this section includes the movement paragraph (a) of this section if the laws of a foreign-trade vessel inbound from sea of the State of North Carolina require from the point where a State-licensed pilot a State-licensed pilot on the vessel. ceases providing pilotage to another point within the identified areas (i.e., a dock or an- [CGD 97–073, 63 FR 57255, Oct. 27, 1998] chorage). Likewise, intra-port transit also includes the movement of a foreign-trade vessel outbound to sea from a point within Subpart K—Vessels Subject to the identified areas (i.e., a dock or anchor- Requirements of STCW age) to the point where a State licensed pilot begins providing pilotage. SOURCE: USCG–2004–17914, 78 FR 78010, Dec. [CGD 92–061, 60 FR 24796, May 10, 1995, as 24, 2013, unless otherwise noted. amended by USCG-2004–18884, 69 FR 58344, Sept. 30, 2004] § 15.1101 General. (a) Except as noted in paragraphs § 15.1040 Massachusetts. (a)(1) and (2) of this section, the regula- The following U.S. navigable waters tions in this subpart apply to seagoing located within the State of Massachu- vessels as defined in § 10.107 of this sub- setts when the vessel is in transit, but chapter. not bound to or departing from a port (1) The following vessels are exempt within the following listed operating from application of the STCW Conven- areas: tion: (a) Cape Cod Bay south of latitude (i) Fishing vessels as defined in 46 41°48′54″ N; U.S.C. 2101(11)(a). (b) The Cape Cod Canal; and (ii) Fishing vessels used as fish-ten- (c) Buzzards Bay east of a line ex- der vessels as defined in 46 U.S.C. tending from the southernmost point 2101(11)(c). of Wilbur Point (latitude 41°34′55″ N (iii) Barges as defined in 46 U.S.C. 102, longitude 70°51′15″ W) to the eastern- including non-self-propelled MODUs.

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(iv) Vessels operating exclusively on for training, unless the person serving the Great Lakes or on the inland wa- holds an appropriate, valid STCW enters of the U.S., in the Straits of Juan dorsement issued in accordance with de Fuca, or on the Inside Passage be- part 12 of this subchapter. tween Puget Sound and Cape Spencer. (c) As of January 1, 2017, onboard a (v) Pilot vessels engaged on pilotage seagoing vessel of 500 GT or more, no duty. person may employ or engage any per- (2) The following small vessels en- son to serve, and no person may serve, gaged exclusively on domestic voyages as an able seafarer-deck, except for are not subject to any obligation for training, unless the person serving the purposes of the STCW Convention: holds an appropriate, valid STCW en- (i) Small passenger vessels subject to dorsement issued in accordance with subchapter T or K of 46 CFR chapter I. part 12 of this subchapter. (ii) Vessels of less than 200 GRT (d) Onboard a seagoing vessel driven (other than passenger vessels subject by main propulsion machinery of 1,000 to subchapter H of 46 CFR chapter I). HP/750 kW propulsion power or more, (iii) Uninspected passenger vessels as no person may employ or engage any defined in 46 U.S.C. 2101(42)(B). person to serve, and no person may (b) Masters, mates, and engineers serve, as an RFPEW, nor may any per- serving on vessels identified in para- son be designated to perform duties in graphs (a)(2)(i) and (a)(2)(ii) of this sec- a periodically unmanned engine-room, tion may be issued, without additional except for training or for the perform- proof of qualification, an appropriate ance of duties of an unskilled nature, STCW endorsement when the Coast unless the person serving holds an ap- Guard determines that such a docu- propriate, valid STCW endorsement ment is necessary to enable the vessel issued in accordance with part 12 of to engage on a single international this subchapter. voyage of a non-routine nature. The (e) As of January 1, 2017, onboard a STCW endorsement will be expressly seagoing vessel driven by main propul- limited to service on the vessel or the sion machinery of 1,000 HP/750 kW pro- class of vessels and will not establish pulsion power or more, no person may qualification for any other purpose. employ or engage any person to serve, § 15.1103 Employment and service and no person may serve, as an able within the restrictions of an STCW seafarer-engine, except for training, endorsement or of a certificate of unless the person serving holds an ap- training. propriate, valid STCW endorsement (a) Onboard a seagoing vessel of 500 issued in accordance with part 12 of GT or more, driven by main propulsion this subchapter. machinery of 1,000 HP/750 kW propul- (f) Onboard a passenger ship, as de- sion power or more or on an inter- fined by the Convention for the Safety national voyage beyond the boundary of Life at Sea, 1974, as amended line as described in part 7 of this chap- (SOLAS) (incorporated by reference, ter, no person may employ or engage see § 15.103 of this part), on an inter- any person to serve, and no person may national voyage, any person serving as serve, in a position requiring a person master, chief mate, mate, chief engi- to hold an STCW endorsement, includ- neer, engineer officer, or any person ing master, chief mate, chief engineer holding a license, MMD, or MMC and officer, second engineer officer, officer performing duties relating to safety, of the navigational or engineering cargo handling, or care for passengers, watch, or GMDSS radio operator, un- must meet the appropriate require- less the person serving holds an appro- ments of Regulation V/2 of the STCW priate, valid STCW endorsement issued Convention (incorporated by reference, in accordance with part 11 of this sub- see § 15.103 of this part). These individ- chapter. uals must hold documentary evidence (b) Onboard a seagoing vessel of 500 to show they meet these requirements. GT or more, no person may employ or (g) Onboard a seagoing vessel re- engage any person to serve, and no per- quired to comply with provisions of the son may serve, as an RFPNW, except GMDSS in Chapter IV of SOLAS, no

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person may employ or engage any per- (v) Can raise the alarm and knows son to serve, and no person may serve, the use of portable fire extinguishers; as the person designated to maintain (vi) Can take immediate action upon GMDSS equipment at sea, when the encountering an accident or other med- service of a person so designated is ical emergency before seeking further used to meet the maintenance require- medical assistance onboard; and ments of SOLAS Regulation IV/15, (vii) Can close and open the fire which allows for capability of at-sea doors, weather-tight doors, and water- electronic maintenance to ensure that tight doors fitted in the vessel other radio equipment is available for radio than those for hull openings. communication, unless the person so (b) Onboard a seagoing vessel to serving holds documentary evidence which this subpart applies, no person that he or she is competent to main- may assign a shipboard duty or respon- tain GMDSS equipment at sea. sibility to any person who is serving in (h) Medical certificate. (1) A person a position that must be filled as part of may not employ or engage an indi- the required crew complement, and no vidual unless that individual maintains person may perform any such duty or a current medical certificate. responsibility, unless he or she is fa- (2) After January 1, 2017, all persons miliar with it and with all of the ves- employed or engaged onboard vessels sel’s arrangements, installations, to which STCW applies must hold a equipment, procedures, and character- medical certificate valid for 2 years un- istics relevant to his or her routine and less the mariner is under the age of 18, emergency duties or responsibilities, in in which case the maximum period of accordance with Regulation I/14 of the validity will be 1 year. STCW Convention. (3) If a mariner’s medical certificate (c) Onboard a seagoing vessel to expires during a voyage, it will remain which this subpart applies, no person valid until the next United States port may assign a shipboard duty or respon- of call, provided that the period after sibility to any person who is serving in expiration does not exceed 90 days. a position that must be filled as part of the required crew complement or who § 15.1105 Familiarization and basic is assigned a responsibility on the mus- training (BT). ter list, and no person may perform (a) Onboard a seagoing vessel to any such duty or responsibility, unless which this subpart applies, no person the person performing it can produce may assign any person to perform ship- evidence of having— board duties, and no person may per- (1) Received appropriate approved form those duties, unless the person basic training or instruction as set out performing them has received— in the standards of competence under (1) Training in personal survival Regulation VI/1 of the STCW Conven- techniques as set out in the standard of tion, with respect to personal survival competence under Regulation VI/1 of techniques, fire prevention and fire- the STCW Convention (incorporated by fighting, elementary first aid, and per- reference, see § 15.103 of this part); or sonal safety and social responsibilities; (2) Sufficient familiarization training and or instruction that he or she— (2) Maintained the standard of com- (i) Can communicate with other per- petence under Regulation VI/1 of the sons onboard about elementary safety STCW Convention, with respect to per- matters and understand informational sonal survival techniques, fire preven- symbols, signs, and alarm signals con- tion and fire-fighting, elementary first cerning safety; aid, and personal safety and social re- (ii) Knows what to do if a person falls sponsibilities, every 5 years. overboard; if fire or smoke is detected; (d) Fish-processing vessels in compli- or if the fire alarm or abandon-ship ance with the provisions of 46 CFR part alarm sounds; 28 on instructions, drills, and safety (iii) Can identify stations for muster orientation are deemed to be in compli- and embarkation, and emergency-es- ance with the requirements of this sec- cape routes; tion on familiarization and basic train- (iv) Can locate and don life jackets; ing.

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§ 15.1107 Maintenance of merchant gency or drill or in other overriding mariners’ records by owner or oper- operational conditions. ator. (d) The minimum period of rest re- For every credentialed mariner em- quired under paragraph (a) of this sec- ployed on a U.S.-documented seagoing tion may not be devoted to vessel, the owner or operator must en- watchkeeping or other duties. sure that the following information is (e) Watchkeeping personnel remain maintained and readily accessible to subject to the work-hour limits in 46 those in management positions, includ- U.S.C. 8104 and to the conditions under ing the master of the vessel, who are which crewmembers may be required to responsible for the safety of the vessel, work. compliance with laws and regulations, (f) The master must post watch and for the prevention of marine pollu- schedules where they are easily acces- tion: sible. They must cover each affected (a) Experience and training relevant person under paragraph (a) of this sec- to assigned shipboard duties (i.e., tion, and must take into account the record of training completed, ship-spe- rest requirements of this section as cific familiarization and of relevant on- well as port rotations and changes in the-job experience acquired). the vessel’s itinerary. (b) Copies of the mariner’s current credentials. (g) Records of daily hours of rest must be maintained onboard the vessel. § 15.1109 Watches. Each affected person under paragraph (a) of this section must receive a copy Except those serving on vessels listed of the records pertaining to them, in § 15.105(f) and (g) of this part, each master of a vessel that operates beyond which will be endorsed by the master the boundary line, as described in part or by a person authorized by the mas- 7 of this chapter, must ensure observ- ter and by the seafarer. ance of the principles concerning (h) For every seafarer on call, such as watchkeeping set out in Regulation when a machinery space is unattended, VIII/2 of the STCW Convention and sec- the seafarer must have an adequate tion A–VIII/2 of the STCW Code (both compensatory rest period if the normal incorporated by reference, see § 15.103 of period of rest is disturbed by call-outs this part). to work. (i) The master of the vessel may sus- § 15.1111 Work hours and rest periods. pend the schedule of hours of rest and (a) Every person assigned duty as of- require a seafarer to perform any hours ficer in charge of a navigational or en- of work necessary for the immediate gineering watch, or duty as ratings safety of the ship, persons onboard, or forming part of a navigational or engi- cargo, or for the purpose of giving as- neering watch, or designated safety, sistance to other ships or persons in prevention of pollution, and security distress at sea. As soon as practicable duties onboard any vessel that operates after the situation has been restored, beyond the boundary line, as described the master must ensure that any sea- in part 7 of this chapter, must receive— farer who has performed work in a (1) A minimum of 10 hours of rest in scheduled rest period is provided with any 24-hour period; and an adequate period of rest. (2) 77 hours of rest in any 7-day pe- (j) In exceptional circumstances, the riod. master may authorize exceptions from (b) The hours of rest required under the hours of rest required under para- paragraph (a) of this section may be di- graph (a) and (b) of this section provided into no more than two periods in vided that: any 24-hour period, one of which must (1) The hours of rest provided for in be at least 6 hours in length, and the paragraph (a)(1) of this section may be interval between consecutive periods of divided into no more than three peri- rest must not exceed 14 hours. ods, one of which must be at least 6 (c) The requirements of paragraph (a) hours in length, and neither of the and (b) of this section need not be other two periods are permitted to be maintained in the case of an emer- less than one hour in length.

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(i) Exceptions to paragraph (a)(1) of certificate of course completion from this section must not extend beyond an appropriate Coast Guard-accepted two 24-hour periods in any 7-day pe- or Coast Guard-approved course, or riod; and, documentary evidence of onboard (ii) The intervals between consecu- training meeting the requirements of tive periods of rest must not exceed 14 33 CFR 104.225. hours. (f) After March 24, 2014, onboard a (2) Exceptions to paragraphs (a)(2) seagoing vessel of 500 GT or more to and (b) of this section must not be less which the ISPS Code applies, all con- than 70 hours of rest in any 7-day pe- tractors, whether part-time, full-time, riod. temporary, or permanent, must have (3) Exceptions to paragraph (a)(2) of knowledge of the requirements in 33 this section are not allowed for more CFR 104.225, through training or equiv- than two consecutive weeks, and the alent job experience. Vessel owners and intervals between two periods of excep- operators must maintain records docu- tions to paragraph (a)(2) must not be menting this requirement and produce less than twice the duration of the those records to the Coast Guard upon longer exception. request.

§ 15.1113 Security personnel. PART 16—CHEMICAL TESTING (a) Onboard a seagoing vessel of 500 GT or more to which the International Subpart A—General Ship and Port Facility Security (ISPS) Code applies, all persons performing Sec. duties as Vessel Security Officer (VSO) 16.101 Purpose of regulations. must hold a valid endorsement as VSO. 16.105 Definitions of terms used in this part. (b) Persons who hold an endorsement 16.107 Waivers. 16.109 Public Interest Exclusion (PIE). as VSO will be deemed to satisfy the 16.113 Chemical drug testing. requirements for vessel personnel with 16.115 Penalties. designated security duties in paragraph (c) of this section. Subpart B—Required Chemical Testing (c) After March 24, 2014, onboard a seagoing vessel of 500 GT or more to 16.201 Application. which the ISPS Code applies, all per- 16.203 Employer, MRO, and SAP responsibilities. sonnel with designated security duties 16.205 Implementation of chemical testing must hold a valid endorsement as ves- programs. sel personnel with designated security 16.210 Pre-employment testing require- duties, or a certificate of course com- ments. pletion or documentary evidence of on- 16.220 Periodic testing requirements. board training from an appropriate 16.230 Random testing requirements. Coast Guard-accepted or Coast Guard- 16.240 Serious marine incident testing re- approved course meeting the require- quirements. ments of 33 CFR 104.220. 16.250 Reasonable cause testing requirements. (d) Persons who hold an endorsement 16.260 Records. as vessel personnel with designated security duties, or a certificate of course Subpart C [Reserved] completion or documentary evidence of onboard training from an appropriate Subpart D—Employee Assistance Programs Coast Guard-accepted or Coast Guard- 16.401 Employee Assistance Program (EAP). approved course for vessel personnel with designated security duties, will be Subpart E—Management Information deemed to satisfy the requirements for System all other vessel personnel in paragraph (e) of this section. 16.500 Management Information System re- (e) After March 24, 2014, onboard a quirements. seagoing vessel of 500 GT or more to APPENDIX A [RESERVED] which the ISPS Code applies, all other AUTHORITY: 46 U.S.C. 2103, 3306, 7101, 7301, vessel personnel must hold a valid en- and 7701; Department of Homeland Security dorsement in security awareness, or a Delegation No. 0170.1.

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SOURCE: CGD 86–067, 53 FR 47079, Nov. 21, dividual is a member of the vessel’s 1988, unless otherwise noted. crew; or (2) Engaged or employed onboard a Subpart A—General vessel owned in the United States that is required by law or regulation to en- § 16.101 Purpose of regulations. gage, employ, or be operated by an in- (a) The regulations in this part pro- dividual holding a credential issued vide a means to minimize the use of in- under this subchapter, except for the toxicants by merchant marine per- following: sonnel and to promote a drug free and (i) Individuals on fish processing ves- safe work environment. sels who are primarily employed in the (b) These regulations prescribe the preparation of fish or fish products, or minimum standards, procedures, and in a support position, and who have no means to be used to test for the use of duties that directly affect the safe op- dangerous drugs. eration of the vessel; (c) As part of a reasonable cause drug (ii) Scientific personnel on an ocean- testing program established pursuant ographic research vessel; to this part, employers may test for (iii) Individuals on industrial vessels drugs in addition to those specified in who are industrial personnel, as de- this part only with approval granted by fined in this chapter; and the Coast Guard under 49 CFR part 40 (iv) Individuals not required under and for substances for which the De- part 15 of this subchapter who have no partment of Health and Human Serv- duties that directly affect the safe op- ices has established an approved test- eration of the vessel. ing protocol and positive threshold. Dangerous drug means a narcotic § 16.105 Definitions of terms used in drug, a controlled substance, or a con- this part. trolled-substance analog (as defined in section 102 of the Comprehensive Drug Chemical test means a scientifically Abuse and Control Act of 1970 (21 U.S.C. recognized test which analyzes an indi- 802)). vidual’s breath, blood, urine, saliva, bodily fluids, or tissues for evidence of Drug test means a chemical test of an dangerous drug or alcohol use. individual’s urine for evidence of dan- Consortium/Third party administrator gerous drug use. (C/TPA) means a service agent who pro- Employer means a marine employer vides or coordinates the provision of a or sponsoring organization. variety of drug and alcohol testing Fails a chemical test for dangerous services to employers. C/TPAs typi- drugs means that the result of a chem- cally perform administrative tasks ical test conducted in accordance with concerning the operation of the em- 49 CFR 40 was reported as ‘‘positive’’ by ployers’ drug and alcohol testing pro- a Medical Review Officer because the grams. This term includes, but is not chemical test indicated the presence of limited to, groups of employers who a dangerous drug at a level equal to or join together to administer, as a single exceeding the levels established in 49 entity, the DOT drug and alcohol test- CFR part 40. ing programs of its members. Marine employer means the owner, Credential is a term used to refer to managing operator, charterer, agent, any or all of the following: master, or person in charge of a vessel, (1) Merchant mariner’s document. other than a recreational vessel. (2) Merchant mariner’s license. Medical Review Officer (MRO) means a (3) STCW endorsement. person who is a licensed physician and (4) Certificate of registry. who is responsible for receiving and re- (5) Merchant mariner credential. viewing laboratory results generated Crewmember means an individual who by an employer’s drug testing program is: and evaluating medical explanations (1) Onboard a vessel acting under the for certain drug test results. authority of a credential issued under Operation means to navigate, steer, this subchapter, whether or not the in- direct, manage, or sail a vessel, or to

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control, monitor, or maintain the ves- are not employers for purposes of this sel’s main or auxiliary equipment or part. systems. Operation includes: Sponsoring organization is any com- (a) Determining the vessel’s position, pany, consortium, corporation, associa- piloting, directing the vessel along a tion, union, or other organization with desired trackline, keeping account of which individuals serving in the ma- the vessel’s progress through the rine industry, or their employers, are water, ordering or executing changes in associated. course, rudder position, or speed, and Stand-down means the practice of maintaining a lookout; temporarily removing a crewmember (b) Controlling, operating, moni- from the performance of safety-sen- toring, maintaining, or testing: the sitive functions based only on a report vessel’s propulsion and steering sys- from a laboratory to the MRO of a con- tems; electric power generators; bilge, firmed positive test for a drug or drug ballast, fire, and cargo pumps; deck metabolite, an adulterated test, or a machinery including winches, substituted test, before the MRO has windlasses, and lifting equipment; life- completed verification of the test re- saving equipment and appliances; fire- sult. fighting systems and equipment; and Substance Abuse Professional (SAP) navigation and communication equip- means a person who evaluates employment; and ees who have violated a DOT drug and (c) Mooring, anchoring, and line han- alcohol regulation and makes rec- dling; loading or discharging of cargo ommendations concerning education, or fuel; assembling or disassembling of treatment, follow-up testing, and tows; and maintaining the vessel’s sta- aftercare. bility and watertight integrity. Vessel owned in the United States Passes a chemical test for dangerous means any vessel documented or num- drugs means the result of a chemical bered under the laws of the United test conducted in accordance with 49 States; and any vessel owned by a cit- CFR part 40 is reported as ‘‘negative’’ izen of the United States that is not by a Medical Review Officer in accord- documented or numbered by any na- ance with that part. tion. Positive rate for random drug testing means the number of verified positive [CGD 86–067, 53 FR 47079, Nov. 21, 1988; 53 FR results for random drug tests con- 48367, Nov. 30, 1988, as amended by CGD 90– 014, 56 FR 31033, July 8, 1991; CGD 90–053, 58 ducted under this part plus the number FR 31107, May 28, 1993; CGD 93–051, 59 FR of refusals of random drug tests re- 28792, June 3, 1994; 59 FR 62226, Dec. 2, 1994; quired by this part, divided by the CGD 91–223, 60 FR 4525, Jan. 23, 1995; USCG- total number of random drug test re- 2000–7759, 66 FR 42967, Aug. 16, 2001; USCG- sults (i.e., positives, negatives, and re- 2003–16414, 69 FR 6577, Feb. 11, 2004; USCG– fusals) under this part. 2006–24371, 74 FR 11263, Mar. 16, 2009] Refuse to submit means you refused to take a drug test as set out in 49 CFR § 16.107 Waivers. 40.191. (a) To obtain a waiver from 49 CFR Serious marine incident means an 40.21 or from this part you must send event defined in 46 CFR 4.03–2. your request for a waiver to the Com- Service agent means any person or en- mandant (CG–INV). tity that provides services specified (b) Employers for whom compliance under this part or 49 CFR part 40 to with this part would violate the domes- employers and/or crewmembers in con- tic laws or policies of another country nection with DOT drug and alcohol may request an exemption from the testing requirements. This includes, drug testing requirements of this part but is not limited to, collectors, BATs by submitting a written request to and STTs, laboratories, MROs, sub- Commandant (CG–INV), at the address stance abuse professionals, and C/ listed in § 16.500(a). TPAs. To act as service agents, persons (c) An employer may request a waiv- and organizations must meet the quali- er from the Coast Guard in order to fications set forth in applicable sec- stand-down a crewmember following tions of 49 CFR part 40. Service agents the Medical Review Officer’s receipt of

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a laboratory report of a confirmed posi- EDITORIAL NOTE: At 74 FR 11264, Mar. 16, tive test for a drug or drug metabolite, 2009, § 16.113 was amended; however, the an adulterated test, or a substituted amendment could not be incorporated due to test pertaining to the crewmember. inaccurate amendatory instruction. Consistent with 49 CFR 40.21, the re- § 16.115 Penalties. quest for a waiver must include as a minimum: Information about the orga- Violation of this part is subject to nization and the proposed written com- the civil penalties set forth in 46 U.S.C. pany policy concerning stand-down. 2115. Any person who fails to implement or conduct, or who otherwise Specific elements required in the writ- fails to comply with the requirements ten waiver request are contained in 49 for chemical testing for dangerous CFR 40.21(c). drugs as prescribed under this part, is [USCG-2000–7759, 66 FR 42967, Aug. 16, 2001, as liable to the United States Government amended by USCG–2009–0702, 74 FR 49225, for a civil penalty of not more than Sept. 25, 2009] $5,000 for each violation. Each day of a continuing violation will constitute a § 16.109 Public Interest Exclusion (PIE). separate violation. Service agents are subject to Public [USCG-2000–7759, 66 FR 42968, Aug. 16, 2001] Interest Exclusion (PIE) actions in accordance with 49 CFR Part 40, subpart Subpart B—Required Chemical R. The PIE is an action which excludes Testing from participation in DOT’s drug and alcohol testing program any service § 16.201 Application. agent who, by serious noncompliance (a) Chemical testing of personnel with this part or with 49 CFR part 40, must be conducted as required by this has shown that it is not currently act- subpart and in accordance with the ing in a responsible manner. procedures detailed in 49 CFR part 40. [USCG-2000–7759, 66 FR 42968, Aug. 16, 2001] (b) If an individual fails a chemical test for dangerous drugs under this § 16.113 Chemical drug testing. part, the individual will be presumed to be a user of dangerous drugs. (a) Drug testing programs required (c) If an individual holding a creden- by this part must be conducted in ac- tial fails a chemical test for dangerous cordance with 49 CFR part 40, Proce- drugs, the individual’s employer, pro- dures for Transportation Workplace spective employer, or sponsoring orga- Testing Programs. This subpart sum- nization must report the test results in marizes the responsibilities of docu- writing to the nearest Coast Guard Of- mented and licensed mariners, marine ficer in Charge, Marine Inspection employers, MRO, SAP and other chem- (OCMI). The individual must be denied ical testing service providers in 49 CFR employment as a crewmember or must part 40. The regulations in 49 CFR part be removed from duties which directly 40 should be consulted to determine the affect the safe operation of the vessel specific procedures which must be es- as soon as practicable and is subject to tablished and utilized. Drug testing suspension and revocation proceedings programs required by this part must against his or her credential under 46 use only drug testing laboratories cer- CFR part 5. tified by the Department of Health and (d) If an individual who does not hold Human Services (DHHS). a credential fails a chemical test for (b) Each specimen collected in ac- dangerous drugs, the individual shall cordance with this part will be tested, be denied employment as a crew- as provided in 49 CFR 40.85, for the fol- member or removed from duties which lowing: directly affect the safe operation of the (1) Marijuana; vessel as soon as possible. (2) Cocaine; (e) An individual who has failed a re- (3) Opiates; quired chemical test for dangerous (4) Phencyclidine (PCP); and drugs may not be re-employed aboard a (5) Amphetamines. vessel until the requirements of para- [USCG-2000–7759, 66 FR 42968, Aug. 16, 2001] graph (f) of this section and 46 CFR

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Part 5, if applicable, have been satis- and follow the procedures in 49 CFR fied. Part 40. (f) Before an individual who has [USCG-2000–7759, 66 FR 42968, Aug. 16, 2001] failed a required chemical test for dangerous drugs may return to work § 16.205 Implementation of chemical aboard a vessel, the MRO must deter- testing programs. mine that the individual is drug-free (a) When a vessel owned in the and the risk of subsequent use of dan- United States is operating in waters gerous drugs by that person is suffi- that are not subject to the jurisdiction ciently low to justify his or her return of the United States, the testing re- to work. In addition, the individual quirements of §§ 16.210 and 16.230 do not must agree to be subject to increased apply to a citizen of a foreign country unannounced testing— engaged or employed as pilot in accord- (1) For a minimum of six (6) tests in ance with the laws or customs of that the first year after the individual re- foreign country. turns to work as required in 49 CFR (b) Upon written request of an em- part 40; and ployer, Commandant (CG–INV) will re- (2) For any additional period as de- view the employer’s chemical testing termined by the MRO up to a total of program to determine compliance with 60 months. the provisions of this part. [CGD 86–607, 53 FR 47049, Nov. 11, 1988, as [CGD 90–014, 56 FR 60930, Nov. 29, 1991, as amended by CGD 90–014, 56 FR 31034, July 8, amended by 59 FR 62226, Dec. 2, 1994; CGD 95– 1991; USCG-2000–7759, 66 FR 42968, Aug. 16, 072, 60 FR 50461, Sept. 29, 1995; CGD 96–041, 61 2001; USCG–2006–24371, 74 FR 11264, Mar. 16, FR 50726, Sept. 27, 1996; CGD 95–028, 62 FR 2009] 51196, Sept. 30, 1997; USCG–2009–0702, 74 FR 49225, Sept. 25, 2009] § 16.203 Employer, MRO, and SAP responsibilities. § 16.210 Pre-employment testing re- (a) Employers. (1) Employers must en- quirements. sure that they and their crewmembers (a) No marine employer shall engage meet the requirements of this part. or employ any individual to serve as a (2) Employers are responsible for all crewmember unless the individual the actions of their officials, represent- passes a chemical test for dangerous atives, and agents in carrying out the drugs for that employer. requirements of this part. (b) An employer may waive a pre-em- (3) All agreements and arrangements, ployment test required for a job appli- written or unwritten, between and cant by paragraph (a) of this section if among employers and service agents the individual provides satisfactory concerning the implementation of DOT evidence that he or she has: drug testing requirements are deemed, (1) Passed a chemical test for dan- as a matter of law, to require compli- gerous drugs, required by this part, ance with all applicable provisions of within the previous six months with no this part and DOT agency drug testing subsequent positive drug tests during regulations. Compliance with these the remainder of the six-month period; provisions is a material term of all or such agreements and arrangements. (2) During the previous 185 days been (b) Medical Review Officer (MRO). (1) subject to a random testing program Individuals performing MRO functions required by § 16.230 for at least 60 days must meet the training requirements and did not fail or refuse to participate and follow the procedures in 49 CFR in a chemical test for dangerous drugs Part 40. required by this part. (2) MROs may report chemical drug [CGD 90–053, 58 FR 31107, May 28, 1993, as test results to the Coast Guard for un- amended by CGD 93–051, 59 FR 28792, June 3, employed, self-employed, or individual 1994] mariners. (c) Substance Abuse Professional (SAP). § 16.220 Periodic testing requirements. Individuals performing SAP functions (a) Except as provided by paragraph must meet the training requirements (c) of this section and § 10.227(e) of this

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chapter, an applicant must pass a when multiple transactions are covered chemical test for dangerous drugs for— by or requested in a single application. (1) An original issuance of a license, [CGD 91–223, 60 FR 4525, Jan. 23, 1995, as COR, MMD, or MMC; amended by USCG–2006–24371, 74 FR 11264, (2) The first issuance, raise of grade, Mar. 16, 2009] or renewal of an officer endorsement on a merchant mariner credential; § 16.230 Random testing requirements. (3) A raise of grade of a license or (a) Marine employers shall establish COR; programs for the chemical testing for (4) The first endorsement as an able dangerous drugs on a random basis of seaman, lifeboatman, qualified member crewmembers on inspected vessels who: of the engine department, or (1) Occupy a position, or perform the tankerman; or duties and functions of a position, re- (5) A reissuance of a credential with quired by the vessel’s Certificate of In- a new expiration date. The applicant spection; must provide the results of the test to (2) Perform the duties and functions the Coast Guard Regional Examination of patrolmen or watchmen required by Center (REC) at the time of submitting this chapter; or, an application. The test results must (3) Are specifically assigned the du- be completed and dated not more than ties of warning, mustering, assembling, 185 days before submission of the appli- assisting, or controlling the movement cation. of passengers during emergencies. (b) Unless excepted under paragraph (b) Marine employers shall establish (c) of this section, each pilot required programs for the chemical testing for by this subchapter to receive an annual dangerous drugs on a random basis of physical examination must pass a crewmembers on uninspected vessels chemical test for dangerous drugs as a who: part of that examination, and provide (1) Are required by law or regulation the results to the Coast Guard. Appli- to hold a license issued by the Coast cants need not submit additional cop- Guard in order to perform their duties ies of their annual chemical test for on the vessel; dangerous drugs pursuant to paragraph (2) Perform duties and functions di- (a) of this section if the applicant sub- rectly related to the safe operation of mitted passing results of a chemical the vessel; test for dangerous drugs to the Coast (3) Perform the duties and functions Guard within 12 months of the date of of patrolmen or watchmen required by application. this chapter; or, (c) An applicant need not submit evi- (4) Are specifically assigned the du- dence of passing a chemical test for ties of warning, mustering, assembling, dangerous drugs required by paragraph assisting, or controlling the movement (a) or (b) of this section if he or she of passengers during emergencies. provides satisfactory evidence that he (c) The selection of crewmembers for or she has— random drug testing shall be made by a (1) Passed a chemical test for dan- scientifically valid method, such as a gerous drugs required by this part random number table or a computer- within the previous six months with no based random number generator that is subsequent positive chemical tests dur- matched with crewmembers’ Social Se- ing the remainder of the 6-month pe- curity numbers, payroll identification riod; or numbers, or other comparable identi- (2) During the previous 185 days been fying numbers. Under the testing fre- subject to a random testing program quency and selection process used, each required by § 16.230 for at least 60 days covered crewmember shall have an and did not fail or refuse to participate equal chance of being tested each time in a chemical test for dangerous drugs selections are made and an employee’s required by this part. chance of selection shall continue to (d) Except as provided by paragraph exist throughout his or her employ- (b) of this section, an applicant is re- ment. As an alternative, random selec- quired to provide the results of only tion may be accomplished by periodi- one chemical test for dangerous drugs cally selecting one or more vessels and

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testing all crewmembers covered by mandant will increase the minimum this section, provided that each vessel annual percentage rate for random subject to the marine employer’s test drug testing to 50 percent of all covered program remains equally subject to se- crewmembers. lection. (g) Marine employers shall randomly (d) Marine employers may form or select a sufficient number of covered otherwise use sponsoring organiza- crewmembers for testing during each tions, or may use contractors, to con- calendar year to equal an annual rate duct the random chemical testing pro- not less than the minimum annual per- grams required by this part. centage rate for random drug testing (e) Except as provided in paragraph determined by the Commandant. If the (f) of this section, the minimum annual marine employer conducts random percentage rate for random drug test- drug testing through a consortium, the ing shall be 50 percent of covered crew- number of crewmembers to be tested members. may be calculated for each individual (f) The annual rate for random drug marine employer or may be based on testing may be adjusted in accordance the total number of covered crew- with this paragraph. members covered by the consortium (1) The Commandant’s decision to in- who are subject to random drug testing crease or decrease the minimum an- at the same minimum annual percent- nual percentage rate for random drug age rate under this part or any DOT testing is based on the reported ran- drug testing rule. dom positive rate for the entire indus- (h) Each marine employer shall entry. All information used for this de- sure that random drug tests conducted termination is drawn from the drug under this part are unannounced and MIS reports required by this part. In that the dates for administering ran- order to ensure reliability of the data, dom tests are spread reasonably the Commandant considers the quality throughout the calendar year. and completeness of the reported data, (i) If a given covered crewmember is may obtain additional information or reports from marine employers, and subject to random drug testing under may make appropriate modifications the drug testing rules of more than one in calculating the industry random DOT agency for the same marine em- positive rate. Each year, the Com- ployer, the crewmember shall be subject to random drug testing at the per- mandant will publish in the FEDERAL centage rate established for the cal- REGISTER the minimum annual percentage rate for random drug testing of endar year by the DOT agency regu- covered crewmembers. The new min- lating more than 50 percent of the imum annual percentage rate for ran- crewmember’s function. dom drug testing will be applicable (j) If a marine employer is required starting January 1 of the calendar year to conduct random drug testing under following publication. the drug testing rules of more than one (2) When the minimum annual per- DOT agency, the marine employer centage rate for random drug testing is may— 50 percent, the Commandant may lower (1) Establish separate pools for ran- this rate to 25 percent of all covered dom selection, with each pool con- crewmembers if the Commandant de- taining the covered crewmembers who termines that the data received under are subject to testing at the same re- the reporting requirements of 46 CFR quired rate; or 16.500 for two consecutive calendar (2) Randomly select such crew- years indicate that the positive rate is members for testing at the highest per- less than 1.0 percent. centage rate established for the cal- (3) When the minimum annual per- endar year by any DOT agency to centage rate for random drug testing is which the marine employer is subject. 25 percent, and the data received under (k) An individual may not be engaged the reporting requirements of 46 CFR or employed, including self-employ- 16.500 for any calendar year indicate ment, on a vessel in a position as mas- that the positive rate is equal to or ter, operator, or person in charge for greater than 1.0 percent, the Com- which a credential is required by law or

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regulation unless all crewmembers cov- entered in the vessel’s official log ered by this section are subject to the book, if one is required. random testing requirements of this [CGD 86–067, 53 FR 47079, Nov. 21, 1988, as section. amended by USCG–2006–24371, 74 FR 11264, Mar. 16, 2009] [CGD 90–014, 56 FR 31034, July 8, 1991, as amended by 59 FR 62227, Dec. 2, 1994; USCG– § 16.260 Records. 2006–24371, 74 FR 11264, Mar. 16, 2009] (a) Employers must maintain records EDITORIAL NOTE: At 74 FR 11264, Mar. 16, of chemical tests as provided in 49 CFR 2009, § 16.230 was amended; however, a portion 40.333 and must make these records of the amendment could not be incorporated available to Coast Guard officials upon due to inaccurate amendatory instruction. request. § 16.240 Serious marine incident test- (b) The records shall be sufficient to: ing requirements. (1) Satisfy the requirements of §§ 16.210(b) and 16.220(c) of this part. The marine employer shall ensure (2) Identify the total number of indi- that all persons directly involved in a viduals chemically tested annually for serious marine incident are chemically dangerous drugs in each of the cat- tested for evidence of dangerous drugs egories of testing required by this part and alcohol in accordance with the re- including the annual number of indi- quirements of 46 CFR 4.06. viduals failing chemical tests and the number and types of drugs for which § 16.250 Reasonable cause testing re- individuals tested positive. quirements. [CGD 86–067, 53 FR 47079, Nov. 21, 1988, as (a) The marine employer shall re- amended by CGD 91–223, 60 FR 4526, Jan. 23, quire any crewmember engaged or em- 1995; USCG-2000–7759, 66 FR 42968, Aug. 16, ployed on board a vessel owned in the 2001] United States that is required by law or regulation to engage, employ or be Subpart C [Reserved] operated by an individual holding a credential issued under this sub- Subpart D—Employee Assistance chapter, who is reasonably suspected of Programs using a dangerous drug to be chemically tested for dangerous drugs. § 16.401 Employee Assistance Program (b) The marine employer’s decision (EAP). to test must be based on a reasonable The employer shall provide an Em- and articulable belief that the indi- ployee Assistance Program (EAP) for vidual has used a dangerous drug based all crewmembers. The employer may on direct observation of specific, con- establish the EAP as a part of its inter- temporaneous physical, behavioral, or nal personnel services or the employer performance indicators of probable use. may contract with an entity that will Where practicable, this belief should be provide EAP services to a crewmember. based on the observation of the indi- Each EAP must include education and vidual by two persons in supervisory training on drug use for crewmembers positions. and the employer’s supervisory per- (c) When the marine employer re- sonnel as provided below: (a) EAP education program: Each EAP quires testing of an individual under education program must include at the provisions of this section, the indi- least the following elements: display vidual must be informed of that fact and distribution of informational ma- and directed to provide a urine speci- terial; display and distribution of a men as soon as practicable. This fact community service hot-line telephone shall be entered in the vessel’s official number for crewmember assistance, log book, if one is required. and display and distribution of the em- (d) If an individual refuses to provide ployer’s policy regarding drug and al- a urine specimen when directed to do cohol use in the workplace. so by the employer under the provi- (b) EAP training program: An EAP sions of this section, this fact shall be training program must be conducted

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for the employer’s crewmembers and Investigations and Casualty Analysis, supervisory personnel. The training U.S. Coast Guard Stop 7501, 2703 Martin program must include at least the fol- Luther King Jr. Avenue SE., Wash- lowing elements: the effects and con- ington, DC 20593–7501 or by Internet at sequences of drug and alcohol use on http://www.uscg.mil/hq/g-m/moa/ personal health, safety, and work envi- dapip.htm. ronment; the manifestations and be- (2) The DOT Drug and Alcohol Test- havioral cues that may indicate drug ing MIS form can be downloaded and and alcohol use and abuse; and docu- printed from http://www.uscg.mil/hq/g-m/ mentation of training given to crew- moa/dapip.htm or may be obtained from members and the employer’s super- any Sector Office. visory personnel. Supervisory per- (3) A consortium or other employer sonnel must receive at least 60 minutes representative may submit data for a of training. marine employer. Reports may contain data for more than one marine em- Subpart E—Management ployer. Each report, however, must list Information System the marine employers included in the report. § 16.500 Management Information Sys- (4) Marine employers must ensure tem requirements. that data submitted by a consortium (a) Data collection. (1) All marine em- or other employer representative under ployers must submit drug testing pro- paragraph (b)(3) of this section is cor- gram data required by 49 CFR 40.26 and rect. appendix H to 49 CFR part 40. (c) After filing 3 consecutive annual (2) The provisions in 49 CFR part 40 MIS reports since January 1, 1996, re- for alcohol testing do not apply to the quired by paragraph (b) of this section, Coast Guard or to marine employers, marine employers with 10 or fewer cov- and alcohol testing data is not required ered employees may stop filing the an- or permitted to be submitted by this nual report each succeeding year dur- section. ing which they have no more than 10 (b) Data reporting. (1) By March 15 of covered employees. the year following the collection of the data in paragraph (a) of this section, [USCG–1998–4469, 64 FR 22559, Apr. 27, 1999; 64 marine employers must submit the FR 31989, June 15, 1999, as amended by USCG– 2003–16414, 69 FR 6578, Feb. 11, 2004; USCG– data on the form titled U.S. Depart- 2006–25556, 72 FR 36330, July 2, 2007; USCG– ment of Transportation Drug and Alco- 2009–0702, 74 FR 49225, Sept. 25, 2009; USCG– hol Testing MIS Data Collection Form 2013–0671, 78 FR 60145, Sept. 30, 2013] (OMB Number: 2105–0529) by mail to Commandant (CG–INV), Attn: Office of APPENDIX A [RESERVED]

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