Subchapter B—Merchant Marine Officers and Seamen

SUBCHAPTER B—MERCHANT MARINE OFFICERS AND SEAMEN

PART 10—LICENSING OF MARITIME 10.304 Substitution of training for required service, use of training-record books, and PERSONNEL use of towing officer assessment records. 10.305 Radar-Observer certificates and Subpart A—General qualifying courses. 10.306 [Reserved] Sec. 10.307 Training schools with approved radar 10.101 Purpose of regulations. observer courses. 10.102 National Maritime Center. 10.309 Coast Guard-accepted training other 10.103 Incorporation by reference. than approved courses. 10.104 Definitions of terms used in this part. 10.105 Applications. 10.107 Paperwork approval. Subpart D—Professional Requirements for 10.109 Fees. Deck Officers’ Licenses 10.110 Fee payment procedures. 10.401 Ocean and near coastal licenses. 10.111 Penalties. 10.402 Tonnage requirements for ocean or 10.112 No-fee license for certain applicants. near coastal licenses for vessels of over 10.113 Transportation Worker Identification 1600 gross tons. Credential. 10.403 Structure of deck licenses. Subpart B—General Requirements for All 10.404 Service requirements for master of ocean or near coastal steam or motor Licenses and Certificates of Registry vessels of any gross tons. 10.201 Eligibility for licenses and certifi- 10.405 Service requirements for chief mate cates of registry, general. of ocean or near coastal steam or motor 10.202 Issuance of licenses, certificates of vessels of any gross tons. registry, and STCW certificates or en- 10.406 Service requirements for second mate dorsements. of ocean or near coastal steam or motor 10.203 Quick reference table for license and vessels of any gross tons. certificate of registry requirements. 10.407 Service requirements for third mate 10.204 Right of appeal. of ocean or near coastal steam or motor 10.205 Requirements for original licenses, vessels of any gross tons. certificates of registry, and STCW cer- 10.410 Requirements for deck licenses for tificates and endorsements. vessels of not more than 1600 gross tons. 10.207 Requirements for raises of grades of 10.412 Service requirements for master of licenses. ocean or near coastal steam or motor 10.209 Requirements for renewal of licenses, vessels of not more than 1600 gross tons. certificates of registry, and STCW cer- 10.414 Service requirements for mate of tificates and endorsements. ocean steam or motor vessels of not more 10.210 Eligibility for towing license. than 1600 gross tons. 10.211 Creditable service and equivalents for 10.416 Service requirements for mate of near licensing purposes. coastal steam or motor vessels of not 10.213 Sea service as a member of the Armed more than 1600 gross tons. Forces of the United States and on ves- 10.418 Service requirements for master of sels owned by the United States as quali- ocean or near coastal steam or motor fying experience. vessels of not more than 500 gross tons. 10.215 Modification or removal of limita- 10.420 Service requirements for mate of tions. ocean steam or motor vessels of not more 10.217 Examination procedures and denial of than 500 gross tons. licenses. 10.421 Service requirements for mate of near 10.219 Issuance of duplicate license or cer- coastal steam or motor vessels of not tificate of registry. more than 500 gross tons. 10.221 Parting with license. 10.422 Tonnage limitations and qualifying 10.223 Suspension and revocation of li- requirements for licenses as master or censes. mate of vessels of not more than 200 gross tons. Subpart C—Training Schools With 10.424 Service requirements for master of Approved Courses ocean steam or motor vessels of not more than 200 gross tons. 10.301 Applicability. 10.426 Service requirements for master of 10.302 Course approval. near coastal steam or motor vessels of 10.303 General standards. not more than 200 gross tons.

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10.427 Service requirements for mate of near 10.466 Requirements for licenses as appren- coastal steam or motor vessels of not tice mate (steersman) of towing vessels. more than 200 gross tons. 10.467 Licenses for operators of uninspected 10.428 Service requirements for master of passenger vessels of less than 100 gross near coastal steam or motor vessels of tons. not more than 100 gross tons. 10.468 Licenses for mobile offshore drilling 10.429 Service requirements for limited units. master of near coastal steam or motor 10.470 Licenses for offshore installation vessels of not more than 100 gross tons. manager. 10.430 Licenses for the Great Lakes and in- 10.472 License for barge supervisor. land waters. 10.474 License for ballast control operator. 10.431 Tonnage requirements for Great 10.476 Acknowledgments of service and tem- Lakes and inland licenses for vessels of porary licenses for mobile offshore drill- over 1600 gross tons. ing units. 10.433 Service requirements for master of 10.480 Radar observer. Great Lakes and inland steam or motor 10.482 Assistance towing. vessels of any gross tons. 10.491 Licenses for service on offshore sup- 10.435 Service requirements for master of ply vessels. inland steam or motor vessels of any 10.493 Master (OSV). gross tons. 10.495 Chief Mate (OSV). 10.437 Service requirements for mate of 10.497 Mate (OSV). Great Lakes and inland steam or motor vessels of any gross tons. Subpart E—Professional Requirements for 10.442 Service requirements for master of Engineer Officers’ Licenses Great Lakes and inland steam or motor 10.501 Grade and type of engineer licenses vessels of not more than 1600 gross tons. issued. 10.444 Service requirements for mate of 10.502 Additional requirements for engineer Great Lakes and inland steam or motor licenses. vessels of not more than 1600 gross tons. 10.503 Horsepower limitations. 10.446 Service requirements for master of 10.504 Application of deck service for lim- Great Lakes and inland steam or motor ited engineer licenses. vessels of not more than 500 gross tons. 10.505 Engineer license structure. 10.448 Service requirements for mate of 10.510 Service requirements for chief engi- Great Lakes and inland steam or motor neer of steam and/or motor vessels. vessels of not more than 500 gross tons. 10.512 Service requirements for first assist- 10.450 Tonnage limitations and qualifying ant engineer of steam and/or motor ves- requirements for licenses as master or sels. mate of Great Lakes and inland vessels 10.514 Service requirements for second as- of not more than 200 gross tons. sistant engineer of steam and/or motor 10.452 Service requirements for master of vessels. Great Lakes and inland steam or motor 10.516 Service requirements for third assist- vessels of not more than 200 gross tons. ant engineer of steam and/or motor ves- 10.454 Service requirements for mate of sels. Great Lakes and inland steam or motor 10.518 Service requirements for chief engi- vessels of not more than 200 gross tons. neer (limited-oceans) of steam and/or 10.455 Service requirements for master of motor vessels. Great Lakes and inland steam or motor 10.520 Service requirements for chief engi- vessels of not more than 100 gross tons. neer (limited-near coastal) of steam and/ 10.456 Service requirements for limited or motor vessels. master of Great Lakes and inland steam 10.522 Service requirements for assistant or motor vessels of not more than 100 engineer (limited-oceans) of steam and/or gross tons. motor vessels. 10.457 Service requirements for master of 10.524 Service requirements for designated inland steam or motor vessels of not duty engineer of steam and/or motor ves- more than 100 gross tons. sels. 10.459 Service requirements for master or 10.530 Licenses for engineers of uninspected mate of rivers. fishing industry vessels. 10.462 Licenses for master or mate of 10.540 Licenses for engineers of mobile off- uninspected fishing industry vessels. shore drilling units. 10.463 General requirements for licenses for 10.542 License for chief engineer (MODU). master, mate (pilot), and apprentice 10.544 License for assistant engineer mate (steersman) of towing vessels. (MODU). 10.464 Requirements for licenses as master 10.551 Licenses for service on offshore sup- of towing vessels. ply vessels. 10.465 Requirements for licenses as mate 10.553 Chief Engineer (OSV). (pilot)of towing vessels. 10.555 Engineer (OSV).

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Subpart F—Licensing of Radio Officers Subpart A—General 10.601 Applicability. 10.603 Requirements for radio officers’ li- § 10.101 Purpose of regulations. censes, and STCW certificates or en- (a) The purposes of the regulations in dorsements for GMDSS radio operators. this part are to provide— Subpart G—Professional Requirements for (1) A comprehensive means of deter- Pilot Licenses mining the qualifications an applicant must possess to be eligible for a license 10.701 Scope of pilot licenses and endorse- as a deck officer, engineer, pilot, radio ments. officer, or radio operator on merchant 10.703 Service requirements. vessels, or for a license to operate 10.705 Route familiarization requirements. 10.707 Examination requirements. uninspected towing vessels or 10.709 Annual physical examination require- uninspected passenger vessels, or for a ments. certificate of registry as a staff officer; 10.711 Tonnage requirements. and 10.713 Requirements for maintaining cur- (2) A means of determining that an rent knowledge of waters to be navi- applicant is competent to serve as a gated. master, chief mate, officer in charge of Subpart H—Registration of Staff Officers a navigational watch, chief engineer officer, second engineer officer (first 10.801 Applicability. assistant engineer), officer in charge of 10.803 Grades of certificates issued. an engineering watch, designated duty 10.805 General requirements. 10.807 Experience requirements for registry. engineer, or radio operator, in accord- 10.809 Experience requirements for ratings ance with the provisions of the Inter- endorsed on certificate of registry. national Convention on Standards of 10.811 Requirements to qualify for an STCW Training, Certification and endorsement as vessel security officer. Watchkeeping for Seafarers, 1978, as amended in 1995 (STCW), and other Subpart I—Subjects of License Examina- laws, and to receive the appropriate tions and Practical Demonstrations of certificate or endorsement as required Competence by STCW. 10.901 General provisions. (b) With few exceptions, these regula- 10.903 Licenses requiring examinations. tions do not specify or restrict licenses 10.910 Subjects for deck licenses. to particular types of service such as 10.920 Subjects for MODU licenses. tankships, freight vessels or passenger 10.950 Subjects for engineer licenses. vessels. However, all licensed personnel Subpart J—Ro-Ro Passenger Ships shall become familiar with the relevant characteristics of each vessel 10.1001 Purpose of regulations. prior to assuming their duties. As ap- 10.1003 Definition. propriate, these characteristics include 10.1005 General requirements for license- but are not limited to: general arrange- holders. ment of the vessel; maneuvering char- Subpart K—Officers on a Passenger Ship, acteristics; proper operation of the in- Other Than a Ro-Ro Passenger Ship, stalled navigation equipment; fire- When on an International Voyage fighting and lifesaving equipment; stability and loading characteristics; 10.1101 Purpose of rules. emergency duties; and main propulsion 10.1103 Definitions. and auxiliary machinery, including 10.1105 General requirements for license holders. steering gear systems and controls. (c) The regulations in subpart C of AUTHORITY: 14 U.S.C. 633; 31 U.S.C. 9701; 46 this part prescribe the requirements U.S.C. 2101, 2103, and 2110; 46 U.S.C. chapter 71; 46 U.S.C. 7502, 7505, 7701, and 8906; Execu- applicable to— tive Order 10173; Department of Homeland (1) Each approved training course, if Security Delegation No. 0170.1. Section 10.107 the training course is to be acceptable is also issued under the authority of 44 as a partial substitute for service or for U.S.C. 3507. a required examination, or as training SOURCE: CGD 81–059, 52 FR 38623, Oct. 16, required for a particular license or li- 1987, unless otherwise noted. cense endorsement; and

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(2) All training and assessment asso- 10.205; 10.304; 10.603; 10.901; 10.903; ciated with meeting the standards of 10.1005; and 10.1105 of this part. competence established by STCW. [CGD 95–062, 62 FR 34529, June 26, 1997, as [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as amended by USCG-1999–6216, 64 FR 53223, Oct. amended by CGD 95–062, 62 FR 34528, June 26, 1, 1999; USCG-1999–5610, 67 FR 66067, Oct. 30, 1997] 2002; USCG-2004–18884, 69 FR 58342, Sept. 30, 2004. Redesignated by USCG–2006–25535, 72 FR § 10.102 National Maritime Center. 7931, Feb. 22, 2007] The Commanding Officer of the Na- § 10.104 Definitions of terms used in tional Maritime Center has the same this part. authority as an OCMI for the purpose Apprentice mate (steersman) of towing of carrying out the marine safety func- vessels means a mariner qualified to tions listed in § 1.01–15(c) of this title perform watchkeeping on the bridge, pursuant to the provisions of this sub- aboard a towing vessel, while in train- chapter. ing under the direct supervision of a li- [USCG–2006–25535, 72 FR 7931, Feb. 22, 2007] censed master or mate (pilot) of towing vessels. § 10.103 Incorporation by reference. Approved means approved by the Coast Guard in accordance with § 10.302. (a) Certain material is incorporated by reference into this part with the ap- Approved training means training proval of the Director of the Federal that is approved by the Coast Guard or meets the requirements of § 10.309. Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition Assistant engineer means a qualified officer in the engine department. other than that specified in paragraph (b) of this section, the Coast Guard Assistance towing means towing a dis- must publish notice of change in the abled vessel for consideration. is a li- FEDERAL REGISTER and must ensure Ballast control operator (BCO) that the material is available to the censed officer restricted to service on public. All approved material is avail- MODUs. The duties involve the operation of the complex ballast system able for inspection at the U.S. Coast found on many MODUs. A ballast con- Guard, Office of Operating and Envi- trol operator, when assigned to a ronmental Standards, 2100 Second MODU, is the equivalent of a conven- Street SW., Washington, DC 20593–0001, tionally licensed mate. or at the National Archives and Barge supervisor (BS) is a licensed of- Records Administration (NARA). For ficer restricted to service on MODUs. information on the availability of this The duties involve support to the OIM material at NARA, call 202–741–6030, or in marine related matters including, go to: http://www.archives.gov/ but not limited to, maintaining water- federallregister/ tight integrity, inspecting and main- codeloflfederallregulations/ taining mooring and towing compo- ibrllocations.html. All material is nents, and the maintenance of emer- available from the sources indicated in gency and other marine related equip- paragraph (b) of this section. ment. A barge supervisor, when as- (b) The material incorporated by ref- signed to a MODU is the equivalent of erence in this part and the sections af- a conventionally licensed mate. fected are as follows: International Mar- Boatswain means the leading seaman itime Organization (IMO), 4 Albert Em- and immediate supervisor of unlicensed bankment, London, SE1 7SR, England. deck personnel who supervises the The STCW—International Convention maintenance of deck gear. on Standards of Training, Certification Chief engineer means any person re- and Watchkeeping for Seafarers, 1978, sponsible for the mechanical propul- as amended (the STCW Convention, or sion of a vessel and who is the holder of the STCW)—and Seafarers’ Training, a valid license as chief engineer. Certification and Watchkeeping Code Chief mate means the deck officer (the STCW Code), approved for incorpo- next in seniority to the master and ration by reference in sections 10.103; upon whom the command of the vessel

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will fall in the event of the incapacity ice. On vessels of less than 100 gross of the master. tons, a day is considered as eight hours Coast Guard-accepted means that the unless the Officer in Charge, Marine In- Coast Guard has officially acknowl- spection determines that the vessel’s edged in writing that the material or operating schedule makes this criteria process at issue meets the applicable inappropriate, in no case will this pe- requirements; that the Coast Guard riod be less than four hours. has issued an official policy statement Designated duty engineer means a listing or describing the material or qualified engineer, who may be the sole process as meeting the applicable re- engineer on vessels with a periodically quirements; or that an entity acting on unattended engine room. behalf of the Coast Guard under a Designated examiner means a person Memorandum of Agreement has deter- who has been trained or instructed in mined that the material or process techniques of training or assessment meets the applicable requirements. and is otherwise qualified to evaluate Conviction means the applicant for a whether a candidate for a license, docu- license or certificate of registry has ment, or endorsement has achieved the been found guilty by judgment or plea level of competence required to hold by a court of the United States, the the license, document, or endorsement. District of Columbia, any State, terri- This person may be designated by the tory, or possession of the United Coast Guard or by a Coast Guard-ap- States, a foreign country, or any mili- proved or accepted program of training tary court, of a criminal felony or mis- or assessment. A faculty member em- demeanor or of an offense described in ployed or instructing in a navigation section 205 of the National Driver Reg- or engineering course at the U.S. Mer- ister Act of 1982, as amended (49 U.S.C. chant Marine Academy or at a State 30304). Conviction of more than one of- maritime academy operated in accord- fense at a single trial will be consid- ance with regulations in 46 CFR part ered to be multiple convictions. If an 310 is qualified to serve as a designated applicant pleads guilty or no contest, examiner in his or her area(s) of spe- is granted deferred adjudication, or is cialization without individual evalua- required by the court to attend classes, tion by the Coast Guard. make contributions of time or money, Disabled vessel means a vessel that receive treatment, submit to any man- needs assistance, whether docked, ner of probation or supervision, or moored, anchored, aground, adrift, or forgo appeal of a trial court’s convic- under way; but does not mean a barge tion, then the applicant will be consid- or any other vessel not regularly oper- ered to have received a conviction. A ated under its own power. later expunged conviction will not ne- Employment assigned to is the total gate the conviction unless it is proved period a person is assigned to work on to the Coast Guard that the MODUs, including time spent ashore as expungement is based upon a showing part of normal crew rotation. that the court’s earlier conviction was Endorsement means a provision added in error. to a license which alters its scope or Dangerous drug means a narcotic application. An example of an endorse- drug, a controlled substance, or a con- ment is a tonnage limitation increase trolled-substance analogue (as defined within a general tonnage category, a in section 102 of the Comprehensive pilot license route addition, or a radar Drug Abuse and Control Act of 1970 (21 observer qualification. U.S.C. 802)). Evaluation means processing an appli- Day means, for the purpose of com- cation, from the point of receipt to applying with the service requirements of proval or rejection of the application, this part, eight hours of watchstanding including review of all documents and or day-working not to include over- records submitted with an application time. On vessels where a 12 hour work- as well as those obtained from public ing day is authorized and practiced, records and databases. such as on a six-on, six-off watch Fails a chemical test for dangerous schedule, each work day may be cred- drugs means that the result of a chem- itable as one and one half days of serv- ical test conducted in accordance with

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49 CFR part 40 is reported as ‘‘positive’’ (1) Self-elevating (or jack-up) units for the presence of dangerous drugs or with moveable, bottom bearing legs ca- drug metabolites in an individual’s sys- pable of raising the hull above the sur- tem by a Medical Review Officer in ac- face of the sea; and, cordance with that part. (2) Submersible units of ship shape, First assistant engineer means the en- barge type or novel hull design, other gineer officer next in seniority to the than a self-elevating unit, intended for chief engineer and upon whom the re- operating while bottom bearing. sponsibility for the mechanical propul- (b) Surface units with a ship shape or sion of the vessel will fall in the event barge type displacement hull of single of the incapacity of the chief engineer. or multiple hull construction intended Great Lakes means the Great Lakes for operating in a floating condition, and their connecting and tributary wa- including semi-submersibles and ters including the Calumet River as far drillships. as the Thomas J. O’Brien Lock and Month means 30 days, for the purpose Controlling Works (between mile 326 of complying with the service require- and 327), the Chicago River as far as ments of this part. the east side of the Ashland Avenue National Driver Register (NDR) means Bridge (between mile 321 and 322), and the nationwide repository of informa- the Saint Lawrence River as far east as tion on drivers maintained by the Na- the lower exit of Saint Lambert Lock. tional Highway Traffic Safety Admin- Harbor assist means the use of a tow- istration as provided under 49 U.S.C. ing vessel during maneuvers to dock, Chapter 303. undock, moor, or unmoor a vessel, or NDR listed convictions means a convic- to escort a vessel with limited maneu- tion of any of the following motor vehi- verability. cle-related offenses or comparable of- Horsepower means, for the purpose of fenses: this part, the total maximum contin- (a) Operating a motor vehicle while uous shaft horsepower of all the ves- under the influence of, or impaired by, sel’s main propulsion machinery. alcohol or a controlled substance; or Inland Waters means the navigable (b) A traffic violation arising in con- waters of the United States shoreward nection with a fatal traffic accident, of the Boundary Lines as described in reckless driving, or racing on the high- 46 CFR part 7, excluding the Great ways. Lakes and, for towing vessels, exclud- Near coastal means ocean waters not ing the Western Rivers. For estab- more than 200 miles offshore. lishing credit for sea service, the wa- Oceans means the waters seaward of ters of the Inside Passage between the Boundary Lines as described in 46 Puget Sound and Cape Spencer, Alas- CFR part 7. For the purposes of estab- ka, are inland waters. lishing sea service credit, the waters of Lower level means a category of deck the Inside Passage between Puget and engineer licenses established for Sound and Cape Spencer, Alaska, are assessment of fees. Lower level licenses not considered oceans. are all licenses, other than those de- Officer in Charge, Marine Inspection fined as upper level, for which the re- (OCMI) for the purposes of part 10 quirements are listed in subparts D, E, means the officer or individual so des- and G of this part. ignated at one of the Regional Exam- Master means the officer having com- ination Centers, or any person so des- mand of a vessel. ignated by the Commandant. Mate means a qualified officer in the Offshore installation manager (OIM) is deck department other than the mas- a licensed officer restricted to service ter. on MODUs. An assigned offshore instal- Mobile offshore drilling unit (MODU) lation manager is equivalent to a con- means a vessel capable of engaging in ventionally licensed master and is the drilling operations for the exploration person designated by the owner or op- for or exploitation of subsea resources. erator to be in complete and ultimate MODU designs include: command of the unit. (a) Bottom bearing units which in- On location means that a mobile off- clude: shore drilling unit is bottom bearing or

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moored with anchors placed in the file at the REC at which application is drilling configuration. made. Operator means an individual li- Service as when computing the re- censed to operate certain uninspected quired service for MODU licenses, is vessels. the time period, in days, a person is as- Orally assisted examination means a li- signed to work on MODUs, excluding cense examination as described in sub- time spent ashore as part of crew rota- part I of this part verbally adminis- tion. A day, for the purposes of this tered and documented by an examiner. definition, is a minimum of four hours, Original license means the first deck, and no additional credit is received for engineer or radio officer license issued periods served over eight hours. to any person by the Coast Guard. Standard of competence means the Passes a chemical test for dangerous level of proficiency to be achieved for drugs means the result of a chemical the proper performance of duties on test conducted in accordance with 49 board vessels in accordance with na- CFR part 40 is reported as ‘‘negative’’ tional and international criteria. by a Medical Review Officer in accord- STCW means the International Con- ance with that part. vention on Standards of Training, Cer- Pilot of towing vessels means a quali- tification and Watchkeeping for Sea- fied officer of towing vessels operating farers, 1978, as amended in 1995 and 1997 only on inland routes. (incorporated by reference in § 10.102). Practical demonstration means the per- STCW Code means the Seafarer’s formance of an activity under the direct observation of a designated exam- Training, Certification and iner for the purpose of establishing Watchkeeping Code. that the performer is sufficiently pro- STCW endorsement means a certifi- ficient in a practical skill to meet a cate or endorsement issued in accord- specified standard of competence or ance with STCW. An STCW endorse- other objective criterion. ment issued by the Officer in Charge, Qualified instructor means a person Marine Inspection (OCMI), will be valid who has been trained or instructed in only when accompanied by the appro- instructional techniques and is other- priate U.S. license or document; and, if wise qualified to provide required the license or document is revoked, training to candidates for licenses, doc- then the associated STCW endorsement uments, and endorsements. A faculty is no longer valid for any purpose. Ref- member employed at a State maritime erences to STCW placed on a U.S. li- academy or the U.S. Merchant Marine cense or merchant mariner’s document Academy operated in accordance with will suffice as STCW endorsements for 46 CFR part 310 and instructing in a the mariner serving on a vessel oper- navigation or engineering course is ating exclusively on a domestic voyage qualified to serve as a qualified in- (i.e., to and from U.S. ports or places structor in his or her area(s) of spe- subject to U.S. jurisdiction). cialization without individual evalua- Underway means that a mobile off- tion by the Coast Guard. shore drilling unit is not in an on loca- Raise of grade means an increase in tion or laid up status. Underway in- the level of authority and responsi- cludes that period of time when the bility associated with a license. MODU is deploying or recovering its Rivers means any river, canal, or mooring system. other similar body of water designated Undocumented vessel means a vessel by the Officer in Charge, Marine In- not required to have a document issued spection. under the laws of the United States. Senior company official means the Upper level means a category of deck president, vice president, vice presi- and engineer licenses established for dent for personnel, personnel director, assessment of fees. Upper level licenses or similarly titled or responsible indi- are those licenses for which the re- vidual, or a lower level employee des- quirements are listed in §§ 10.404 to ignated in writing by one of the afore- 10.407 of subpart D of this part and mentioned for the purpose of certifying §§ 10.510, 10.512, 10.514, and 10.516 of sub- employment and whose signature is on part E of this part.

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Vessel Security Officer (VSO) means a provides evidence of his or her identity person onboard the vessel accountable to a member of the REC staff. If the ap- to the Master, designated by the Com- plicant is simultaneously applying for pany as responsible for security of the more than one credential, a single per- vessel, including implementation and sonal appearance and fingerprinting maintenance of the Vessel Security will satisfy this requirement for all Plan, and for liaison with the Facility pending applications. Security Officer and vessel’s Company (c) Each applicant must present at Security Officer. least two forms of identification to an Western Rivers means the Mississippi REC employee as evidence of his or her River, its tributaries, South Pass, and identity. Expired or otherwise invalid Southwest Pass, to the navigational forms may not be used. At least one of demarcation lines dividing the high the forms of identification must con- seas from harbors, rivers, and other in- tain the applicant’s photograph. Ac- land waters of the United States, and ceptable forms of identification include the Port Allen-Morgan City Alternate the following: Route, and that part of the (1) U.S. military identification card; Atchafalaya River above its junction (2)(i) Before May 11, 2008, a U.S. driv- with the Port Allen-Morgan City Alter- er’s license; nate Route including the Old River and (ii) On or after May 11, 2008, U.S. the Red River, and those waters speci- driver’s license issued by a State that fied in 33 CFR 89.25. meets the standards promulgated pur- Year means 360 days, for the purpose suant to the REAL ID Act of 2005; of complying with the service require- (3) U.S. passport; ments of this part. (4) Official identification card issued [CGD 81–059 and CGD 81–059a, 52 FR 38623 and by a State, or local government or by 38666, Oct. 16, 1987] a territory or possession of the U.S. that meets the standards promulgated EDITORIAL NOTE: For FEDERAL REGISTER ci- pursuant to the REAL ID Act of 2005. tations affecting § 10.104, see the List of CFR Sections Affected, which appears in the (5) Official identification card issued Finding Aids section of the printed volume by the Federal Government. This in- and on GPO Access. cludes a Federal employee’s identification credential; § 10.105 Applications. (6) Port credential, with photograph (a) Applicants for merchant mari- of the applicant, issued by State or ner’s documents, licenses, certificates local government port authority; or credentials may apply to the Coast (7) Law enforcement credential, that Guard National Maritime Center or includes a photograph of the applicant any of the Regional Examination Cen- and is issued by a Federal, State, or ters. Applicants may contact the Na- local government or by a territory or tional Maritime Center, 100 Forbes possession of the U.S.; Drive, Martinsburg WV 25404 or by tele- (8) Merchant mariner’s document phone at 1–888–I–ASK–NMC (1–888–427– issued after February 3, 2003; 5662). A list of Regional Examination (9) Foreign passport; or Center locations is available through (10) Original or a certified copy of a the Coast Guard Web site at http:// birth certificate, issued by a State, www.uscg.mil. county, municipality or outlying pos- (b) A complete application for a li- session of the U.S. bearing an official cense or certificate of registry, wheth- seal. er original, renewal, duplicate, or raise [USCG–2004–17455, 71 FR 2165, Jan. 13, 2006; of grade, consists of a written applica- USCG–2006–25535, 71 FR 48482, Aug. 21, 2006; 71 tion, all applicable supplementary doc- FR 54769, Sept. 19, 2006; USCG–2008–0906, 73 uments required by this part, finger- FR 56507, Sept. 29, 2008] prints, and two forms of ID. The written portion of the application may be § 10.107 Paperwork approval. submitted by mail, fax, or other elec- (a) This section lists the control tronic means. However, no application numbers assigned by the Office of Man- is complete until the applicant appears agement and Budget under the Paper- in person and is fingerprinted by and work Reduction Act of 1980 (Pub. L. 96–

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511) for the reporting and record keep- (3) OMB 1625–0079—46 CFR 10.304 and ing requirements in this part. 10.309. (b) The following control numbers [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as have been assigned to the sections indi- amended at 54 FR 133, Jan. 4, 1989; CGD 81– cated: 059a, 55 FR 14799, Apr. 18, 1990; CGD 95–062, 62 (1) OMB 1625–0040—46 CFR 10.201, FR 34529, June 26, 1997; USCG-2004–18884, 69 10.202, 10.205, 10.207, 10.209, 10.470, 10.472, FR 58342, Sept. 30, 2004] 10.474, 10.542, and 10.544. § 10.109 Fees. (2) OMB 1625–0028—46 CFR 10.302, 10.303, 10.304, 10.480. Use table 10.109 to determine the fees that you must pay for license and certificate of registry activities in this part.

TABLE 10.109—FEES

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

License: Original: Upper level...... $100 $110 $45 Lower level ...... 100 95 45 Raise of grade ...... 100 45 45 Modification or removal of limitation or scope ...... 50 45 45 Endorsement ...... 50 45 45 Renewal ...... 50 45 45 Renewal for continuity purposes ...... n/a n/a 45 Reissue, Replacement, and Duplicate n/a n/a 1 45 Radio Officer License: Original ...... 50 n/a 45 Endorsement ...... 50 45 45 Renewal ...... 50 n/a 45 Renewal for continuity purposes n/a n/a 45 Reissue, Replacement, and Duplicate ...... n/a n/a 1 45 Certificate of Registry: Original (MMD holder) ...... 90 n/a 45 Original (MMD applicant) ...... 105 n/a 45 Renewal ...... 50 n/a 45 Renewal for continuity purposes ...... n/a n/a 45 Endorsement ...... n/a n/a 45 Reissue, Replacement, and Duplicate ...... n/a n/a 1 45 STCW Certification: Original ...... No fee No fee No fee. Renewal ...... No fee No fee No fee. 1 Duplicate for document lost as result of marine casualty—No Fee.

[USCG–1997–2799, 64 FR 42814, Aug. 5, 1999; 64 FR 53230, Oct. 1, 1999]

§ 10.110 Fee payment procedures. (b) If you take your examination someplace other than a Regional Ex- (a) You may pay— amination Center (REC), you must pay (1) All fees required by this section the examination fee to the REC at when you submit your application; or least one week before your scheduled (2) A fee for each phase at the fol- examination date. lowing times: (c) Unless the REC provides addi- (i) An evaluation fee when you sub- tional payment options, your fees may mit your application. be paid as follows: (ii) An examination fee before you (1) Your fee payment must be for the take the first examination section. exact amount. (iii) An issuance fee before you re- (2) Make your check or money order ceive your license or certificate of reg- payable to the U.S. Coast Guard, and istry. write your social security number on the front of each check or money order.

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(3) If you pay by mail, you must use NOTE: The following organizations are ac- either a check or money order. cepted by the Coast Guard as meeting the re- (4) If you pay in person, you may pay quirements of paragraph (a) of this section with cash, check, or money order at and need not submit evidence of their status: Coast Guard units where Regional Ex- Boy Scouts of America, Sea Explorer Asso- ciation, Girl Scouts of the United States of amination Centers are located. America, and Young Men’s Christian Asso- (d) Unless otherwise specified in this ciation of the United States of America. part, when two or more documents are processed on the same application— (c) A letter from an organization de- (1) Evaluation fees. If a certificate of termined eligible under paragraph (b) registry transaction is processed on the of this section must also accompany same application as a license trans- the person’s license application to the action, only the license evaluation fee Coast Guard. The letter must state will be charged; and that the purpose of the person’s appli- (2) Issuance fees. A separate issuance cation is solely to further the conduct fee will be charged for each document of the organization’s maritime activi- issued. ties. The applicant then is eligible under this section to obtain a no-fee li- [USCG–1997–2799, 64 FR 42815, Aug. 5, 1999] cense if other requirements for the li- § 10.111 Penalties. cense are met. (d) A marine license issued to a per- (a) Anyone who fails to pay a fee or son under this section is endorsed re- charge established under this subpart is liable to the United States Govern- stricting its use to vessels owned or op- ment for a civil penalty of not more erated by the sponsoring organization. than $5,000 for each violation. (e) The holder of a no-fee license (b) The Coast Guard may assess addi- issued under this section may have the tional charges to anyone to recover restriction removed by paying the ap- collection and enforcement costs asso- propriate evaluation, examination, and ciated with delinquent payments of, or issuance fees that would have other- failure to pay, a fee. Coast Guard li- wise applied. censing services may also be withheld [CGD 91–002, 58 FR 15238, Mar. 19, 1993, as from anyone pending payment of out- amended by CGD 95–072, 60 FR 50460, Sept. 29, standing fees owed to the Coast Guard 1995; CGD 96–041, 61 FR 50726, Sept. 27, 1996; for services already provided by Re- CGD 97–057, 62 FR 51042, Sept. 30, 1997; USCG- gional Examination Centers. 2001–10224, 66 FR 48619, Sept. 21, 2001; USCG– 2008–0906, 73 FR 56508, Sept. 29, 2008] [CGD 91–002, 58 FR 15237, Mar. 19, 1993]

§ 10.112 No-fee license for certain ap- § 10.113 Transportation Worker Identi- plicants. fication Credential. (a) For the purpose of this section, a By April 15, 2009 all mariners holding no-fee license applicant is a person who an active License, Certificate of Reg- is a volunteer, or part-time or full-time istry or STCW endorsement issued employee of an organization which is: under this part must hold a valid (1) Charitable in nature; Transportation Worker Identification (2) Not for profit; and Credential (TWIC) issued by the Trans- (3) Youth oriented. portation Security Administration (b) An organization may submit a under 49 CFR part 1572. Failure to ob- written request to Commandant (CG– tain or hold a valid TWIC may serve as 5434), U.S. Coast Guard, 2100 Second a basis for suspension or revocation of Street, SW., Washington, DC 20593 in a mariner’s license, COR or STCW en- order to be considered an eligible orga- dorsement under 46 U.S.C. 7702 and nization under the criteria set forth in 7703. paragraph (a) of this section. With the [CG–2006–24196, 72 FR 3587, Jan. 25, 2007, as written request, the organization must amended at 73 FR 25566, May 7, 2008] provide evidence of its status as a youth oriented, not for profit, charitable organization.

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Subpart B—General Requirements with the exception of operator of for All Licenses and Certifi- uninspected passenger vessels limited cates of Registry to vessels not documented under the laws of the United States. § 10.201 Eligibility for licenses and cer- (f) Except as specified in this para- tificates of registry, general. graph, no license or certificate of reg- (a) The applicant for a license or cer- istry may be issued to a person who has tificate of registry, whether original, not attained the age of 21 years. renewal, duplicate, or raise of grade, (1) A license as master of near coast- must establish to the satisfaction of al, Great Lakes and inland, inland, or the Coast Guard that he or she pos- river vessels of 25–200 gross tons, third sesses all the qualifications necessary mate, third assistant engineer, mate of (including but not limited to age, expe- vessels of 200–1600 gross tons, ballast rience, character references and rec- control operator, assistant engineer ommendations, physical health, citi- (MODU), assistant engineer of fishing zenship, approved training, passage of a industry vessels, mate (pilot) of towing professional examination, a test for vessels, radio officer, assistant engi- dangerous drugs, and when required by neer (limited-oceans), or designated this part, a practical demonstration of duty engineer of vessels of not more skills) before the Coast Guard will than 4000 horsepower may be granted issue a license or certificate of reg- to an applicant who has reached the istry. age of 19 years. (b) No person who has been convicted (2) A license as limited master of of a violation of the dangerous drug near coastal vessels of not more than laws of the United States, the District 100 gross tons, limited master of Great of Columbia, any State, territory, or Lakes and inland vessels of not more possession of the United States, or a than 100 gross tons, mate of Great foreign country, by any military or ci- Lakes and inland vessels of 25–200 gross vilian court, is eligible for a license or tons, mate of near coastal vessels of 25– certificate of registry, except as pro- 200 gross tons, operator of uninspected vided by the provisions of paragraph passenger vessels, or designated duty (h) of this section. No person who has engineer of vessels of not more than ever been the user of, or addicted to, a 1,000 horsepower, or apprentice mate dangerous drug, or has ever been con- (steersman) of towing vessels, may be victed of an offense described in sec- granted to an applicant, otherwise tion 205 of the National Driver Register qualified, who has reached the age of 18 Act of 1982, as amended (49 U.S.C. 30304) years. because of addiction to or abuse of al- (g) Persons serving or intending to cohol is eligible for a license or certifi- serve in the merchant marine service cate of registry, unless he or she fur- are recommended to take the earliest nishes satisfactory evidence of suit- opportunity of ascertaining, through ability for service in the merchant ma- examination, whether their visual acu- rine as provided in paragraph (j) of this ity, and color vision where required, section. are such as to qualify them for service (c) Except as provided in § 10.467(h) of in that profession. Any physical im- the part, an applicant for a license pairment or medical condition which must demonstrate an ability to speak would render an applicant incompetent and understand English as found in the to perform the ordinary duties of an of- navigation rules, aids to navigation ficer at sea is cause for denial of a li- publications, emergency equipment in- cense. structions, machinery instructions, (h) Criminal record review. The Coast and radiotelephone communications Guard will review the criminal record instructions. of an applicant before the issuance of a (d) An applicant for a license must license or certificate of registry. An meet the requirements for recent serv- applicant conducting simultaneous ice specified in § 10.202(e). transactions for merchant mariner’s (e) No license or certificate of reg- credentials will undergo only one istry may be issued to any person who criminal record check. Applicants is not a citizen of the United States must provide written disclosure of all

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prior convictions at the time of appli- ment period shown in table 10.201(h), or cation. established by the OCMI under para- (1) The Coast Guard will use the fin- graph (h)(2) of this section has elapsed, gerprints submitted pursuant to then the applicant must provide evi- § 10.105(b) to obtain a criminal record dence of suitability for service in the report. An applicant’s criminal record merchant marine. Factors which are report may be used to determine that evidence of suitability for service in an applicant’s character and habits of the merchant marine are listed in para- life are such that the applicant cannot graph (j) of this section. The OCMI will be entrusted with the duties and re- consider the applicant’s evidence and sponsibilities of the license or certifi- may issue the license or certificate of cate of registry. Should such a deter- registry in less than the listed min- mination be made, the application may imum assessment period if the OCMI is be disapproved. If an application is dis- satisfied that the applicant is suitable approved, the Coast Guard will advise to hold the license or certificate of reg- the applicant in writing that the recon- istry for which he or she has applied. If sideration and appeal procedures in an applicant does not provide evidence subpart 1.03 of this chapter apply and of suitability for service in the mer- will, in appropriate circumstances, no- chant marine, then the application will tify the applicant of the reason(s) for be considered incomplete and will not disapproval. The Coast Guard will not be processed by the OCMI. administer a written examination until (5) If a person with a criminal convic- final agency action has been made on tion applies for a license or certificate the applicant’s appeal. of registry during the time between the (2) The OCMI may use table 10.201(h) minimum and maximum assessment to evaluate applicants for licenses and periods shown in table 10.201(h) or es- certificates of registry who have crimi- tablished by the OCMI under paragraph nal convictions. The table lists major (h)(2) of this section, the OCMI will categories of criminal activity and is consider the conviction and, unless not to be construed as an all-inclusive there are offsetting factors, may grant list. If an applicant is convicted of an the applicant the license or certificate offense that does not appear on the of registry for which he or she has ap- list, the OCMI will establish an appro- plied. Offsetting factors include mul- priate assessment period using the list tiple convictions, failure to comply as a guide. The assessment period com- with court orders (e.g., child support mences when an applicant is no longer orders), previous failures at rehabilita- incarcerated. The applicant must es- tion or reform, inability to maintain tablish proof of the time incarcerated steady employment, or any connection and periods of probation and parole to between the crime and the safe oper- the satisfaction of the OCMI. The as- ation of a vessel. If the OCMI considers sessment period may include super- the applicant unsuitable for service in vised or unsupervised probation or pa- the merchant marine at the time of ap- role. A conviction for a drug offense plication, the OCMI will disapprove the more than 10 years prior to the date of application. application will not alone be grounds (6) If a person with a criminal convic- for denial. tion applies for a license or certificate (3) When an applicant has convictions of registry after the maximum assess- for more than one offense, the min- ment period shown in table 10.201(h) or imum assessment period will be the established by the OCMI under para- longest minimum in table 10.201(h) and graph (h)(2) of this section has elapsed, table 10.201(i) based upon the appli- then the OCMI will grant the applicant cant’s convictions; the maximum as- the license or certificate of registry for sessment period will be the longest which he or she has applied unless the shown in table 10.201(h) and table OCMI has reason to believe the appli- 10.201(i) based upon the applicant’s con- cant is still unsuitable for service in victions. the merchant marine. If the OCMI dis- (4) If a person with a criminal convic- approves an application based upon a tion applies for a license or certificate conviction older than the maximum as- of registry before the minimum assess- sessment period, the OCMI will notify

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the applicant in writing of the rea- ing, that the reconsideration and ap- son(s) for the disapproval. The OCMI peal procedures contained in § 1.03 of will also inform the applicant, in writ- this chapter apply.

TABLE 10.201(h)—GUIDELINES FOR EVALUATING APPLICANTS FOR LICENSES AND CERTIFICATES OF REGISTRY WHO HAVE CRIMINAL CONVICTIONS

Assessment periods Crime1 Minimum Maximum

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.

Crimes Against Property

Burglary ...... 3 years ...... 10 years. Larceny (embezzlement) ...... 3 years ...... 5 years. Other crimes against property 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.

Crimes Involving National Security

Terrorism, Acts of Sabotage, Espionage and related offenses ...... 7 years ...... 20 years.

Criminal Violations of Environmental Laws

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

Dangerous Drug Offenses 3,4,5

Trafficking (sale, distribution, transfer) ...... 5 years ...... 10 years. Dangerous drugs (Use or possession) ...... 1 year ...... 10 years. Other dangerous drug convictions 6. 1 Conviction of attempt, solicitation, aiding and abetting, accessory after the fact, and conspiracy to commit the criminal conduct listed in this table carry the same minimum and maximum assessment periods provided in the table. 2 Other crimes are to be reviewed by the OCMI to determine the minimum and maximum assessment periods depending on the nature of the crime. 3 Applicable only to original applications for licenses or CORs. Any applicant who has ever been the user of, or addicted to the use of, a dangerous drug shall meet the requirements of paragraph (b) of this section. Note: Applicants for reissue of a license or COR with a new expiration date including a renewal or a raise of grade, who have been convicted of a dangerous drug offense while holding a license or COR, may have their applications withheld until appropriate action has been completed by the OCMI under the regulations which appear in 46 CFR part 5 governing administrative actions against merchant mariner credentials. 4 The OCMI may consider dangerous drug convictions more than 10 years old only if there has been a dangerous drug conviction within the past 10 years. 5 Applicants must demonstrate rehabilitation under paragraph (j) of this section, including applicants with dangerous drug use convictions more than ten years old. 6 Other dangerous drug convictions are to be reviewed by the Officer in Charge, Marine Inspection on a case by case basis to determine the appropriate assessment periods depending on the nature of the offense.

(i) National Driver Register. A license cant consents to a check of the NDR or certificate of registry will not be for offenses described in section issued as an original or reissued with a 205(a)(3) (A) or (B) of the NDR Act (i.e., new expiration date unless the appli- operation of a motor vehicle while

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under the influence of, or impaired by, (REC) processing the application. The alcohol or a controlled substance; and REC will hold an application with NDR any traffic violations arising in con- listed convictions pending the comple- nection with a fatal traffic accident, tion of the evaluation and delivery by reckless driving, or racing on the high- the individual of the underlying State ways). The OCMI will not consider records. NDR listed civil convictions that are (3) The guidelines in table 10.201(i) more than 3 years old from the date of will be used by the OCMI in evaluating request unless that information relates applicants for licenses and certificates to the current suspension or revocation of registry who have drug or alcohol re- of the applicant’s license to operate a lated NDR listed convictions. Non-drug motor vehicle. The OCMI may deter- or alcohol related NDR listed convic- mine minimum and maximum assess- tions will be evaluated by the OCMI ment periods for NDR listed criminal under table 10.201(h) as applicable. convictions using table 10.201(h). An (4) An applicant may request an NDR applicant conducting simultaneous file check for personal use in accord- merchant mariner’s credential trans- ance with the Federal Privacy Act of actions is subject to only one NDR 1974 (Pub. L. 93–579) by contacting the check. NDR at the following address: National (1) Any application may be dis- Driver Register, Nassif Building, 400 approved if information from the NDR 7th Street, SW., Washington, DC 20590. check leads the OCMI to determine (i) Applicants should request Form that the applicant cannot be entrusted NDR-PRV or provide the following in- with the duties and responsibilities of formation on a notarized letter: the license or certificate of registry for (A) Full legal name; which the application is made. If an ap- (B) Other names used; plication is disapproved, the OCMI will (C) Complete mailing address; notify the applicant in writing of the (D) Driver license number; reason(s) for disapproval and advise the (E) Eye color; application that the appeal procedures (F) Social security number; in § 1.03 of this chapter apply. No exam- (G) Height; ination will be given pending decision (H) Weight; and on appeal. (I) Sex. (2) Prior to disapproving an applica- (ii) The NDR will respond to every tion because of information received valid inquiry including requests which from the NDR, the OCMI will make the produce no record(s) on the NDR file. information available to the applicant Records can be made available, within for review and written comment. The a reasonable amount of time after the applicant may submit records from the request, for personal inspection and applicable State concerning driving copying during regular working hours record and convictions to the Coast at 7:45 a.m. to 4:15 p.m., each day ex- Guard Regional Examination Center cept Federal holidays.

TABLE 10.201(i)—GUIDELINES FOR EVALUATING APPLICANTS FOR LICENSES AND CERTIFICATES OF REGISTRY WHO HAVE NDR MOTOR VEHICLE CONVICTIONS INVOLVING DANGEROUS DRUGS OR AL- COHOL 1

No. 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 years ... Application will be processed, unless suspension or revocation 2 is still in effect. Applicant will be advised that additional conviction(s) may jeopardize merchant mariner credentials. 1 ...... More than 3 years old ...... Not necessary unless suspension or revocation is still in effect. 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 shall meet the requirements of paragraph (b) of this section. 2 Suspension or revocation, when referred to in table 10.201(i), means a State suspension or revocation of a motor vehicle operator’s license.

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(j) If an applicant has one or more al- comes void upon issuance of the re- cohol or dangerous drug related crimi- placement license or certificate of reg- nal or NDR listed convictions; if the istry. applicant has ever been the user of, or (c) A license or certificate of registry addicted to the use of, a dangerous is not valid until signed by the appli- drug; or if the applicant applies before cant and the OCMI (or the OCMI’s des- the minimum assessment period for his ignated representative). or her conviction has elapsed; the (d) Every person who receives an OCMI may consider the following fac- original license or certificate of reg- tors, as applicable, in assessing the ap- istry shall take an oath before a des- plicant’s suitability to hold a license or ignated Coast Guard official that he or certificate of registry. This list is in- she will faithfully and honestly, ac- tended as a guide for the OCMI. The cording to his or her best skill and OCMI may consider other factors which judgment, without concealment or res- he or she judges appropriate to a par- ervation, perform all the duties re- ticular applicant, such as: quired by law and obey all lawful or- (1) Proof of completion of an accred- ders of superior officers. Such an oath ited alcohol- or drug-abuse rehabilita- remains binding for all subsequent li- tion program. censes or certificates of registry issued (2) Active membership in a rehabili- to that person unless specifically re- tation or counseling group, such as Al- nounced in writing. coholics Anonymous or Narcotics (e) The applicant for any original li- Anonymous. cense, endorsement, or raise of grade of (3) Character references from persons license must have at least three who can attest to the applicant’s sobri- months’ qualifying service on vessels of ety, reliability, and suitability for em- appropriate tonnage or horsepower ployment in the merchant marine in- within the three years immediately cluding parole or probation officers. preceding the date of application. (4) Steady employment. (f) Any applicant whose uncorrected (5) Successful completion of all con- vision exceeds 20/40 in either eye for ditions of parole or probation. deck licenses or 20/50 in either eye for [CGD 81–059 and CGD 81–059a, 52 FR 38623 and engineer, radio officer, offshore instal- 38666, Oct. 16, 1987, as amended at 54 FR 133, lation manager, barge supervisor, or Jan. 4, 1989; CGD 81–059a, 55 FR 14799, Apr. 18, ballast control operator licenses may 1990; CGD 91–223, 60 FR 4524, Jan. 23, 1995; not serve under the authority of the li- CGD 91–212, 60 FR 65484, Dec. 19, 1995; CGD 95– cense unless corrective lenses are worn 062, 62 FR 34529, June 26, 1997; USCG–1999– 6224, 64 FR 63225, Nov. 19, 1999; USCG–2005– and spare lenses are carried on board a 22329, 70 FR 57183, Sept. 30, 2005; USCG–2004– vessel while serving. (Not applicable to 17455, 71 FR 2166, Jan. 13, 2006] staff officers). (g) If an Officer in Charge, Marine In- § 10.202 Issuance of licenses, certifi- spection, refuses to grant an applicant cates of registry, and STCW certifi- the license or certificate of registry for cates or endorsements. which applied, the OCMI will furnish (a) Applications for original licenses, the applicant, if requested, a written original certificates of registry, raises statement setting forth the cause of of grade, extensions of route, or en- denial. dorsements must be current and up-to- (h) The Officer in Charge, Marine In- date with respect to service and the spection, may modify the service and physical examination, as appropriate. examination requirements in this part Physical examinations and approved to satisfy the unique qualification re- applications are valid for 12 months. quirements of an applicant. The Officer (b) Any person who is found qualified in Charge, Marine Inspection, may also under the requirements set forth in lower the age requirement for operator this part is issued an appropriate li- of uninspected passenger vessels license or certificate of registry valid for cense applicants. The authority grant- a term of 5 years from date of issuance. ed by a license will be restricted on its Any license or certificate of registry face to reflect any modifications made which is renewed or upgraded prior to under the authority of this paragraph. its expiration date automatically be- Such restrictions shall not be removed

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without the approval of the OCMI vessels that are subject to subchapter issuing the license. T or K of title 46, Code of Federal Reg- (i) To obtain an original issuance or ulations (CFR), and that operate be- a renewal of a license or a certificate of yond the boundary line. registry, a raise in grade of a license, (2) Master’s, mate’s, or engineer’s li- or a higher grade of certificate of reg- cense for service on seagoing vessels of istry each applicant shall produce evi- less than 200 gross register tons (GRT), dence of having passed a chemical test other than passenger vessels subject to for dangerous drugs or of qualifying for subchapter H of title 46, CFR. an exception from testing in § 16.220 of (l) Neither any person serving on any this subchapter. An applicant who fails of the following vessels, nor any owner a chemical test for dangerous drugs or operator of any of these vessels, will not be issued a license or certifi- need hold STCW certificates or en- cate of registry. dorsements, because they are exempt (j) When an original license is issued, from application of STCW: renewed, upgraded, or otherwise modi- (1) Uninspected passenger vessels as fied, the OCMI will determine whether the holder of the license needs to hold defined in 46 U.S.C. 2101(42). an STCW certificate or endorsement (2) Fishing vessels as defined in 46 for service on a seagoing vessel and U.S.C. 2101(11)(a). then, if the holder is qualified, will (3) Fishing vessels used as fish-tender issue the appropriate certificate or en- vessels as defined in 46 U.S.C. dorsement. The OCMI will also issue an 2101(11)(c). STCW certificate or endorsement at (4) Barges as defined in 46 U.S.C. other times, if circumstances so re- 2101(2), including non-self-propelled quire and if the holder of the license is mobile offshore-drilling units. qualified to hold the certificate or en- (5) Vessels operating exclusively on dorsement. the Great Lakes or the inland waters of (k) Notwithstanding § 10.205 (l), (m), the U.S. in the straits of Juan de Fuca (n), (o), and (p), § 10.304, and § 10.901, inside passage. each mariner found qualified to hold (m) No license or certificate of reg- any of the following licenses will also istry will be issued until the applicant be entitled to hold an STCW certificate has passed a criminal record review as or endorsement corresponding to the set forth in § 10.201 of this chapter. service or other limitations on the license, because the vessels concerned [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as are not subject to further obligation amended at 53 FR 133, Jan. 4, 1989; CGD 91– under STCW, on account of their spe- 211, 59 FR 49297, Sept. 27, 1994; CGD 91–223, 60 FR 4524, Jan. 23, 1995; CGD 95–062, 62 FR cial operating conditions as small ves- 34529, June 26, 1997; CGD 95–062, 62 FR 40140, sels engaged in domestic voyages: July 25, 1997; CGD 95–062, 62 FR 40281, July 28, (1) Master’s, mate’s, or engineer’s li- 1997; CGD 95–028, 62 FR 51195, Sept. 30, 1997; cense for service on small passenger USCG–2004–17455, 71 FR 2166, Jan. 13, 2006]

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VerDate Aug<31>2005 09:15 Oct 31, 2008 Jkt 214188 PO 00000 Frm 00131 Fmt 8010 Sfmt 8010 Y:\SGML\214188.XXX 214188 dwashington3 on PRODPC61 with CFR § 10.203 46 CFR Ch. I (10–1–08 Edition) ments 10.205(h). 10.205(h). 10.205(h). 10.205(h). 10.205(h). 10.205(h). First aid and CPR require- Yes, in Yes, N/A. Yes, Yes, Yes, Service past 36 months, 10.202(e). in past 36 months, 10.202(e). in past 36 months 10.202(e). 10.705(e), 10.713. in past 36 months 10.202(e). in past 36 months, 10.202(e). Recency of Yes, 3 months Yes, 3 months Yes, 3 months Yes, 3 months Yes, 3 months ments 10.910; Note: 10.903(b). 10.950. 10.910. 10.920. 10.950. 10.910. 10.950(oral). 10.910. Professional exam require- Yes, 10.205(i), 10.207(d). Yes, 10.205(i). certificate 10.205(g); Note: exceptions. 10.207(f). oceans. Firefighting ... N/A ...... 10.209(c) ...... 10.209(c) ...... N/A...... N/A ...... N/A ...... N/A ...... N/A. , 10.205(f) N/A ...... N/A ...... N/A ...... N/A. acter check Recommenda- tions and char- Yes, 10.205(f) Yes, Yes, 10.205(f); Yes, 10.205(g) Yes, 10.205(i) N/A ...... Yes, Note: Yes, 10.205(f) Yes, 10.205(g) Yes, 10.205(i). Yes, 10.205(f) N/A ...... 10.707, 10.910 Yes, 10.703, 10.203 10.205(e); subpart D. subpart E. subparts D & E. Eng: 10530, 10.205(f). 10.706(a), 10.715. quirements Experience re- ABLE Yes, 10.205(e); 10.207(c); Deck: 10.462, 10.464 ...... Yes, 10.205(f) Yes, 10.205(g) 10.603 ...... Yes, 10.205(f) N/A ...... N/A ...... N/A ...... Yes, T quired 10.205(d); Note: (d)(2). 10.205(d); Note: (d)(3). Note: (e)(1). 10.205(d); Note: (d)(2) or (d)(3). 10.205(d); Note: (d)(2). 10.205(d); Note: (d)(3). Physical re- Yes, quirement 10.201(e); Note: exception. Citizenship re- Yes, Yes ...... Yes, Yes ...... 10.207(e); Yes ...... Yes, Yes ...... Yes, Note: exceptions. Note: exceptions. Note: exceptions. Note: exceptions. ing vessels: 21; mate (pilot) of towing vessels: 19; apprentice mate (steersman): 18. 21; 10.201(f); 21; 10.201(f); License category Minimum age Table 10.203 provides a guide to the requirements for various licenses and certificates of registry. Provisions in uninspected passenger vessels (original license). vessels. Masters/mates and operators of Engineers (original license) ...... 21;10.201(f); All raises of grade ...... 21; 10.201(f); License renewals ...... COR renewals N/A ...... Pilot N/A Yes ...... Yes 21 ...... 10.209(d) ...... Yes No ...... 10.209(c)Uninspected fishing industry ...... Yes, 10.709 10.209(c)(5) ...... N/A ...... 10.703, N/A ...... Towing vessels ...... Master of tow- Radio officer ...... 19 ...... Yes ...... Staff officer ...... Yes, 21 ...... Yes ...... No ...... 10.807 ...... Yes § 10.203 Quick reference table for license and certificate of registry requirements. reference section are controlling.

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§ 10.204 Right of appeal. pleted Coast Guard physical examina- Any person directly affected by a de- tion form, or the equivalent, executed cision or action taken under this part, by the physician. This form must pro- by or on behalf of the Coast Guard, vide information on the applicant’s may appeal therefrom in accordance acuity of vision, color sense, and gen- with subpart 1.03 of this chapter. eral physical condition. This examination must have been completed prior to [CGD 88–033, 54 FR 50379, Dec. 6, 1989] submission of the application and not more than 12 months prior to issuance § 10.205 Requirements for original li- of the license. (Physical examinations censes, certificates of registry, and STCW certificates and endorse- are not required for staff officers.) ments. (2) For an original license as master, mate, pilot, or operator, the applicant (a) General. The applicant for an must have vision correctable to at original license or certificate of reg- least 20/40 in each eye and uncorrected istry must present satisfactory docu- vision of at least 20/200 in each eye. The mentary evidence of eligibility with re- color sense must be determined to be spect to the applicable requirements of satisfactory when tested by any of the § 10.201 through § 10.203. Each applicant must submit an application as set forth following methods, without the use of in § 10.105 and, unless exempted under color sensing lenses: § 10.112, submit the evaluation fee set (i) Pseudoisochromatic Plates out in table 10.109 in § 10.109. (Dvorine, 2nd Edition; AOC; revised (b) Minimum age. The applicant shall edition or AOC-HRR; Ishihara 16-, 24-, present satisfactory proof of age as pre- or 38-plate editions). scribed in § 10.201(f). This evidence may (ii) Eldridge—Green Color Perception be any of the items submitted to estab- Lantern. lish citizenship. (iii) Farnsworth Lantern. (c) Citizenship. Each applicant must (iv) Keystone Orthoscope. provide acceptable evidence of his or (v) Keystone Telebinocular. her citizenship to the Coast Guard. The (vi) SAMCTT (School of Aviation Coast Guard will reject any evidence of Medicine Color Threshold Tester). citizenship that we do not believe to be (vii) Titmus Optical Vision Tester. authentic. ‘‘Acceptable evidence of (viii) Williams Lantern. citizenship’’ means an original of any (3) For an original license as engi- one of the following documents: neer, radio officer, offshore installation (1) Original or a certified copy of a manager, barge supervisor or ballast birth certificate, issued by a State, control operator, the applicant must county, municipality or outlying pos- have correctable vision of at least 20/50 session of the U.S. bearing an official in each eye and uncorrected vision of seal. at least 20/200 in each eye. Applicants (2) Merchant mariner’s document need only to have the ability to distin- issued by the Coast Guard after Feb- guish the colors red, green, blue and ruary 3, 2003 that shows that the holder yellow. is a citizen of the U.S.; (4) Where an applicant does not pos- (3) Certificate of Citizenship issued sess the vision, hearing, or general by the U.S. Citizenship and Immigra- physical condition necessary, the tion Services or the Immigration and OCMI, after consultation with the ex- Naturalization Service; amining physician or physician’s as- (4) Certificate of Naturalization sistant, may recommend a waiver to issued by the U.S. Citizenship and Im- the Commandant if extenuating cir- migration Services or the Immigration cumstances warrant special consider- and Naturalization Service; or ation. Applicants may submit to the (5) Unexpired U.S. State Department OCMI, additional correspondence, passport. records and reports in support of this (d) Physical examination. (1) All appli- request. In this regard, recommenda- cants for an original license must pass tions from agencies of the Federal Gov- an examination given by a licensed ernment operating government vessels, physician or a licensed physician as- as well as owners and operators of pri- sistant and present to the OCMI a com- vate vessels, made on behalf of their

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employees, will be given full consider- concerning the applicant’s suitability ation. Waivers are not normally grant- for duty from a master and two other ed to an applicant whose corrected vi- licensed officers of vessels on which the sion in the better eye is not at least 20/ applicant has served. For a license as 40 for deck licenses or 20/50 for engineer engineer or as pilot, at least one of the licenses. recommendations must be from the (e) Experience or training. (1) All appli- chief engineer or licensed pilot, respec- cants for original licenses and certifi- tively, of a vessel on which the appli- cates of registry shall present to the cant has served. For a license as engi- OCMI, letters, discharges, or other doc- neer where service was obtained on ves- uments certifying the amount and sels not carrying a licensed engineer character of their experience and the and for a license as master or mate names, tonnage and horsepower of the (pilot) of towing vessels, the rec- vessels on which acquired. The OCMI ommendations may be by recent ma- must be satisfied as to the authenticity rine employers with at least one rec- and acceptability of all evidence of ex- ommendation from a master, operator, perience or training presented. Certifi- cates of discharge are returned to the or person in charge of a vessel upon applicant. The OCMI shall note on the which the applicant has served. For a application that service represented by license as offshore installation man- these documents has been verified. All ager, barge supervisor, or ballast con- other documentary evidence of service, trol operator, at least one rec- or authentic copies thereof, are filed ommendation must be from an offshore with the application. A license is not installation manager of a unit on considered as satisfactory evidence of which the applicant has served. Where any qualifying experience. an applicant qualifies for a license (2) No original license or certificate through an approved training school, of registry may be issued to any natu- one of the character references must be ralized citizen on less experience in an official of that school. For a license any grade or capacity than would have for which no commercial experience been required of a citizen of the United may be required, such as: Master or States by birth. mate 25–200 gross tons, operator of (3) Experience and service acquired uninspected passenger vessels, radio of- on foreign vessels is creditable for es- ficer or certificate of registry, the ap- tablishing eligibility for an original li- plicant may have the written rec- cense, subject to evaluation by the ommendations of three persons who OCMI to determine that it is a fair and have knowledge of the applicant’s suit- reasonable equivalent to service ac- ability for duty. quired on merchant vessels of the (2) The OCMI may review the crimi- United States, with respect to grade, nal record check of each applicant for tonnage, horsepower, waters, and oper- an original license or certificate of reg- ating conditions. An applicant who has istry according to the procedures set obtained qualifying experience on for- forth in § 10.201(h). eign vessels shall submit satisfactory (3) A person may apply for an origi- documentary evidence of such service (including any necessary translation nal license, or license of a different into English) in the forms prescribed type, while on probation as a result of by paragraph (e)(1) of this section. administrative action under part 5 of (4) No applicant for an original li- this chapter. The offense for which the cense who is a naturalized citizen, and applicant was placed on probation will who has obtained experience on foreign be considered in determining his or her vessels, will be given an original li- fitness to hold the license applied for. cense in a grade higher than that upon A license issued to an applicant on pro- which he or she has actually served bation will be subject to the same pro- while acting under the authority of a bationary conditions as were imposed foreign license. against the applicant’s other license or (f) Character check and references. (1) merchant mariner’s document. An ap- Each applicant for an original license plicant may not take an examination shall submit written recommendations for a license during any period when a

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suspension without probation or a rev- or Multi-media Standard First Aid ocation is effective against the appli- course; cant’s currently held license or mer- (ii) A Coast Guard approved first aid chant mariner’s document, or while an training course; or, appeal from these actions is pending. (iii) A course the OCMI determines (4) In the event a license or certifi- meets or exceeds the standards of the cate of registry has already been issued American Red Cross courses; and, when information about the applicant’s (2) A currently valid certificate of habits of life and character is brought completion of a CPR course from: to the attention of the OCMI, if such (i) The American National Red Cross; information warrants the belief that the applicant cannot be entrusted with (ii) The American Heart Association; the duties and responsibilities of the li- (iii) A Coast Guard approved CPR cense or certificate of registry issued, training course; or, or if such information indicates that (iv) A course the OCMI determines the application for the license or cer- meets or exceeds the standards of the tificate of registry was false or incom- American Red Cross or American Heart plete, the OCMI may notify the holder Association courses. in writing that the license or certifi- (i) Professional Examination. (1) When cate of registry is considered null and the OCMI finds the applicant’s experi- void, direct the holder to return it to ence and training to be satisfactory the OCMI, and advise the holder that, and the applicant is eligible in all upon return of the license or certificate other respects, the OCMI will authorize of registry, the appeal procedures of the examination in accordance with § 10.204 of this part apply. the following requirements: (g) Firefighting certificate. Applicants (i) Any applicant for a deck or engi- for the licenses in the following cat- neer license limited to vessels not ex- egories must present a certificate of ceeding 500 gross tons, or a license lim- completion from a firefighting course ited to uninspected fishing-industry of instruction which has been approved vessels, may request an oral-assisted by the Commandant. The course must examination in lieu of any written or meet both the basic and advanced sec- other textual examination. If there are tions of the International Maritime Or- textual questions that the applicant ganization’s (IMO) Resolution A.437 has difficulty reading and under- (XI) Training of Crews in Firefighting. standing, the OCMI will offer the oral- The course must have been completed assisted examination. Each license within five years before the date of ap- based on an oral-assisted examination plication for the license requested. is limited to the specific route and type (1) Master’s license for service on ves- of vessel upon which the applicant ob- sels of 200 gross tons or less in ocean tained the majority of service. service. (ii) The general instructions for ad- (2) All master or mate’s licenses for ministration of examinations and the over 200 gross tons. (3) All licenses for master or mate of lists of subjects for all licenses appear towing vessels for ocean service. in Subpart I of this part. The OCMI (4) All licenses on mobile offshore will place in the applicant’s file a drilling units. record indicating the subjects covered. (5) All engineer’s licenses. (2) When the license application of (h) First aid and cardiopulmonary re- any person has been approved, the ap- suscitation (CPR) course certificates. All plicant should take the required exam- applicants for an original license or ination as soon as practicable. If the certificate of registry, except as pro- applicant cannot be examined without vided in §§ 10.429, 10.456, and 10.467 of delay at the office where the applica- this part, must present to the OCMI: tion is made, the applicant may re- (1) A certificate indicating comple- quest that the examination be given at tion of a first aid course within the another office. past 12 months from: (3) The qualification requirements (i) The American National Red Cross for radar observer are contained in Standard First Aid and Emergency Care § 10.480.

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(4) An examination is not required from that device and taking into ac- for a license as radio officer or a cer- count both the limitations of the tificate of registry. equipment and the prevailing cir- (j) Chemical testing for dangerous cumstances and conditions. The simu- drugs. To obtain a license or certificate lator used in the course or training of registry each applicant shall produce must meet or exceed the performance evidence of having passed a chemical standards established under STCW test for dangerous drugs or of quali- Regulation I/12 of the 1995 Amend- fying for an exception from testing in ments. § 16.220 of this subchapter. An applicant (2) Training and assessment in the who fails a chemical test for dangerous use of ARPA are not required for mari- drugs will not be issued a license or ners serving exclusively on vessels not certificate of registry. fitted with ARPA. However, when any (k) National Driver Register. Each ap- mariner so serving has not completed plicant for an original license or cer- it, his or her STCW certificate or en- tificate of registry shall consent to an dorsement will be endorsed to indicate NDR check under § 10.201(i). this limitation. (l) Basic safety training or instruction. (n) Certificate for operator of radio in Except as provided in § 10.202, an STCW the Global Maritime Distress and Safety certificate or endorsement will be System (GMDSS). (1) Subject to para- issued only when the candidate pro- graph (n)(2) of this section, and except vides evidence of having achieved or, if as otherwise provided by § 10.202, each training has been completed, having candidate for an STCW certificate as maintained the minimum standards of master or mate for service in vessels in competence for the following 4 areas of ocean or near-coastal service, shall basic safety within the previous 5 years present— upon assessment of a practical dem- (i) A certificate for operator of radio onstration of skills and abilities: in the GMDSS issued by the Federal (1) Personal survival techniques as Communication Commission (FCC); set out in table A-VI/1-1 of the STCW and Code (incorporated by reference in (ii) A certificate of completion from § 10.102). a Coast Guard-approved or accepted (2) Fire prevention and fire-fighting course for operator of radio in the as set out in table A-VI/1-2 of the GMDSS or from another approved or STCW Code (also incorporated by ref- accepted program of training and as- erence in § 10.102). sessment covering the same areas of (3) Elementary first aid as set out in competence. The course or program table A-VI/1-3 of the STCW Code (also must be sufficient to establish that the incorporated by reference in § 10.102). applicant is competent to perform (4) Personal safety and social respon- radio duties on a vessel participating sibilities as set out in table A-VI/1-4 of in the GMDSS and meets the standard the STCW Code (also incorporated by of competence under STCW Regulation reference in § 10.102). IV/2. (m) Competence in the use of Automatic (2) Paragraph (n)(1) of this section Radar-Plotting Aids (ARPA). (1) Subject does not apply to a candidate intending to paragraph (m)(2) of this section, and to serve only as a pilot, or intending to except as otherwise provided in § 10.202, serve only on vessels not required to each candidate for an STCW certificate comply with the provisions of the as master or mate for service on ves- GMDSS in Chapter IV of the Conven- sels in ocean or near-coastal service, tion for the Safety of Life at Sea, 1974, shall present a certificate of comple- as amended (SOLAS). tion from an approved course or from (3) Each candidate presenting a cer- accepted training on an ARPA simu- tificate described in paragraph (n)(1) of lator. The course or training must be this section may have his or her STCW sufficient to establish that the appli- certificate suitably endorsed with his cant is competent to maintain safe or her GMDSS qualification. navigation through the proper use of (o) Procedures for bridge team work. ARPA, by correctly interpreting and Except as otherwise provided by analyzing the information obtained § 10.202, each candidate for an STCW

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certificate as master or mate for serv- (c) Age, experience, training, and as- ice on vessels in ocean or near-coastal sessment. (1) Each applicant for a raise service, shall present sufficient docu- of grade of license shall establish that mentary proof that he or she under- he or she possesses the age, experience, stands and can effectively apply proce- and training necessary, and has been dures for bridge team work as an essen- examined and otherwise assessed as tial aspect of maintaining a safe navi- may be required by this part to estab- gational watch, taking into account lish competence to hold the particular the principles of bridge-resource man- license requested, before he or she is agement enumerated in Section B-VIII/ entitled to a raise in grade of license. 2 of the STCW Code. (2) Applicants for raise of grade of li- (p) Practical demonstration of skills. cense shall present to the OCMI at a Each candidate for an original license Regional Examination Center, letters, shall successfully complete any prac- discharges, or other official documents tical demonstrations required under certifying to the amount and character this part and appropriate to the par- of their experience and the names of ticular license concerned, to prove that the vessels on which acquired. Certifi- he or she is sufficiently proficient in cates of discharge are returned to the skills required under subpart I of this applicant after review by the OCMI. All part. The OCMI must be satisfied as to other documentary evidence of service, the authenticity and acceptability of or copies thereof, are filed with the ap- all evidence that each candidate has plication. successfully completed the demonstrations required under this part in the (3) Sea service acquired prior to the presence of a designated examiner. The issuance of the license held is generally OCMI will place in the file of each cannot accepted as any part of the service didate a written or electronic record of required for raise of grade of that li- the skills required, the results of the cense. However, service acquired prior practical demonstrations, and the iden- to issuance of a license will be accepted tification of the designated examiner for certain crossovers, endorsements or in whose presence the requirements increases in scope of a license, as ap- were fulfilled. propriate. In the limited tonnage categories for deck licenses, total accumu- [CGD 81–059 and CGD 81–059a, 52 FR 38623 and lated service is a necessary criterion 38666, Oct. 16, 1987] for most raises in grade; service ac- EDITORIAL NOTE: For FEDERAL REGISTER ci- quired prior to the issuance of such li- tations affecting § 10.205, see the List of CFR censes will, therefore, be accepted. Sections Affected, which appears in the (4) No raise of grade of license may be Finding Aids section of the printed volume and on GPO Access. issued to any naturalized citizen on less experience in any grade than § 10.207 Requirements for raises of would have been required of a citizen of grades of licenses. the United States by birth. (a) General. Before any person is (5) Experience and service acquired issued a raise of grade of license, the on foreign vessels while holding a valid applicant must present satisfactory U. S. license is creditable for estab- documentary evidence of eligibility lishing eligibility for a raise of grade, with respect to the applicable require- subject to evaluation by the OCMI to ments of §§ 10.201, 10.202, and this sec- determine that it is a fair and reason- tion. Each applicant must submit an able equivalent to service acquired on application as set forth in § 10.105, and, merchant vessels of the United States, unless exempted under § 10.112, submit with respect to grade, tonnage, horse- the evaluation fee set out in table power, waters and operating condi- 10.109 in § 10.109. tions. An applicant who has obtained (b) Surrendering old license. Upon the the qualifying experience on foreign issuance of a new license for raise of vessels shall submit satisfactory docu- grade, the applicant shall surrender the mentary evidence of such service (in- old license to the OCMI. If requested, cluding any necessary translations into the old license is returned to the appli- English) in the forms prescribed by cant after cancellation. paragraph (c)(2) of this section.

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(6) An applicant remains eligible for physician assistant that meets the re- a raise of grade of license while on pro- quirements for an original license. bation as a result of action under part (3) An applicant who has lost the 5 of this chapter. A raise of grade of li- sight of one eye may obtain a raise of cense issued to a person on probation grade of license, provided that the ap- will be subject to the same proba- plicant is qualified in all other respects tionary conditions imposed against the and that the visual acuity in the one applicant’s other certificates or li- remaining eye passes the test required censes. The offense for which he or she under § 10.205(d). was placed on probation will be consid- (f) Firefighting certificate. Applicants ered on the merits of the case in deter- for raise of grade of license who have mining fitness to hold the license ap- not previously met the requirements in plied for. No applicant will be exam- § 10.205(g), must do so. ined for a raise of grade of license dur- (g) Chemical testing for dangerous ing any period when a suspension with- drugs. To obtain a raise of grade of a li- out probation or a revocation imposed cense each applicant shall produce evi- under part 5 of this chapter is effective dence of having passed a chemical test against the applicant’s license or cer- for dangerous drugs or of qualifying for tificate or while an appeal from these an exception from testing in § 16.220 of actions is pending. this subchapter. (d) Professional Examination. (1)(i) (h) Criminal Record Review. Each ap- When the OCMI finds an applicant’s ex- plicant for a raise of grade may be re- perience and training for raise of grade quired to submit to a criminal record to be satisfactory and the applicant is check under § 10.201(h). eligible in all other respects, the OCMI (i) National Driver Register. Each ap- will authorize the examination. Oral- plicant for a raise of grade of a license assisted examinations may be adminis- shall consent to an NDR check under tered in accordance with § 10.205(i)(1). § 10.201(i) if the license is reissued with The OCMI will place in the applicant’s a new expiration date. file a record indicating the subjects [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as covered. amended at 54 FR 134, Jan. 4, 1989; CGD 91– (ii) The general instructions for ad- 002, 58 FR 15238, Mar. 19, 1993; CGD 91–223, 60 ministration of examinations and the FR 4524, Jan. 23, 1995; CGD 91–212, 60 FR lists of subjects for all licenses appear 65486, Dec. 19, 1995; CGD 94–029, 61 FR 47063, in Subpart I of this part. Sept. 6, 1996; CDG 95–062, 62 FR 34530, June 26, (2) The qualification requirements 1997; USCG–1997–2799, 64 FR 42815, Aug. 5, 1999; USCG–2004–17455, 71 FR 2166, Jan. 13, for radar observer are contained in 2006] § 10.480. (e) Physical requirements. (1) An appli- § 10.209 Requirements for renewal of cant for raise of grade of a license who licenses, certificates of registry, and has not had a physical examination for STCW certificates and endorse- an original license or renewal of li- ments. cense within three years must submit a (a) General. Except as provided in certification by a licensed physician or paragraph (g) of this section, an appli- physician assistant that he or she is in cant for renewal of a license or certifi- good health and has no physical im- cate of registry shall establish posses- pairment or medical condition which sion of all of the necessary qualifica- would render him or her incompetent tions before the license or certificate of to perform the ordinary duties of the registry is issued. license applied for. (1) Each application must be on a (2) If the OCMI has reason to believe Coast Guard furnished form and be ac- that an applicant for raise of grade of companied by the evaluation fee set license suffers from some physical im- out in table 10.109 in § 10.109. An ap- pairment or medical condition which proved application is valid for 12 would render the applicant incom- months. petent to perform the ordinary duties (2) Although the written portion of of that license, the applicant may be the application may be initiated by required to submit the results of an ex- mail, fax, or other electronic means, no amination by a licensed physician or application for renewal is complete

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until the applicant appears in person at meeting the requirements of para- a Regional Examination Center (REC), graphs (a) and (b) of this section, is fingerprinted, and provides evidence present evidence that he or she holds a of his or her identity in accordance currently valid appropriate license as with the requirements of § 10.105. physician, surgeon, or registered nurse (3) The applicant shall submit the issued under the authority of a state or original or a photocopy of the license territory of the United States, the or certificate of registry to be renewed. Commonwealth of Puerto Rico, or the A photocopy will include the back and District of Columbia. all attachments. If requested, the old (6) An applicant for renewal of a li- license or certificate of registry will be cense as master or mate (pilot) of tow- returned to the applicant. ing vessels shall submit satisfactory (b) Fitness. No license or certificate evidence of either by— of registry will be renewed if it has (i) Completing a practical demonstra- been suspended without probation or tion of maneuvering and handling a revoked as a result of action under part towing vessel before a designated ex- 5 of this chapter, or facts that would aminer; or render a renewal improper have come (ii) Submitting documentary proof of to the attention of the Coast Guard. ongoing participation in training and (c) Professional requirements. (1) In drills during the validity of the license order to renew a license as master, being renewed. mate, engineer, pilot, or operator, the (d) Physical requirements. (1) An appli- applicant shall: cant for renewal of a license shall sub- (i) Present evidence of at least 1 year mit a certification by a licensed physi- of sea service during the past 5 years; cian or physician assistant that he or (ii) Pass a comprehensive, open-book she is in good health and has no phys- exercise covering the general subject ical impairment or medical condition matter contained in appropriate sec- which would render him or her incom- tions of subpart I of this part; petent to perform the ordinary duties (iii) Complete an approved refresher of that license. This certification must training course; or address visual acuity and hearing in (iv) Present evidence of employment addition to general physical condition in a position closely related to the op- and must have been completed within eration, construction or repair of ves- 12 months of the date of application. sels (either deck or engineer as appro- (2) If the OCMI has reason to believe priate) for at least 3 years during the that an applicant for renewal of a li- past 5 years. An applicant for a deck license suffers from some physical im- cense with this type of employment pairment or medical condition which must also demonstrate knowledge on would render the applicant incom- an applicable Rules of the Road exer- petent to perform the ordinary duties cise. of that license, the applicant may be (2) The qualification requirements required to submit the results of an ex- for renewal of radar observer endorse- amination by a licensed physician or ment are in § 10.480. physician assistant that meets the re- (3) Additional qualification require- quirements for original license. ments for renewal of a license as pilot (3) An applicant who has lost the are contained in § 10.713. sight of one eye may obtain a renewal (4) An applicant for renewal of a of license, provided that the applicant radio officer’s license shall, in addition is qualified in all other respects and to meeting the requirements of para- that the visual acuity in the one re- graphs (a) and (b) of this section, maining eye passes the test required present a currently valid license as under § 10.205(d). first- or second-class radiotelegraph (4) Physical examinations are not re- operator issued by the Federal Commu- quired for renewal of certificates of nications Commission. This license registry. will be returned to the applicant. (e) Special circumstances—(1) Period of (5) An applicant for renewal of a med- grace. Except as provided herein, a li- ical doctor or professional nurse cer- cense may not be renewed more than 12 tificate of registry shall, in addition to months after it has expired. To obtain

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a reissuance of the license, an appli- (E) Evidence of, or acceptable sub- cant must comply with the require- stitute for, sea service for the renewal ments of paragraph (f) of this section. of a license. When an applicant’s license expires (F) For a certificate of registry as a during a time of service with the medical doctor or professional nurse, Armed Forces and there is no reason- evidence that he or she holds a cur- able opportunity for renewal, including rently valid, appropriate license as by mail, this period may be extended. physician, surgeon, or registered nurse, The period of military service fol- issued under the authority of a state or lowing the date of license expiration territory of the United States, the which precluded renewal may be added Commonwealth of Puerto Rico, or the to the 12 month period of grace. The 12 District of Columbia. month period of grace, and any exten- (ii) The open-book exercise, if re- sion, do not affect the expiration date quired, may be administered through of the license. A license is not valid for the mail. use after the expiration date. (iii) Upon receipt of the renewed li- (2) Renewal in advance. A license or cense or certificate of registry, the ap- certificate of registry may not be re- plicant shall sign it in order to validate newed more than 12 months before ex- the license or certificate. piration unless it is being renewed in (4) Concurrent renewal of licenses, cer- conjunction with a merchant mariner’s tificates of registry, and merchant mari- document which is either due for re- ner’s documents. An applicant for con- newal or being endorsed, or unless the current renewal of more than one mer- OCMI is satisfied that special cir- chant mariner credential shall satisfy cumstances exist to justify renewal. the individual renewal requirements (3) Renewal by mail, fax, or other elec- and pay the applicable fees required by the tables in §§ 10.109 and 12.02–18 of this tronic means. (i) This paragraph sets chapter for each license, certificate of forth those required portions of the ap- registry, or merchant mariner’s docu- plication that may be submitted by ment being renewed. mail, fax, or other electronic means. (f) Reissuance of expired license or cer- Although an applicant may initiate, tificate of registry. (1) Whenever an ap- supplement, or complete a renewal by plicant applies for reissuance of a li- mail, fax, or other electronic means, no cense more than 12 months after expi- application for renewal is complete ration, in lieu of the requirements of until the applicant appears in person at paragraph (c) of this section, the appli- an REC, is fingerprinted, and provides cant shall demonstrate continued pro- evidence of his or her identity in ac- fessional knowledge by completing a cordance with § 10.105. The following course approved for this purpose, or by documents must be submitted by the passing the complete examination for applicant, but may be submitted by that license. The examination may be mail, fax, or other electronic means: oral-assisted if the expired license was (A) A properly completed application awarded on an oral exam. The fees list- on a Coast Guard furnished form and ed in table 10.109 in § 10.109 apply to the evaluation fee required by table these examinations. In the case of an 10.109 in § 10.109. expired radio officer’s license, the li- (B) The expired license or certificate cense may be issued upon presentation of registry to be renewed; or, if it has of a valid first- or second-class radio- not expired, a photocopy of the license telegraph operator license issued by or certificate, including the back and the Federal Communications Commis- all attachments. sion. (C) A certification from a licensed (2) A certificate of registry that has physician or physician assistant in ac- been expired for more than 12 months cordance with paragraph (d) of this sec- shall be renewed in the same way as a tion for the renewal of a license. current certificate of registry. There (D) If the applicant desires to renew are no additional requirements for re- a license with a radar observer endorse- issuing certificates of registry that ment, either the radar observer certifi- have been expired for more than 12 cate or a certified copy. months.

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(g) Inactive license renewal. (1) Appli- this subchapter. An applicant who fails cants for renewal of licenses who are a chemical test for dangerous drugs unwilling or otherwise unable to meet will not be issued a license or certifi- the requirements of paragraphs (c) or cate of registry. (d) of this section may renew their li- (i) Each applicant for a renewal may censes, with the following restrictive be required to consent to a criminal endorsement placed on the back of the record check under § 10.201(h). license: ‘‘License renewed for con- (j) Each applicant for renewal of a li- tinuity purposes only; service under cense or certificate of registry shall the authority of this license is prohib- consent to an NDR check under ited.’’ Holders of licenses with this con- § 10.201(i). tinuity endorsement may have the prohibition rescinded at any time by satis- (k) Except as otherwise provided by fying the renewal requirements in § 10.202, each candidate for a renewal of paragraphs (c), (d), and (h) of this sec- an STCW certificate or endorsement as tion. master, mate, operator, or engineer, to (2) Applications for renewal of a li- be valid on or after February 1, 2002, cense with the continuity endorsement for service on any vessel in ocean or must include: near-coastal service, shall meet the ap- (i) The license to be renewed, or, if it plicable requirements of paragraphs (l), is unexpired, a photocopy of the license (m), (n), and (o) in § 10.205 and shall including the back and all attach- meet the requirements of Section A-VI/ ments; and, 2, paragraph 1 to 4 of the STCW Code. (ii) A signed statement from the ap- [CGD 91–211, 59 FR 49299, Sept. 27, 1994] plicant attesting to an awareness of the restriction to be placed on the re- EDITORIAL NOTE: For FEDERAL REGISTER ci- newed license, and of the requirements tations affecting § 10.209, see the List of CFR for rescinding the continuity endorse- Sections Affected, which appears in the ment. Finding Aids section of the printed volume (h) Chemical testing for dangerous and on GPO Access. drugs. Except for applicants requesting § 10.210 Eligibility for towing license. an inactive license renewal under paragraph (g) of this section, each applicant The figure that follows illustrates for the renewal of a license or of a cer- the conversion of a towing license tificate of registry shall produce evi- issued before May 21, 2001. The conver- dence of having passed a chemical test sion will take place at the first renewal for dangerous drugs or of qualifying for or upgrade of the license after May 20, an exception from testing in § 16.220 of 2001.

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[USCG–1999–6224, 66 FR 20935, Apr. 26, 2001]

§ 10.211 Creditable service and equiva- the amount and nature (e.g. chief lents for licensing purposes. mate. assistant engineer, etc.) of the (a) Sea service may be documented applicant’s experience, the vessel for licensing purposes in various forms name, gross tonnage, shaft horsepower such as certificates of discharge, pilot- and official numbers, the routes upon age service and billing forms, and let- which the experience was acquired, and ters or other official documents from approximate dates of service. marine companies signed by appro- (b) Port engineer, shipyard super- priate officials or licensed masters. For intendent experience, instructor serv- service on vessels of under 200 gross ice, or similar related service may be tons, owners of vessels may attest to creditable for a maximum of six their own service; however, those who months of service for raise of grade of do not own a vessel must obtain letters an engineer or deck license, as appro- or other evidence from licensed per- priate, using the following: sonnel or the owners of the vessels list- (1) Port engineer or shipyard super- ed. The documentary evidence pro- intendent experience is creditable on a duced by the applicant must contain three-for-one basis for a raise of grade.

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(Twelve months of experience equals case on smaller vessels, will be credited four months of creditable service.) in the same manner as conventional (2) Service as a bona fide instructor evaluations. The applicant must sub- at a school of navigation or marine en- mit an official transcript of sea service gineering is creditable on a two-for-one as verification of the service claimed basis for a raise of grade. (Twelve when the application is submitted. The months of experience equals six applicant must also provide the Officer months of creditable service). in Charge, Marine Inspection other (c) Service on mobile offshore drill- necessary information as to tonnage, ing units is creditable for raise of grade routes, horsepower, percentage of time of license. Evidence of one year’s serv- underway, and assigned duties upon ice as mate or equivalent while holding the vessels which he or she served. a license as third mate, or as engineer- Such service will be evaluated by the ing officer of the watch or equivalent OCMI and forwarded to the Com- while holding a license as third assist- mandant for a determination of its ant engineer, is acceptable for a raise equivalence to sea service acquired on of grade to second mate or second as- merchant vessels and the appropriate sistant engineer, respectively; however, grade, class, and limit of license for any subsequent raises of grade of un- which the applicant is eligible. Nor- limited, nonrestricted licenses must in- mally, 60 percent of the total time on clude a minimum of six months of serv- board is considered equivalent under- ice on conventional vessels. way service; however, the periods of op- (d) Service on a Dual Mode Inte- eration of each vessel may be evalu- grated Tug Barge (ITB) unit is cred- ated separately. In order to be eligible itable for original or raise of grade of for a master’s or chief engineer’s un- any deck licenses. Service on a Dual limited license, the applicant must Mode ITB with an aggregate tonnage of have acquired military service in the over 1600 gross tons is creditable on a capacity of commanding officer or en- two-for-one basis (two days experience gineer officer, respectively. equals one day of creditable service) (b) Service in deck ratings on mili- for up to 50 percent of the total service tary vessels such as seaman apprentice, on vessels over 1600 gross tons required seaman, boatswain’s mate, quarter- for an unlimited license. The remain- master, or radarman are considered ing required service on vessels of over deck service for licensing purposes. 1600 gross tons must be obtained on Service in other ratings may be consid- conventional vessels or Push Mode ered if the applicant establishes that ITBs. his or her duties required a (e) Other experience in a marine re- watchstanding presence on or about lated area, other than at sea, or sea the bridge of a vessel. Service in engi- service performed on unique vessels, neer ratings on military vessels such as will be evaluated by the OCMI and for- fireman apprentice, fireman, warded to the Commandant for a deter- engineman, machinists, mate, machin- mination of equivalence to traditional ery technician or boiler tender are con- service. sidered engineer service for licensing [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as purposes. There are also other ratings amended at 54 FR 135, Jan. 4, 1989] such as electrician, hull technician, or damage controlman which may be § 10.213 Sea service as a member of the credited when the applicant establishes Armed Forces of the United States that his or her duties required and on vessels owned by the United watchstanding duties in an operating States as qualifying experience. engine room. (a) Sea service as a member of the (c) In addition to underway service, Armed Forces of the United States will members of the Armed Forces may ob- be accepted as qualifying experience tain creditable service for periods of for an original, raise of grade, or in- assignment to vessels at times other crease in scope of all licenses. In most than underway, such as in port, at an- cases, military sea service will have chor, or in training. Normally, a 25% been performed upon ocean waters; factor is applied to these time periods. however, inland service, as may be the This experience can be equated with

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general shipboard familiarity, training, § 10.217 Examination procedures and ship’s business, and other related du- denial of licenses. ties. (a)(1) The examinations for all deck (d) Sea service obtained on sub- and engineer unlimited licenses are ad- marines is creditable, as if it were sur- ministered at periodic intervals. The face vessel service, for deck and engi- examination fee set out in table 10.109 neer licenses under the provision of paragraph (a) of this section. For appli- in § 10.109 must be paid before the application to deck licenses, submarine cant may take the first examination service may be creditable if at least 25 section. If an applicant fails three or percent of all service submitted for the more sections of the examination, a license was obtained on surface vessels complete reexamination must be (e.g. If four years’ total service were taken, but may be taken during any of submitted for an original license, at the scheduled exam periods. On the least one year must have been obtained subsequent exam, if the applicant on surface craft in order for the sub- again fails three or more sections, at marine service to be eligible for eval- least 3 months must lapse before an- uation). other complete examination is at- (e) Service gained in a civilian capac- tempted, and a new examination fee is ity as commanding officer, master, required. If an applicant fails one or mate, engineer, or pilot, etc., of any two sections of an examination, the ap- vessel owned and operated by the plicant may be retested twice on these United States, in any service, in which sections during the next 3 months. If a license as master, mate, engineer, or the applicant does not successfully pilot was not required at the time of complete these sections within the 3 such service, is evaluated by the OCMI month period, complete reexamination and forwarded to the National Mari- must be taken after a lapse of at least time Center for a determination of 3 months from the date of the last equivalence. retest, and a new examination fee is required. The 3 month retest period may [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as be extended by the OCMI if the appli- amended by USCG–2008–0906, 73 FR 56508, Sept. 29, 2008] cant presents discharges documenting sea time which prevented the taking of § 10.215 Modification or removal of a retest during the 3 month period. The limitations. retest period may not be extended be- (a) If an Officer in Charge, Marine In- yond 7 months from the initial exam- spection, is satisfied by the documen- ination. tary evidence submitted that an appli- (2) The scheduling of all other deck cant is entitled by experience, training, and engineer license examinations will and knowledge to an endorsement or be at the discretion of the OCMI. The increase in the scope of any license examination fee set out in table 10.109 held, any limitations which were pre- in § 10.109 must be paid before the appli- viously placed upon the license by that cant may take the first examination OCMI may be changed. Such an in- section. In the event of a failure, the crease in scope may include horsepower applicant may be retested twice when- or tonnage limitations, or geographic ever the examination can be resched- route restrictions. uled with the OCMI. The applicant (b) An OCMI may not change a limi- must be examined in all of the unsatis- tation on any license which that office factory sections of the preceding exam- did not place thereon before full infor- ination. If the applicant does not suc- mation regarding the reason for the cessfully complete all parts of the ex- limitation is obtained from the OCMI amination during a 3-month period responsible for the limitation. from the initial test date, a complete (c) No limitation on any license may reexamination must be taken after a be changed before the applicant has lapse of at least 2 months from the made up any deficiency in the experi- date of the last retest, and a new exam- ence prescribed for the license or en- ination fee is required. dorsement desired and passed any nec- (b) If the OCMI refuses to grant an essary examination. applicant the license for which applied

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due to failing to pass a required exam- § 10.221 Parting with license. ination, the applicant is furnished a The holder of a license shall not vol- written statement setting forth the untarily part with it or place it beyond portions of the examination which his or her personal control by pledging must be retaken and the date by which or depositing it with any other person the examination must be completed. for any purpose. If the holder violates [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as this section, he or she may be pro- amended at 54 FR 135, Jan. 4, 1989; CGD 91– ceeded against in accordance with the 002, 58 FR 15238, Mar. 19, 1993; CGD 94–029, 61 provisions of part 5 of this chapter, FR 47064, Sept. 6, 1996; USCG–1997–2799, 64 FR looking to a suspension or revocation 42815, Aug. 5, 1999] of the license.

§ 10.219 Issuance of duplicate license § 10.223 Suspension and revocation of or certificate of registry. licenses. (a) Whenever a person to whom a li- (a) When the license of any indi- cense or certificate of registry has been vidual is revoked, it is no longer valid issued loses the license or certificate, for any purpose and any license of the that person shall report the loss to the same type subsequently requested Coast Guard. A duplicate license or must be applied for as an original li- certificate may be issued by any Re- cense, except as to number of issue. (b) No person whose license is sus- gional Examination Center after re- pended without probation or has been ceiving an application with an affidavit revoked may be issued another license describing the circumstances of the without approval of the Commandant. loss from the applicant and (c) When a license which is about to verification of the license or certificate expire is suspended, the renewal of record from the Regional Examination such license will be withheld until ex- Center where it was issued or from the piration of the period of suspension. National Maritime Center. The dupli- (d) An applicant for renewal or re- cate will be prepared in the same for- turn of a license as master or mate mat and wording as the license or cer- (pilot) of towing vessels whose most re- tificate being replaced. A duplicate li- cent license was suspended or revoked cense is issued for the unexpired term by an administrative law judge for in- of the lost license. Duplicate licenses competence shall complete the prac- and certificates of registry bear the tical demonstration under paragraph following statement: ‘‘This license (or (c)(6)(i) of § 10.209. certificate) replaces License (or Cer- [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as tificate) Number ll issued at ll on amended at 54 FR 132, Jan. 4, 1989; USCG– the above date.’’ 1999–6224, 66 FR 20936, Apr. 26, 2001] (b) If a person loses a license or certificate of registry by shipwreck or Subpart C—Training Schools with other casualty, a reissue of that license Approved Courses or certificate or registry will be supplied free of charge. Other casualties § 10.301 Applicability. include any damage to a ship caused by This subpart prescribes the general collision, explosion, tornado, wreck, requirements applicable to all ap- flooding, beaching, grounding, or fire. proved courses which may be accepted (c) If a person loses a license or cer- in lieu of service experience or exam- tificate of registry otherwise than by ination required by the Coast Guard, or shipwreck or other casualty and ap- which satisfy course completion re- plies for a reissue, the appropriate fee quirements. set out in table 10.109 in § 10.109 is required. § 10.302 Course approval. [CGD 81–059, 54 FR 135, Jan. 4, 1989; as amend- (a) The Coast Guard approves courses ed by CGD 91–002, 58 FR 15238, Mar. 19, 1993; satisfying regulatory requirements and USCG–1997–2799, 64 FR 42815, Aug. 5, 1999; those that substitute for a Coast Guard USCG–2007–29018, 72 FR 53964, Sept. 21, 2007; examination or a portion of a sea serv- USCG–2008–0906, 73 FR 56508, Sept. 29, 2008] ice requirement. The owner or operator

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of a training school desiring to have a course approval; or substantially devi- course approved by the Coast Guard ates from the course curriculum pack- shall submit a written request to the age as submitted for approval; or if the Commanding Officer, National Mari- course is being presented in a manner time Center, NMC–42, 100 Forbes Drive, that is insufficient to achieve learning Martinsburg WV 25404, that contains: objectives; the cognizant OCMI may (1) A list of the curriculum including suspend the approval, may require the a description of and the number of holder to surrender the certificate of classroom hours required in each sub- approval, if any, and may direct the ject; holder to cease claiming the course is (2) A description of the facility and Coast Guard approved. The Cognizant equipment; OCMI will notify the approval holder in (3) A list of instructors including the writing of its intention to suspend the experience, background, and the qualifications of each; and approval and the reasons for suspen- (4) Specify the Coast Guard training sion. If the approval holder fails to cor- requirements the course is intended to rect the reasons for suspension, the satisfy. course will be suspended and the mat- (b) The Coast Guard notifies each ap- ter referred to the Commanding Offi- plicant in writing whether or not an cer, National Maritime Center. The approval is granted. If a request for ap- Commanding Officer, National Mari- proval is denied, the Coast Guard in- time Center, will notify the approval forms the applicant the reasons for the holder that the specific course fails to denial and describes what corrections meet applicable requirements, and ex- are required for an approval. plain how those deficiencies can be cor- (c) Unless sooner surrendered, sus- rected. The Commanding Officer, Na- pended or withdrawn, an approval for a tional Maritime Center, may grant the course at a training school that meets approval holder up to 60 days in which Coast Guard standards expires 24 to correct the deficiencies. months after the month in which it is (f) Withdrawal of approval. (1) The issued, when the school closes, when Commanding Officer, National Mari- the school gives notice that it will no time Center, may withdraw approval longer offer the course, or on the date for any course when the approval hold- of any change in the ownership of the er fails to correct the deficiency(ies) of school for which it was issued, which- a suspended course within a time pe- ever occurs first. riod allowed under paragraph (e) of this (d) If the owner or operator of a training school desires to have a course section. approval renewed, they shall submit a (2) The Commanding Officer, Na- written request to the address listed in tional Maritime Center, may withdraw paragraph (a) of this section. For the approval of any or all courses by an ap- request to be approved, the Coast proval holder upon a determination Guard must be satisfied that the con- that the approval holder has dem- tent and quality of instruction remain onstrated a pattern or history of: satisfactory. Unless sooner surren- (i) Failing to comply with the appli- dered, suspended or withdrawn, a re- cable regulations or the requirements newal of the approval expires 60 of course approvals; months after the month it is issued, (ii) Substantial deviations from their when the school closes, when the approved course curricula; or school gives notice that it will no (iii) Presenting courses in a manner longer offer the course, or on the date that is insufficient to achieve learning of any change in ownership of the objectives. school for which it is issued, whichever (g) Appeals of suspension or withdrawal occurs first. of approval. Anyone directly affected (e) Suspension of approval. If the Coast Guard determines that a specific by a decision to suspend or withdraw course does not comply with the provi- an approval may appeal the decision to sions of 46 CFR parts 10, 12, 13 or 15, or the Commandant via the Commanding the requirements specified in the

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Officer, National Maritime Center, as (4) Supervise or administer the re- provided in § 1.03–45 of this chapter. quired examinations or practical demonstrations. [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 95–072, 60 FR 50460, Sept. 29, [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as 1995; USCG–1998–4442, 63 FR 52189, Sept. 30, amended at 54 FR 132, Jan. 4, 1989; CGD 95– 1998; USCG–1998–3824, 64 FR 4984, Feb. 2, 1999; 072, 60 FR 50460, Sept. 29, 1995; USCG–1998– USCG–2004–18884, 69 FR 58342, Sept. 30, 2004; 4442, 63 FR 52189, Sept. 30, 1998; USCG–1998– USCG–2008–0906, 73 FR 56508, Sept. 29, 2008] 3824, 64 FR 4984, Feb. 2, 1999; USCG–2004–18884, 69 FR 58342, Sept. 30, 2004; USCG–2008–0906, 73 § 10.303 General standards. FR 56508, Sept. 29, 2008] Each school with an approved course § 10.304 Substitution of training for re- must: quired service, use of training- (a) Have a well maintained facility record books, and use of towing of- that accommodates the students in a ficer assessment records. safe and comfortable environment con- (a) Satisfactory completion of cer- ducive to learning. tain training courses approved by the (b) Have visual aids for realism, in- Commandant may be substituted for a cluding simulators where appropriate, portion of the required service for which are modern and well maintained many deck and engineer licenses and and sufficient for the number of stu- for qualified ratings of unlicensed personnel. The list of all currently ap- dents to be accommodated. proved courses of instruction including (c) Give appropriate written or prac- the equivalent service and applicable tical examinations in the course mate- licenses and ratings is maintained by rial to each student of such a degree of Commanding Officer, National Mari- difficulty that a student who success- time Center. Satisfactory completion fully completes them could reasonably of an approved training course may be assume that he or she would pass, on substituted for not more than two- the first attempt, an examination pre- thirds of the required service on deck pared by the Coast Guard based upon or in the engine department for deck or knowledge requirements of the position engineer licenses, respectively, and for or endorsement for which the student qualified ratings. is being trained. (b) Service time gained at an ap- (d) Keep for at least one year after proved training course does not satisfy the end of each student’s enrollment: recent service requirements nor does (1) Each written examination, or in training on a simulator; however, any the case of a practical test, a report of underway service at an approved such test; and course may be used for this purpose. (2) A record of each student’s class- An applicant who had met the recent room attendance. service requirement before entering (e) Not change its approved cur- school will not be penalized by attend- ing the approved training course. riculum unless approved, in writing, (c) Training obtained prior to receiv- after the request for change has been ing a license may not be used for subse- submitted in writing to the Com- quent raises of grade. manding Officer, National Maritime (d) Simulator training in combina- Center (NMC-42). tion with a Coast Guard approved (f) At any time the Officer in Charge, training course may be submitted to Marine Inspection directs, allow the the Commanding Officer, National Coast Guard to: Maritime Center, for evaluation and (1) Inspect its facilities, equipment, determination of equivalency to re- and records, including scholastic quired sea service. Simulator training records; cannot be substituted for recency re- (2) Conduct interviews and surveys of quirements, but may substitute for a students to aid in course evaluation maximum of 25 percent of the required and improvement; service for any license transaction. (3) Assign personnel to observe or (e) Except as provided in § 10.202, participate in the course of instruc- when a candidate both applies for an tion; and STCW certificate or endorsement as an

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officer in charge of a navigational ment of competence is to be docu- watch, on the basis of training or sea mented in the record books. service commencing on or after August (6) The identity of each qualified in- 1, 1998, and uses completion of approved structor, including any Coast Guard li- training to substitute for required cense or document held, and the in- service, then not less than 1 year of the structor’s signature. remaining service must be part of ap- (7) The identity of each designated proved training that meets the appro- examiner, when any assessment of priate requirements of Chapter II of competence is recorded, including any STCW and the requirements of subpart Coast Guard license or document held, C of this part. The training of a can- and the examiner’s signature con- didate must be documented in a Coast firming that his or her initials certify Guard-accepted training-record book. that he or she has witnessed the prac- (f) Except as provided in § 10.202, each tical demonstration of a particular candidate who applies for an STCW task or skill by the candidate. certificate or endorsement as an officer (h) Each applicant for a license as in charge of an engineering watch or as master or mate (pilot) of towing ves- a designated duty engineer on the basis sels, and each master or mate of self- of training or sea service commencing propelled vessels of greater than 200 on or after August 1, 1998, for service gross tons seeking an endorsement for on seagoing vessels, shall complete on- towing vessels, shall complete a towing board training as part of approved officers’ assessment record that con- training that meets the appropriate re- tains at least the following: quirements of Chapter III of STCW (in- (1) Identification of the candidate, incorporated by reference in § 10.102) and cluding full name, home address, pho- the requirements of subpart C of this tograph or photo-image, and personal part. The training must be documented signature. in a Coast Guard-accepted training- (2) Objectives of the training and as- record book. sessment. (3) Tasks to perform or skills to dem- (g) The training-record book referred onstrate. to in paragraphs (e) and (f) of this sec- (4) Criteria to use in determining tion must contain at least the fol- that the tasks or skills have been per- lowing: formed properly. (1) The identity of the candidate. (5) A place for a qualified instructor (2) The tasks to be performed or the or licensed officer (with authority to skills to be demonstrated, with ref- operate a towing vessel) to indicate by erence to the standards of competence his or her initials that the candidate set forth in the tables of the appro- has received training in the proper per- priate sections in part A of the STCW formance of the tasks or skills. Code. (6) A place for a designated examiner (3) The criteria to be used in deter- to indicate by his or her initials that mining that the tasks or skills have the candidate has successfully com- been performed properly, again with pleted a practical demonstration and reference to the standards of com- has proved proficient in the task or petence set forth in the tables of the skill under the criteria. appropriate sections in part A of the (7) Identification of each qualified in- STCW Code. structor or licensed officer (with au- (4) A place for a qualified instructor thority to operate a towing vessel) by to indicate by his or her initials that full name, home address, employer, job the candidate has received training in title, ship name or business address, the proper performance of the task or number of any Coast Guard licenses or skill. documents held, and personal signa- (5) A place for a designated examiner ture. to indicate by his or her initials that (8) Identification of each designated the candidate has successfully com- examiner by full name, home address, pleted a practical demonstration and employer, job title, ship name or busi- has proved competent in the task or ness address, number of any Coast skill under the criteria, when assess- Guard licenses or documents held, and

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personal signature confirming that his (4) Radar Observer (Unlimited: Re- or her initials certify that he or she newal). has witnessed the practical demonstra- (5) Radar Observer (Inland Waters tion of a particular task or skill by the and GIWW: Renewal). candidate. (6) Radar Observer (Rivers: Renewal). (i) The training-record book referred (c) A school with an approved Radar- to in paragraphs (e) and (f) of this sec- Observer course may issue a certificate tion may be maintained electronically, listed in paragraph (b) of this section if the electronic record meets Coast after the student has successfully com- Guard-accepted standards for accuracy, pleted the appropriate curriculum as integrity, and availability. follows: [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as (1) Radar Observer (Unlimited). amended at 54 FR 135, Jan. 4, 1989; CGD 95– Classroom instruction—including dem- 072, 60 FR 50460, Sept. 29, 1995; CGD 95–062, 62 onstration and practical exercises FR 34531, June 26, 1997; USCG–1998–4442, 63 using simulators—and examination, in FR 52189, Sept. 30, 1998; USCG–1999–6224, 64 the following subjects: FR 63225, Nov. 19, 1999; 66 FR 20936, Apr. 26, 2001; USCG–1999–5610, 67 FR 66068, Oct. 30, (i) Fundamentals of radar: 2002; USCG–2004–18884, 69 FR 58342, Sept. 30, (A) How radar works. 2004; USCG–2007–29018, 72 FR 53964, Sept. 21, (B) Factors affecting the perform- 2007; USCG–2008–0906, 73 FR 56508, Sept. 29, ance and accuracy of marine radar. 2008] (C) Purposes and functions of the EFFECTIVE DATE NOTE: By USCG–2006– main components that constitute a 26202, 73 FR 52794, Sept. 11, 2008, § 10.304 was typical marine-radar system. amended by adding a new paragraph (j), ef- (ii) Operation and use of radar: fective Oct. 14, 2008. For the convenience of the user, the added text is set forth as fol- (A) Purpose and adjustment of con- lows: trols. (B) Detection of malfunctions, false § 10.304 Substitution of training for re- and indirect echoes, and other radar quired service, use of training-record books, and use of towing officer assess- phenomena. ment records. (C) Effects of sea return, weather, and other environmental conditions. * * * * * (D) Limitations of radar resulting from design factors. (j) Substitution of a training program in lieu of required service for a license as mate (E) Safety precautions associated (pilot) of towing vessels is governed by with use and maintenance of marine § 10.465(a) and table 10.465–1 of this part. radar. (F) Measurement of ranges and bear- § 10.305 Radar-Observer certificates ings. and qualifying courses. (G) Effect of size, shape, composition, (a) A student who takes an approved and distance of vessels and terrestrial course of training, which includes pass- targets on echo. ing both a radar-theory examination (iii) Interpretation and analysis of and a practical demonstration on a radar information: simulator, and who meets the require- (A) Radar navigation (including vis- ments of this section is entitled to an ual techniques)—determining posi- appropriate Radar-Observer certifi- tions, and detecting changes in the rel- cate— ative motion, of other vessels. (1) In a form prescribed by the school (B) Collision-avoidance, including and acceptable to the Coast Guard; and visual techniques, appropriate to the (2) Signed by the head of the school. circumstances and the equipment in (b) The following Radar-Observer cer- use. tificates are issued under this section: (C) Determining the course and speed (1) Radar Observer (Unlimited). of another vessel. (2) Radar Observer (Inland Waters (D) Determining the time and dis- and Gulf-Intracoastal Waterway tance of closest point of approach of a [GIWW]). crossing, meeting, overtaking, or over- (3) Radar Observer (Rivers). taken vessel.

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(E) Detecting changes of course or circumstances and the equipment in speed of another vessel after its initial use. course and speed have been established. (C) Determining the course and speed (F) Applying the Navigational Rules, of another vessel. Chapters 30 and 34 of Title 33 U.S. Code (D) Determining the time and dis- [Commandant Instruction M16672.2C, as tance of closest point of approach of a amended, or equivalent], and other fac- crossing, meeting, overtaking, or over- tors to consider when determining taken vessel. changes of course or speed of a vessel (E) Detecting changes of course or to prevent collisions on the basis of speed of another vessel after its initial radar observation. course and speed have been established. (G) Use of radar in maintaining situ- (F) Applying the Navigational Rules, ational awareness. and other factors to consider when de- (iv) Plotting (by any graphically-cor- termining changes of course or speed of rect method): a vessel to prevent collisions on the (A) Principles and methods of plot- basis of radar observation. ting relative and true motion. (G) Use of radar in maintaining situ- (B) Practical-plotting problems. ational awareness. (2) Radar Observer (Inland Waters (3) Radar Observer (Rivers). Class- and GIWW). Classroom instruction— room instruction—with emphasis on with emphasis on situations and prob- situations and problems encountered lems encountered on inland waters and on rivers, including demonstration and the GIWW, including demonstration practical exercises using simulators— and practical exercises using simula- and examination, in the following sub- tors—and examination, in the fol- jects: lowing subjects: (i) Fundamentals of radar: (i) Fundamentals of radar: (A) How radar works. (A) How radar works. (B) Factors affecting the perform- (B) Factors affecting the performance and accuracy of marine radar. ance and accuracy of marine radar. (C) Purpose and functions of the (C) Purpose and functions of the main components that constitute a main components that constitute a typical marine-radar system. typical marine-radar system. (ii) Operation and use of radar: (ii) Operation and use of radar: (A) Purpose and adjustment of con- (A) Purpose and adjustment of controls. trols. (B) Detection of malfunctions, false (B) Detection of malfunctions, false and indirect echoes, and other radar and indirect echoes, and other radar phenomena. phenomena. (C) Effects of sea return, weather, (C) Effects of sea return, weather, and other environmental conditions. and other environmental conditions. (D) Limitations of radar resulting (D) Limitations of radar resulting from design factors. from design factors. (E) Safety precautions associated (E) Safety precautions associated with use and maintenance of marine with use and maintenance of marine radar. radar. (F) Measurement of ranges and bear- (F) Measurement of ranges and bearings, recognizing limited use of radar ings. bearings in curving, narrow channels. (G) Effect of size, shape, composition, (G) Effect of size, shape, composition, and distance of vessels and terrestrial and distance of vessels and terrestrial targets on echo. targets on echo. (iii) Interpretation and analysis of (iii) Interpretation and analysis of radar information: radar information: (A) Radar navigation (including vis- (A) Radar navigation (including visual techniques)—determining posi- ual techniques)—determining positions, and detecting changes in the rel- tions, and detecting changes in the relative motion, of other vessels. ative motion, of other vessels. (B) Collision-avoidance, including (B) Collision-avoidance, including visual techniques, appropriate to the visual techniques, appropriate to the

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circumstances and the equipment in circumstances and the equipment in use. use. (C) Applying the Navigational Rules, (iii) Determining the course and and other factors to consider when de- speed of another vessel. termining changes of course or speed of (iv) Determining the time and dis- a vessel to prevent collisions on the tance of closest point of approach of a basis of radar observation. crossing, meeting, overtaking, or over- (D) Use of radar in maintaining situ- taken vessel. ational awareness. (v) Detecting changes of course or (4) Radar Observer (Unlimited: Re- speed of another vessel after its initial newal). Classroom instruction—includ- course and speed have been established. ing demonstration and practical exer- (vi) Applying the Navigational Rules, cises using simulators—and examina- and other factors to consider when de- tion, in the following subjects: termining changes of course or speed of (i) Interpretation and analysis of a vessel to prevent collisions on the radar information: basis of radar observation. (A) Radar navigation (including visual techniques)—determining posi- (vii) Use of radar in maintaining situ- tions, and detecting changes in the rel- ational awareness. ative motion, of other vessels. (6) Radar Observer (Rivers: Renewal). (B) Collision-avoidance, including Classroom instruction—including dem- visual techniques, appropriate to the onstration and practical exercises circumstances and the equipment in using simulators—and examination, in use. the interpretation and analysis of (C) Determining the course and speed radar information, including: of another vessel. (i) Radar navigation (including visual (D) Determining the time and dis- techniques)—determining positions, tance of closest point of approach of a and detecting changes in the relative crossing, meeting, overtaking, or over- motion, of other vessels. taken vessel. (ii) Collision-avoidance, including (E) Detecting changes of course or visual techniques, appropriate to the speed of another vessel after its initial circumstances and the equipment in course and speed have been established. use. (F) Applying the Navigational Rules, (iii) Applying the Navigational Rules, and other factors to consider when de- and other factors to consider when determining changes of course or speed of termining changes of course or speed of a vessel to prevent collisions on the a vessel to prevent collisions on the basis of radar observation. basis of radar observation. (G) Use of radar in maintaining situ- (iv) Use of radar in maintaining situ- ational awareness. ational awareness. (ii) Plotting (by any graphically-correct method): [CGD 94–041, 62 FR 11303, Mar. 11, 1997] (A) Principles and methods of plotting relative and true motion. § 10.306 [Reserved] (B) Practical-plotting problems. (5) Radar Observer (Inland Waters § 10.307 Training schools with approved radar observer courses. and GIWW: Renewal). Classroom instruction—including demonstration The Commanding Officer, National and practical exercises using simula- Maritime Center, NMC–42, 100 Forbes tors—and examination, in the interpre- Drive, Martinsburg WV 25404 maintains tation and analysis of radar informa- the list of approved schools and spe- tion, including: cific courses. This information is avail- (i) Radar navigation (including visual able upon request by writing the afore- techniques—determining positions, and mentioned address or calling (202) 493– detecting changes in the relative motion, of other vessels. (ii) Collision-avoidance, including visual techniques, appropriate to the

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1025 (also available on the internet at: dential required of those who would http://www.uscg.mil/STCW//). apply on board a vessel the relevant level of knowledge, skills, and abilities [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as amended at 54 FR 132, Jan. 4, 1989; CGD 95– described in the training objectives. 072, 60 FR 50460, Sept. 29, 1995; USCG–1998– (4) Neither a specialist in a particular 4442, 63 FR 52189, Sept. 30, 1998; USCG–2004– field of nonmaritime education, such 18884, 69 FR 58342, Sept. 30, 2004; USCG–2007– as mathematics or first aid, nor a per- 29018, 72 FR 53964, Sept. 21, 2007; USCG–2008– son with at least 3 years of service as a 0906, 73 FR 56508, Sept. 29, 2008] member of the Armed Forces of the § 10.309 Coast Guard-accepted training United States, specializing in the field other than approved courses. in which he or she is to conduct training, need hold a maritime license or (a) When the training and assessment document to conduct training in that of competence required by this part are field. not subject to Coast Guard approval under § 10.302, but are used to qualify to (5) A simulator may be used in train- hold an STCW certificate or endorse- ing if— ment for service on or after February 1, (i) The simulator meets applicable 2002, such training and assessment performance standards; must meet the following requirements: (ii) The instructor has gained prac- (1) The training and assessment must tical operational experience on the par- have written, clearly defined objectives ticular type of simulator being used; that emphasize specific knowledge, and skills, and abilities, and that include (iii) The instructor has received ap- criteria to be used in establishing a propriate guidance in instructional student’s successful achievement of the techniques involving the use of simula- training objectives. tors. (2) The training must be set out in a (6) Essential equipment and instruc- written syllabus that conforms to a tional materials must afford all stu- Coast Guard-accepted outline for such dents adequate opportunity to partici- training and includes— pate in exercises and acquire practice (i) The sequence of subjects to be cov- in performing required skills. ered; (7) A process for routinely assessing (ii) The number of hours to be de- the effectiveness of the instructors, in- voted to instruction in relevant areas cluding the use of confidential evalua- of knowledge; tions by students, is in place. (iii) The identity and professional (8) Documentary evidence is readily qualifications of the instructor(s) to be available to establish that any evalua- conducting the training or providing tion of whether a student is competent instruction; in accordance with standards, methods, (iv) The identification of other media and criteria set out in part A of the or facilities to be used in conducting STCW Code is conducted by a des- training; and ignated examiner who has experience, (v) Measurements at appropriate in- training, or instruction in assessment tervals of each candidate’s progress to- techniques. ward acquisition of the specific knowledge, skills, and abilities stated in the (9) Records of the student’s perform- training objectives. ance are maintained for at least 1 year (3) Except as provided in paragraph by the offeror of the training and as- (a)(4) of this section, documentary evi- sessment. dence must be readily available to es- (10) To ensure that the training is tablish that all instructors— meeting its objectives, and the require- (i) Have experience, training, or in- ments of paragraphs (a)(1) through (9) struction in effective instructional of this section, the offeror must ei- techniques; ther— (ii) Are qualified in the task for (i) Be regulated as a maritime acad- which the training is being conducted; emy or marine academy pursuant to 46 and CFR part 310; or (iii) Hold the level of license, en- (ii) Monitor the training in accord- dorsement, or other professional cre- ance with a Coast Guard-accepted QSS,

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which must include the following fea- its authorized representatives, stating tures: that the training fully complies with (A) The training must be provision- requirements of this section, and iden- ally certified, on the basis of an initial tifying the Coast Guard-accepted QSS independent evaluation conducted being used for independent monitoring. under a Coast Guard-accepted QSS, as Training programs on this list will being capable of meeting its objective. offer the training necessary for licenses (B) The training must be periodically and STCW endorsements under this monitored in accordance with the part. The Coast Guard will update this schedule stipulated under the Coast list periodically and make it available Guard-accepted QSS. to members of the public on request. (C) Each person conducting the ini- (c) If the Coast Guard determines, on tial evaluation or the subsequent peri- the basis of observations or conclusions odic monitoring of the training shall be either of its own or of someone author- knowledgeable about the subjects ized by it to monitor the training, that being evaluated or monitored and particular training does not satisfy one about the national and international or more of the conditions described in requirements that apply to the train- paragraph (a) of this section— ing, and shall not himself or herself be (1) The Coast Guard will so notify the involved in the training and assess- offeror of the training by letter, enclos- ment of students. ing a report of the observations and (D) Each person evaluating or moni- conclusions; toring the training shall have access to (2) The offeror may, within a period all appropriate documents and facili- specified in the notice, either appeal ties, and shall have opportunities both the observations or conclusions to the to observe all appropriate activities Commandant (G-MOC) or bring the and to conduct confidential interviews training into compliance; and when necessary. (3) If the appeal is denied—or the de- (E) Arrangements must be such as to ficiency is not corrected in the allotted ensure that no person evaluating or time, or within any additional period monitoring the training is penalized or judged by the Coast Guard to be appro- rewarded, directly or indirectly, by the priate, considering progress toward sponsor of the training for making any compliance—the Coast Guard will re- particular observations or for reaching move the training from the list main- any particular conclusions. tained under paragraph (b) of this sec- (11) Each person conducting the ini- tion until it can verify full compliance; tial evaluation under paragraph and it may deny applications for li- (a)(10)(ii)(A) of this section or the peri- censes for STCW endorsement based in odic monitoring of the training under whole or in part on training not on the paragraph (a)(10)(ii)(B) of this section list, until additional training or assess- shall communicate his or her conclu- ment is documented. sions to the Commanding Officer, Na- tional Maritime Center, NMC–42, 100 [CGD 95–062, 62 FR 34531, June 26, 1997, as Forbes Drive, Martinsburg WV 25404, amended by USCG-1998–4442, 63 FR 52189, within 1 month of the completion of Sept. 30, 1998; USCG-2004–18884, 69 FR 58342, the evaluation or the monitoring. Sept. 30, 2004; USCG–2007–29018, 72 FR 53964, Sept. 21, 2007; USCG–2008–0906, 73 FR 56508, (12) Each offeror of the training shall Sept. 29, 2008] let the Coast Guard or someone authorized by the Coast Guard observe the records of a student’s performance and Subpart D—Professional Require- records otherwise relating to para- ments for Deck Officers’ Li- graphs (a)(1) through (10) of this sec- censes tion. (b) The Coast Guard will maintain a § 10.401 Ocean and near coastal li- list of training each of whose offerors censes. submits a certificate, initially not less (a) Any license issued for service as than 45 calendar days before offering master or mate on ocean waters quali- training under this section, and annu- fies the licensee to serve in the same ally thereafter, signed by the offeror or grade on any waters, subject to the

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limitations of the license, without ad- for service on vessels of 200 gross tons ditional endorsement. or less see individual license require- (b) A license issued for service as ments. master or mate on near coastal waters (g) In order to obtain a master or qualifies the licensee to serve in the mate license with a tonnage limit same grade on near coastal, Great above 200 gross tons, or a license for 200 Lakes, and inland waters, subject to gross tons or less with an ocean route, the limitations of the license, without whether an original, raise in grade, or additional endorsement. increase in the scope of license author- (c) Near coastal licenses of any gross ity to a higher tonnage category, the tons require the same number of years applicant must successfully complete of service as the ocean unlimited li- the following training and examination censes. The primary differences in requirements: these licenses are the nature of the (1) Approved firefighting course; service and the professional examina- (2) Approved radar observer course; tion as explained in subpart I of this and, part. (d) A licensee having a master or (3) Qualification as an able seaman mate near coastal license obtained unlimited or able seaman limited (able with ocean service may have the li- seaman special or able seaman offshore cense endorsed for ocean service by supply vessels satisfy the able seaman completing the appropriate examina- requirement for licenses permitting tion deficiencies, provided that the ad- service on vessels of 1600 gross tons and ditional service requirements of para- less). graph (e) of this section do not apply. (h) Each applicant for a deck license (e) Master or third mate near coastal which authorizes service on vessels unlimited licenses may be obtained by above 1600 gross tons on ocean or near completing the prescribed examination coastal waters, whether original or in subpart I of this part and satisfying raise of grade, must pass a practical the requirements of paragraph (g) signaling examination (flashing light). while holding a license as unlimited A license applicant who fails in prac- master or mate, respectively, upon tical signaling, but passes every other Great Lakes and inland waters. To part of the examination, may be issued have a near coastal unlimited license a license with a 1600 gross ton limita- obtained in this manner endorsed for tion. The tonnage limitation can be re- ocean service, the licensee must obtain moved upon successful completion of 12 months of service as a deck watch the signaling examination. officer or higher on ocean waters on vessels of 1600 gross tons or over, in ad- [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as dition to completing the examination amended at 54 FR 135, Jan. 4, 1989] topics. § 10.402 Tonnage requirements for (f) Masters and mates licenses for ocean or near coastal licenses for service on vessels of over 200 gross tons vessels of over 1600 gross tons. may be endorsed for sail or auxiliary sail as appropriate. The applicant must (a) To qualify for an ocean or near present the equivalent total qualifying coastal license for vessels of any gross service required for conventional li- tons, all the required experience must censes including at least one year of be obtained on vessels of over 200 gross deck experience on that specific type of tons. At least one-half of the required vessel. For example, for a license as experience must be obtained on vessels master of vessels of not more than 1600 of over 1600 gross tons. gross tons endorsed for auxiliary sail, (b) If the applicant for an original or the applicant must meet the total ex- raise of grade of a license as master or perience requirements for the conven- mate does not have the service on ves- tional license, including time as mate, sels over 1600 gross tons required by and the proper tonnage experience, in- paragraph (a) of this section, or is cluding at least one year of deck serv- qualifying for third mate under the ice on appropriately sized auxiliary provisions of paragraph § 10.407(c) of sail vessels. For license endorsement this subpart, a tonnage limitation is

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placed on the license based on the ap- er grade license is raised to the ton- plicant’s qualifying experience. The li- nage of the vessel on which the major- cense is limited to the maximum ton- ity of the service was performed. The nage on which at least 25 percent of the total cumulative service before and required experience was obtained, or after issuance of the limited license 150 percent of the maximum tonnage may be considered in removing all ton- on which at least 50 percent of the nage limitations. service was obtained, whichever is (3) When the applicant has 12 months higher. Limitations are in multiples of of service as able seaman on vessels 1000 gross tons, using the next higher over 1600 gross tons while holding a li- figure when an intermediate tonnage is cense as third mate, all tonnage limita- calculated. When the calculated limitations on the third mate’s license are re- tion equals or exceeds 10,000 gross tons, moved. the applicant is issued an unlimited (d) Individuals holding licenses as tonnage license. master or mate of vessels of not more (c) Tonnage limitations imposed than 1600 gross tons, not more than 500 under paragraph (b) of this section may gross tons, or not more than 25–200 be raised or removed in the following gross tons are prohibited from using manner: the provisions of paragraph (c) of this (1) When the applicant has six section to increase the tonnages of months of service on vessels of over their licenses. 1600 gross tons in the highest grade licensed, all tonnage limitations are re- [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as moved. amended at 54 FR 135, Jan. 4, 1989] (2) When the applicant has a total of six months of service on vessels of over § 10.403 Structure of deck licenses. 1600 gross tons in any licensed capacity The following diagram illustrates the other than the highest grade for which deck license structure, including cross licensed, all tonnage limitations for over points. The section numbers on the grade in which the service is per- the diagram refer to the specific re- formed are removed and the next high- quirements applicable.

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[CGD 81–059, 52 FR 38623, Oct. 16, 1987, as amended at 54 FR 136, Jan. 4, 1989; USCG–1999–6224, 64 FR 63226, Nov. 19, 1999; 68 FR 35810, June 17, 2003]

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§ 10.404 Service requirements for mas- imum allowable substitution of six ter of ocean or near coastal steam months (12 months of experience equals or motor vessels of any gross tons. 6 months of creditable service); or, The minimum service required to (c) A licensed master of Great Lakes qualify an applicant for license as mas- and inland steam or motor vessels of ter of ocean or near coastal steam or any gross tons or master of inland motor vessels of any gross tons is: steam or motor vessels of any gross (a) One year of service as chief mate tons, may obtain a license as second on ocean steam or motor vessels; or, mate of ocean or near coastal steam or (b) One year of service on ocean motor vessels of any gross tons by steam or motor vessels while holding a completing the prescribed examination license as chief mate of ocean steam or in subpart I of this part. motor vessels as follows: [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as (1) A minimum of six months of serv- amended at 54 FR 138, Jan. 4, 1989] ice as chief mate; and, (2) Service as officer in charge of a § 10.407 Service requirements for third navigational watch accepted on a two- mate of ocean or near coastal steam for-one basis (12 months as second or or motor vessels of any gross tons. third mate equals six months of cred- (a) The minimum service or training itable service). required to qualify an applicant for license as third mate of ocean or near § 10.405 Service requirements for chief coastal steam or motor vessels of any mate of ocean or near coastal steam or motor vessels of any gross tons. gross tons is: (1) Three years of service in the deck The minimum service required to department on ocean steam or motor qualify an applicant for license as chief vessels, six months of which shall have mate of ocean or near coastal steam or been as able seaman, boatswain, or motor vessels of any gross tons is one quartermaster, while holding a certifi- year of service as officer in charge of a cate as able seaman. Experience gained navigational watch on ocean steam or in the engine department on vessels of motor vessels while holding a license appropriate tonnage may be creditable as second mate. for up to three months of the service requirements for this license; or, § 10.406 Service requirements for second mate of ocean or near coastal (2) Graduation from: steam or motor vessels of any gross (i) The U.S. Merchant Marine Acad- tons. emy (deck curriculum); The minimum service required to (ii) The U.S. Coast Guard Academy qualify an applicant for license as sec- and qualification as an underway offi- ond mate of ocean or near coastal cer in charge of a navigational watch; steam or motor vessels of any gross (iii) The U.S. Naval Academy and tons is: qualification as an underway officer in (a) One year of service as officer in charge of a navigational watch; or, charge of a navigational watch on (iv) The deck class of a maritime ocean steam or motor vessels while academy approved by and conducted holding a license as third mate; or, under rules prescribed by the Maritime (b) While holding a license as third Administrator and listed in part 310 of mate of ocean steam or motor vessels this title, including the ocean option of any gross tons, 12 months of service program in the deck class of the Great on deck as follows: Lakes Maritime Academy; or, (1) A minimum of six months service (3) Satisfactory completion of a three as officer in charge of a deck watch on year apprentice mate training program ocean steam or motor vessels; in com- approved by the Commandant. bination with, (b) Graduation from the deck class of (2) Service on ocean steam or motor the Great Lakes Maritime Academy vessels as boatswain, able seaman, or with no ocean sea service will qualify quartermaster while holding a certifi- the graduate to be examined for a li- cate as able seaman, which may be ac- cense as third mate near coastal steam cepted on a two-for-one basis to a max- or motor vessels of any gross tons.

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(c) While holding a license as master a master, mate master or mate (pilot) of ocean or near coastal steam or of towing vessels, or equivalent super- motor vessels of not more than 1,600 visory position while holding a license gross tons, one year of service as mas- as master, mate master or mate (pilot) ter on vessels of over 200 gross tons op- of towing vessels. One year of the serv- erating on ocean or near coastal waters ice as master, mate master or mate will qualify the applicant for a license (pilot) of towing vessels, or equivalent as third mate of ocean or near coastal supervisory position must have been on steam or motor vessels of any gross vessels of over 100 gross tons; or, tons. (b) An applicant holding a license as [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as chief mate or second mate of ocean or amended by USCG 2002–13213, 67 FR 64315, near coastal steam or motor vessels of Oct. 18, 2002] over 1600 gross tons is eligible for this § 10.410 Requirements for deck li- license upon completion of a limited censes for vessels of not more than examination. 1600 gross tons. [CGD 81–059, 54 FR 138, Jan. 4, 1989, as amend- (a) Licenses as master and mate of ed by USCG–1999–6224, 64 FR 63228, Nov. 19, vessels of not more than 1600 gross tons 1999; 66 FR 20936, Apr. 26, 2001] are issued in the following tonnage categories: § 10.414 Service requirements for mate (1) Not more than 1,600 gross tons; of ocean steam or motor vessels of (2) Not more than 500 gross tons; or, not more than 1600 gross tons. (3) Between 25–200 gross tons in 50 ton The minimum service required to increments and with appropriate mode qualify an applicant for a license as of propulsion such as steam or motor, mate of ocean steam or motor vessels sail, or auxiliary sail. of not more than 1600 gross tons is: (b) Experience gained in the engine (a) Three years total service in the department on vessels of appropriate deck department of ocean or near tonnage may be creditable for up to 25 percent of the service requirements for coastal steam or motor, sail, or auxil- any mate license in this category. iary sail vessels. Service on Great (c) A license in this category ob- Lakes and inland waters may sub- tained with an orally-assisted examina- stitute for up to 18 months of the re- tion will be limited to 500 gross tons. In quired service. One year of the required order to raise that tonnage limit to service must have been on vessels of 1,600 gross tons, the written examina- over 100 gross tons. One year of the re- tion and service requirements must be quired service must have been as a satisfied. master, mate master or mate (pilot) of towing vessels, or equivalent super- [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as amended at 54 FR 138, Jan. 4, 1989] visory position while holding a license as master, mate master or mate (pilot) § 10.412 Service requirements for mas- of towing vessels. Six months of the re- ter of ocean or near coastal steam quired service as master, mate master or motor vessels of not more than or mate (pilot) of towing vessels, or 1600 gross tons. equivalent supervisory position must The minimum service required to have been on vessels of over 100 gross qualify an applicant for a license as tons; or, master of ocean or near coastal steam (b) Three years total service in the or motor vessels of not more than 1600 deck department on ocean or near gross tons is: coastal steam or motor, sail, or auxil- (a) Four years total service on ocean iary sail vessels of over 200 gross tons. or near coastal waters. Service on Six months of the required service Great Lakes and inland waters may substitute for up to two years of the re- must have been as able seaman. quired service. Two years of the re- [CGD 81–059, 54 FR 138, Jan. 4, 1989, as amend- quired service must have been on ves- ed by USCG–1999–6224, 64 FR 63228, Nov. 19, sels of over 100 gross tons. Two years of 1999; 66 FR 20936, Apr. 26, 2001] the required service must have been as

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§ 10.416 Service requirements for mate routes and completion of a limited ex- of near coastal steam or motor ves- amination. sels of not more than 1600 gross tons. [CGD 81–059, 54 FR 138, Jan. 4, 1989, as amended by USCG–1999–6224, 64 FR 63228, Nov. 19, The minimum service required to 1999] qualify an applicant for a license as mate of near coastal steam or motor § 10.420 Service requirements for mate vessels of not more than 1600 gross tons of ocean steam or motor vessels of is two years total service in the deck not more than 500 gross tons. department of ocean or near coastal The minimum service required to steam or motor, sail, or auxiliary sail qualify an applicant for a license as vessels. Service on Great Lakes and in- mate of ocean steam and motor vessels land waters may substitute for up to of not more than 500 gross tons is two one year of the required service. One years total service in the deck depart- year of the required service must have ment of ocean or near coastal steam or been on vessels of over 100 gross tons. motor, sail, or auxiliary sail vessels. Six months of the required service Service on Great Lakes and inland wa- must have been as able seaman, boat- ters may substitute for up to one year swain, quartermaster, or equivalent po- of the required service. One year of the sition on vessels of over 100 gross tons required service must have been as a while holding a certificate as able sea- master, mate, or equivalent super- man. visory position while holding a license as master, mate, or operator of [CGD 81–059, 54 FR 138, Jan. 4, 1989] uninspected passenger vessels. Six § 10.418 Service requirements for mas- months of the required service as master of ocean or near coastal steam ter, mate, or equivalent supervisory or motor vessels of not more than position must have been on vessels of 500 gross tons. over 50 gross tons. The minimum service required to [CGD 81–059, 54 FR 138, Jan. 4, 1989, as amend- qualify an applicant for a license as ed by USCG–1999–6224, 64 FR 63228, Nov. 19, master of ocean or near coastal steam 1999] or motor vessels of not more than 500 gross tons is: § 10.421 Service requirements for mate (a) Three years total service on ocean of near coastal steam or motor ves- or near coastal waters. Service on sels of not more than 500 gross tons. Great Lakes and inland waters may The minimum service required to substitute for up to 18 months of the qualify an applicant for a license as required service. Two years of the re- mate of near coastal steam or motor quired service must have been as a vessels of not more than 500 gross tons master, mate, or equivalent super- is two years total service in the deck visory position while holding a license department of ocean or near coastal as master, mate, or operator of steam or motor, sail, or auxiliary sail uninspected passenger vessels. One vessels. Service on Great Lakes and in- year of the required service as master, land waters may substitute for up to mate, or equivalent supervisory posi- one year of the required service. One tion must have been on vessels of over year of the required service must have 50 gross tons. been on vessels of over 50 gross tons. (b) The holder of a license as master Three months of the required service or mate (pilot) of towing vessels au- must have been as able seaman, boat- thorizing service on oceans or near- swain, quartermaster, or equivalent po- coastal routes is eligible for a license sition on vessels of over 50 gross tons as master of ocean or near-coastal while holding a certificate as able sea- steam or motor vessels of not more man. than 500 gross tons after both 1 year of [CGD 81–059, 54 FR 138, Jan. 4, 1989] service as master or mate of towing vessels on oceans or near-coastal

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§ 10.422 Tonnage limitations and quali- less, the license will be limited to ves- fying requirements for licenses as sels of not more than 25 gross tons. master or mate of vessels of not [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as more than 200 gross tons. amended by CGD 81–059, 54 FR 139, Jan. 4, (a) Except as noted in paragraph (e), 1989] all licenses issued for master or mate of vessels of not more than 200 gross § 10.424 Service requirements for master of ocean steam or motor vessels tons are issued in 50 gross ton incre- of not more than 200 gross tons. ments based on the applicant’s quali- (a) The minimum service required to fying experience. The license is limited qualify an applicant for a license as to the maximum tonnage on which at master of ocean steam or motor vessels least 25 percent of the required experi- of not more than 200 gross tons is: ence was obtained, or 150 percent of the (1) Three years total service on ocean maximum tonnage on which at least 50 or near coastal waters. Service on percent of the service was obtained, Great Lakes and inland waters may whichever is higher. Limitations are in substitute for up to 18 months of the multiples of 50 gross tons using the required service. Two years of the re- next higher figure when an inter- quired service must have been as mas- mediate tonnage is calculated. ter, mate, or equivalent supervisory (b) The tonnage limitation on these position while holding a license as licenses may be raised upon completion master, as mate, or as operator of of: uninspected passenger vessels; or, (1) At least 45 days of additional serv- (2) Two years total service as a li- ice on deck on a vessel of a higher ton- censed master or mate of ocean or nage for a tonnage increase on a mate’s near-coastal towing vessels. Comple- license; or, tion of a limited examination is also (2) At least 90 days of additional serv- required. ice on deck on a vessel of a higher ton- (b) In order to obtain an endorsement on this license for sail or auxiliary sail nage for a tonnage increase on a mas- vessels, the applicant must submit evi- ter’s license; or, dence of 12 months of service on sail or (3) Additional service, which, when auxiliary sail vessels. The required 12 combined with all previously accumu- months of service may have been ob- lated service, will qualify the applicant tained prior to issuance of the master’s for a higher tonnage license under the license. basic formula; or, (c) In addition to any required exam- (4) Six months additional service in ination, the applicant must comply the deck department on vessels within with the requirements listed in the highest tonnage increment on the § 10.401(g) of this subpart. license. In this case, the tonnage limi- [CGD 81–059, 54 FR 139, Jan. 4, 1989, as amend- tation may be raised one increment. ed by USCG–1999–6224, 64 FR 63228, Nov. 19, (c) When the service is obtained on 1999] vessels upon which licensed personnel are not required, the OCMI must be § 10.426 Service requirements for mas- satisfied that the nature of this quali- ter of near coastal steam or motor vessels of not more than 200 gross fying service (i.e., size of vessel, route, tons. equipment, etc.) is a reasonable equiva- (a) The minimum service required to lent to the duties performed on vessels qualify an applicant for a license as which are required to engage licensed master of near coastal steam or motor individuals. vessels of not more than 200 gross tons (d) Service gained in the engine room is: on vessels of not more than 200 gross (1) Two years total service on ocean tons may be creditable for up to 25 per- or near coastal waters. Service on cent of the deck service requirements Great Lakes and inland waters may for mate. substitute for up to one year of the re- (e) When the qualifying service is ob- quired service. One year of the required tained upon vessels of five gross tons or service must have been as a master,

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mate, or equivalent supervisory posi- months of service on sail or auxiliary tion while holding a license as master, sail vessels. as mate, or as operator of uninspected (e) In order to obtain a tonnage en- passenger vessels; or, dorsement of over 100 gross tons, the (2) One year of total service as li- applicant must complete the additional censed master or mate of towing ves- examination topics indicated in sub- sels on oceans or near-coastal routes. part I of this part. Completion of a limited examination is [CGD 81–059, 52 FR 38623, Oct. 16, 1987. Redes- also required. ignated and amended by CGD 81–059, 54 FR (b) In order to obtain an endorsement 139, Jan. 4, 1989] on this license for sail or auxiliary sail vessels, the applicant must submit evi- § 10.428 Service requirements for mas- dence of 12 months of service on sail or ter of near coastal steam or motor auxiliary sail vessels. The required 12 vessels of not more than 100 gross tons. months of service may have been obtained prior to issuance of the master’s (a) The minimum service required to license. qualify an applicant for a license as master of near coastal steam or motor [CGD 81–059, 54 FR 139, Jan. 4, 1989, as amend- vessels of not more than 100 gross tons ed by USCG–1999–6224, 64 FR 63228, Nov. 19, is two years total service in the deck 1999] department of steam or motor, sail, or auxiliary sail vessels on ocean or near § 10.427 Service requirements for mate of near coastal steam or motor ves- coastal waters. Service on Great Lakes sels of not more than 200 gross tons. and inland waters may substitute for up to one year of the required service. (a) The minimum service required to (b) In order to obtain an endorsement qualify an applicant for license as mate on this license for sail or auxiliary sail of near coastal steam or motor vessels vessels, the applicant must submit evi- of not more than 200 gross tons is: dence of 12 months of service on sail or (1) Twelve months total service in auxiliary sail vessels. The required 12 the deck department of ocean or near months of service may have been ob- coastal steam or motor, sail, or auxil- tained prior to issuance of the license. iary sail vessels. Service on Great Lakes and inland waters may sub- [CGD 81–059, 54 FR 139, Jan. 4, 1989] stitute for up to six months of the re- § 10.429 Service requirements for lim- quired service; or, ited master of near coastal steam or (2) Three months of service in the motor vessels of not more than 100 deck department of steam or motor gross tons. vessels operating on ocean, near coast- (a) Limited masters’ licenses for near al, Great Lakes or inland waters while coastal vessels of not more than 100 holding a license as master of inland gross tons may be issued to applicants steam or motor, sail or auxiliary sail to be employed by organizations such vessels of not more than 200 gross tons. as yacht clubs, marinas, formal camps (b) The holder of a license as operator and educational institutions. A license of uninspected passenger vessels with a issued under this section is limited to near coastal route endorsement may the specific activity and the locality of obtain this license by successfully the yacht club, marina or camp. In completing an examination on rules order to obtain this restricted license, and regulations for small passenger an applicant must: vessels. (1) Have four months of service on (c) In order to obtain an endorsement any waters in the operation of the type on this license for sail or auxiliary sail of vessel for which the license is re- vessels, the applicant must submit evi- quested; dence of six months of deck service on (2) Satisfactorily complete a safe sail or auxiliary sail vessels. boating course approved by the Na- (d) A license as master of near coast- tional Association of State Boating al steam or motor vessels may be en- Law Administrators, or a safe boating dorsed as mate of sail or auxiliary sail course conducted by the U.S. Power vessels upon presentation of three Squadron or the American Red Cross,

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or a Coast Guard approved course. This quired experience must be obtained on course must have been completed with- vessels of 1600 gross tons or over. in five years before the date of applica- (b) Tonnage limitations may be im- tion; and, posed on these licenses in accordance (3) Pass a limited examination appro- with § 10.402 (b) and (c). priate for the activity to be conducted and the route authorized. § 10.433 Service requirements for mas- (b) The first aid and cardiopulmonary ter of Great Lakes and inland steam resuscitation (CPR) course certificates or motor vessels of any gross tons. required by § 10.205(h) of this part will The minimum service required to only be required when, in the opinion qualify an applicant for license as mas- of the OCMI, the geographic area over ter of Great Lakes and inland steam or which service is authorized precludes motor vessels of any gross tons is: obtaining medical services within a (a) One year of service as mate or reasonable time. first class pilot while acting in the ca- (c) In order to obtain an endorsement pacity of first mate of Great Lakes on this license for sail or auxiliary sail steam or motor vessels of more than vessels, the applicant must submit evi- 1600 gross tons; or, dence of four months of service on sail (b) Two years of service as master of or auxiliary sail vessels. The required inland (excluding the Great Lakes) four months of service may have been steam or motor vessels of more than obtained prior to issuance of the li- 1600 gross tons; or, cense. (c) One year of service upon Great [CGD 81–059, 54 FR 139, Jan. 4, 1989, as amend- Lakes waters while holding a license as ed by USCG-2000–7790, 65 FR 58458, Sept. 29, mate or first class pilot of Great Lakes 2000] and inland steam or motor vessels of more than 1600 gross tons. A minimum § 10.430 Licenses for the Great Lakes of six months of this service must have and inland waters. been in the capacity of first mate. Any license issued for service on the Service as second mate is accepted for Great Lakes and inland waters is valid the remainder on a two-for-one basis to on all of the inland waters of the a maximum of six months (12 months United States as defined in this part. of service equals six months of cred- Any license issued for service on inland itable service). waters is valid for the inland waters of the United States, excluding the Great § 10.435 Service requirements for mas- Lakes. Licenses with either a Great ter of inland steam or motor vessels Lakes and inland or an inland route of any gross tons. are valid for service on the sheltered The minimum service required to waters of the Inside Passage between qualify an applicant for license as mas- Puget Sound and Cape Spencer, Alas- ter of inland (excluding the Great ka. As these licenses authorize service Lakes) steam or motor vessels of any on waters seaward of the International gross tons is: Regulations for Preventing Collisions (a) One year of service as first class at Sea (COLREGS) demarcation line as pilot (of other than canal and small defined in 33 CFR part 80, the applicant lakes routes) or mate of Great Lakes or must complete an examination on the inland steam or motor vessels of more COLREGS or the license must be en- than 1,600 gross tons; or, dorsed with an exclusion from such wa- (b) Two years of service as ters. wheelsman or quartermaster while [CGD 81–059, 54 FR 139, Jan. 4, 1989] holding a mate/first class pilot license.

§ 10.431 Tonnage requirements for § 10.437 Service requirements for mate Great Lakes and inland licenses for of Great Lakes and inland steam or vessels of over 1600 gross tons. motor vessels of any gross tons. (a) All required experience for Great (a) The minimum service required to Lakes and inland unlimited licenses qualify an applicant for license as mate must be obtained on vessels of over 200 of Great Lakes and inland steam or gross tons. At least one-half of the re- motor vessels of any gross tons is:

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(1) Three years of service in the deck (a) Two years total service in the department of steam or motor vessels, deck department of steam or motor, at least three months of which must sail, or auxiliary sail vessels. One year have been on vessels on inland waters of the required service must have been and at least six months of which must on vessels of over 100 gross tons. Six have been as able seaman, inland mate, months of the required service must boatswain, wheelsman, quartermaster, have been as able seaman, boatswain, or equivalent position; quartermaster, or equivalent position (2) Graduation from the deck class of on vessels of over 100 gross tons while the Great Lakes Maritime Academy; holding a certificate as able seaman; or, or, (3) While holding a license as master (b) One year total service as master of Great Lakes and inland steam or of steam or motor, sail, or auxiliary motor vessels of not more than 1600 sail vessels, or operator of uninspected gross tons, one year service as master passenger vessels, of over 50 gross tons on vessels of over 200 gross tons. while holding a license as master (b) Service gained in the engine de- steam or motor, sail, or auxiliary sail partment on vessels of appropriate ton- vessels of not more than 200 gross tons nage may be creditable for up to six or operator of uninspected passenger months of the service requirements vessels; or, under paragraph (a)(1) of this section. (c) Six months total service as mate (pilot) of towing vessels on vessels of § 10.442 Service requirements for mas- over 100 gross tons. ter of Great Lakes and inland steam or motor vessels of not more than [CGD 81–059, 54 FR 140, Jan. 4, 1989, as amend- 1600 gross tons. ed by USCG–1999–6224, 64 FR 63228, Nov. 19, 1999] The minimum service required to qualify an applicant for a license as § 10.446 Service requirements for mas- master of Great Lakes and inland ter of Great Lakes and inland steam steam or motor vessels of not more or motor vessels of not more than than 1600 gross tons is: 500 gross tons. (a) Three years total service on ves- The minimum service required to sels. Eighteen months of the required qualify an applicant for a license as service must have been on vessels of master of Great Lakes and inland over 100 gross tons. One year of the re- steam or motor vessels of not more quired service must have been as a than 500 gross tons is: master, mate, or equivalent super- (a) Three years total service on ves- visory position on vessels of over 100 sels. One year of the required service gross tons while holding a license as must have been as a master, mate, or master, as mate, or as master of tow- equivalent supervisory position on ves- ing vessels; or, sels of over 50 gross tons while holding (b) Six months of service as operator a license as master, as mate, or as op- on vessels of over 100 gross tons while erator of uninspected passenger ves- holding a license as master of towing sels. vessels. (b) An applicant holding a license as master of ocean, near coastal, or Great [CGD 81–059, 54 FR 140, Jan. 4, 1989, as amend- Lakes and inland towing vessels is eli- ed by USCG–1999–6224, 64 FR 63228, Nov. 19, 1999] gible for this license after six months of service as master of towing vessels § 10.444 Service requirements for mate and completion of a limited examina- of Great Lakes and inland steam or tion. This requires three and one-half motor vessels of not more than 1600 years of service. Two years of this serv- gross tons. ice must have been served while hold- The minimum service required to ing a license as master or mate (pilot) qualify an applicant for license as mate of towing vessels, or mate. of Great Lakes and inland steam or [CGD 81–059, 54 FR 140, Jan. 4, 1989, as amend- motor vessels of not more than 1600 ed by USCG 1999–6224, 64 FR 63228, Nov. 19, gross tons is: 1999]

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§ 10.448 Service requirements for mate § 10.452 Service requirements for mas- of Great Lakes and inland steam or ter of Great Lakes and inland steam motor vessels of not more than 500 or motor vessels of not more than gross tons. 200 gross tons. The minimum service required to (a) The minimum service required to qualify an applicant for a license as qualify an applicant for a license as mate of Great Lakes and inland steam master of Great Lakes and inland or motor vessels of not more than 500 steam or motor vessels of not more gross tons is two years total service in than 200 gross tons is one year of service on vessels. Six months of the re- the deck department of steam or quired service must have been as mas- motor, sail, or auxiliary sail vessels. ter, mate, or equivalent supervisory One year of the required service must position while holding a license as have been on vessels of over 50 gross master, mate, master or mate (pilot) of tons. Three months of the required towing vessels, or operator of service must have been as able seaman, uninspected passenger vessels. To ob- boatswain, quartermaster, or equiva- tain authority to serve on the Great lent position on vessels of over 50 gross Lakes, three months of the required tons while holding a certificate as able service must have been on Great Lakes seaman. waters, otherwise the license will be [CGD 81–059, 54 FR 140, Jan. 4, 1989] limited to the inland waters of the United States (excluding the Great § 10.450 Tonnage limitations and quali- Lakes). fying requirements for licenses as (b) In order to obtain an endorsement master or mate of Great Lakes and on this license for sail or auxiliary sail inland vessels of not more than 200 vessels, the applicant must have six gross tons. months of service on sail or auxiliary sail vessels. The required six months of (a) Except as noted in subparagraph service may have been obtained prior (d), all licenses issued for master or to issuance of the master’s license. mate of vessels of not more than 200 gross tons are issued in 50 ton incre- [CGD 81–059, 54 FR 140, Jan. 4, 1989, as amend- ments based on the applicants quali- ed by USCG–1999–6224, 64 FR 63228, Nov. 19, fying experience in accordance with 1999] the provisions of § 10.422. See the ton- § 10.454 Service requirements for mate nage and qualifying service discussion of Great Lakes and inland steam or in § 10.422 for further clarification. motor vessels of not more than 200 (b) Service gained in the engineroom gross tons. on vessels of not more than 200 gross (a) The minimum service required to tons may be creditable for up to 25 per- qualify an applicant for a license as cent of the deck service requirements mate of Great Lakes and inland steam for mate. or motor vessels of not more than 200 (c) When the service is obtained on gross tons is six months of service in vessels upon which licensed personnel the deck department of steam or are not required, the OCMI must be motor, sail, or auxiliary sail vessels. satisfied that the nature of this quali- To obtain authority to serve on the fying service (i.e., size of vessel, route, Great Lakes, three months of the re- equipment, etc.) is a reasonable equiva- quired service must have been on Great Lakes waters, otherwise the license lent to the duties performed on vessels will be limited to the inland waters of which are required to engage licensed the United States (excluding the Great individuals. Lakes). (d) When the qualifying service is ob- (b) In order to obtain an endorsement tained upon vessels of five gross tons or on this license for sail or auxiliary sail less, the license will be limited to ves- vessels, the applicant must submit evi- sels of not more than 25 gross tons. dence of three months of service on sail or auxiliary sail vessels. (c) A license as master of steam or motor vessels may be endorsed as mate

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of sail or auxiliary sail vessels upon organizations such as formal camps, presentation of three months service educational institutions, yacht clubs, on sail or auxiliary sail vessels. and marinas with reduced service re- (d) The holder of a license as operator quirements. A license issued under this of inland uninspected passenger vessels paragraph is limited to the specific ac- may obtain this license by successfully tivity and the locality of the camp, completing an examination on rules yacht club or marina. In order to ob- and regulations for small passenger tain this restricted license, an appli- vessels. To obtain authority to serve cant must: on the Great Lakes, three months of (a) Have four months of service in the the required service must have been on operation of the type of vessel for Great Lakes waters, otherwise the license will be limited to the inland wa- which the license is requested; and, ters of the United States (excluding the (b) Satisfactorily complete a safe Great Lakes). boating course approved by the Na- (e) In order to obtain a tonnage en- tional Association of State Boating dorsement of over 100 gross tons, the Law Administrators, a public edu- applicant must complete the additional cation course conducted by the U.S. examination topics indicated in sub- Power Squadron or the American Red part I of this part. Cross, or a Coast Guard approved course. This course must have been [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as amended at 54 FR 140, Jan. 4, 1989] completed within five years before the date of application; and, § 10.455 Service requirements for mas- (c) Pass a limited examination appro- ter of Great Lakes and inland steam priate for the activity to be conducted or motor vessels of not more than and the route authorized. 100 gross tons. (d) The first aid and cardiopulmonary (a) The minimum service required to resuscitation (CPR) course certificates qualify an applicant for a license as required by § 10.205(h) of this part will master of Great Lakes and inland only be required when, in the opinion steam or motor vessels of not more of the OCMI, the geographic area over than 100 gross tons is one year of total which service is authorized precludes service in the deck department of obtaining medical services within a steam or motor, sail, or auxiliary sail reasonable time. vessels. To obtain authority to serve on the Great Lakes, three months of [CGD 81–059, 52 FR 38623, Oct. 16, 1987. Redes- the required service must have been on ignated and amended by CGD 81–059, 54 FR Great Lakes waters, otherwise the li- 140, Jan. 4, 1989; USCG–2000–7790, 65 FR 58458, cense will be limited to the inland wa- Sept. 29, 2000] ters of the United States (excluding the § 10.457 Service requirements for mas- Great Lakes). ter of inland steam or motor vessels (b) In order to obtain an endorsement of not more than 100 gross tons. on this license for sail or auxiliary sail vessels, the applicant must submit evi- (a) An applicant for a license as mas- dence of six months of service on sail ter of inland steam or motor vessels of or auxiliary sail vessels. The required not more than 100 gross tons must six months of service may have been present one year of service on any wa- obtained prior to issuance of the li- ters. In order to raise the tonnage limi- cense. tation over 100 gross tons, the examination topics indicated in subpart I of [CGD 81–059, 54 FR 140, Jan. 4, 1989] this part must be completed in addi- § 10.456 Service requirements for lim- tion to satisfying the experience re- ited master of Great Lakes and in- quirements of § 10.452(a). land steam or motor vessels of not (b) In order to obtain an endorsement more than 100 gross tons. on this license for sail or auxiliary sail Limited masters’ licenses for vessels vessels, the applicant must submit evi- of not more than 100 gross tons upon dence of six months of service on sail Great Lakes and inland waters may be or auxiliary sail vessels. The required issued to applicants to be employed by six months of service may have been

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obtained prior to issuance of the li- of towing vessels, or operator of cense. uninspected passenger vessels. [CGD 81–059, 52 FR 38623, Oct. 16, 1987. Redes- (1) To qualify for a license of not ignated and amended by CGD 81–059, 54 FR more than 500 gross tons, at least two 141, Jan. 4, 1989] years of the required service, including the one year as master, mate or equiv- § 10.459 Service requirements for mas- alent, must have been on vessels of ter or mate of rivers. over 50 gross tons. (a) An applicant for a license as mas- (2) To qualify for a license of not ter of river steam or motor vessels of more than 1600 gross tons, at least two any gross tons must meet the same years of the required service, including service requirements as master of in- the one year as master, mate or equiv- land steam or motor vessels of any alent, must have been on vessels of gross tons. over 100 gross tons. (b) An applicant for a license as mas- (3) To qualify for a license of over ter or mate of river steam or motor 1600 gross tons, but not more than 5000 vessels, with a limitation of 25–1600 gross tons, the vessel tonnage upon gross tons, must meet the same service which the four years of required service requirements as those required by this was obtained will be used to compute subpart for the corresponding tonnage the tonnage. The license is limited to Great Lakes and inland steam or motor the maximum tonnage on which at license. Service on the Great Lakes is least 25 percent of the required service not, however, required. was obtained, or 150 percent of the [CGD 81–059, 54 FR 141, Jan. 4, 1989] maximum tonnage on which at least 50 percent of the service was obtained, § 10.462 Licenses for master or mate of whichever is higher. Limitations are in uninspected fishing industry ves- multiples of 1000 gross tons, using the sels. next higher figure when an inter- (a) This section applies to licenses mediate tonnage is calculated. A li- for masters and mates of all vessels, cense as master of uninspected fishing however propelled, navigating the high industry vessels authorizing service on seas, which are documented to engage vessels over 1600 gross tons also re- in the fishing industry, with the excep- quires one year as master, mate or tion of: equivalent on vessels over 100 gross (1) Wooden ships of primitive build; tons. (2) Unrigged vessels; and, (4) The tonnage limitation on this li- (3) Vessels of less than 200 gross tons. cense may be raised using one of the (b) Licenses as master or mate of following methods, but cannot exceed uninspected fishing industry vessels 5000 gross tons. Limitations are in mul- are issued for either ocean or near tiples of 1000 gross tons, using the next coastal routes, depending on the exam- higher figure when an intermediate ination completed. To qualify for an tonnage is calculated. uninspected fishing industry vessel li- (i) Three months service as master on cense, the applicant must satisfy the a vessel results in a limitation in that training and examination requirements capacity equal to the tonnage of that of § 10.401(g) of this subpart. vessel rounded up to the next multiple (c) An applicant for a license as mas- of 1000 gross tons; ter of uninspected fishing industry ves- (ii) Six months service as master on sels must have four years of total serv- a vessel results in a limitation in that ice on ocean or near coastal routes. capacity equal to 150% of the tonnage Service on Great Lakes or inland wa- of that vessel; ters may substitute for up to two years (iii) Six months service as master on of the required service. One year of the vessels over 1600 gross tons results in required service must have been as li- raising the limitation to 5000 gross censed master, as unlicensed master, or tons; as licensed mate or equivalent super- (iv) Six months service as mate on visory position while holding a license vessels over 1600 gross tons results in as master, mate, master or mate (pilot) raising the limitation for master to the

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tonnage on which at least 50 percent of (iii) Six months service as mate on the service was obtained; vessels over 1600 gross tons results in (v) Two years service as a deckhand raising the limitation to 5000 gross on a vessel while holding a license as tons; master results in a limitation on the (iv) One year of service as deckhand master’s license equal to 150% of the on vessels over 1600 gross tons while tonnage of that vessel up to 5000 gross holding a license as mate, results in tons; or, raising the limitation on the mate’s li- (vi) One year of service as deckhand cense to 5000 gross tons; on a vessel while holding a license as (v) Two years service as a deckhand master results in a limitation on the on a vessel while holding a license as master’s license equal to the tonnage of that vessel. mate results in a limitation on the (d) An applicant for a license as mate mate’s license equal to 150% of the ton- of uninspected fishing industry vessels nage of that vessel up to 5000 gross must have three years of total service tons; or, on ocean or near coastal routes. Serv- (vi) One year of service as deckhand ice on Great Lakes or inland waters on a vessel while holding a license as may substitute for up to 18 months of mate results in a limitation on the the required service. mate’s license equal to the tonnage of (1) To qualify for a license of not that vessel. more than 500 gross tons, at least one (e) Applicants may request an oral year of the required service must have examination on the subjects listed in been on vessels of over 50 gross tons. subpart I of this part. (2) To qualify for a license of not more than 1600 gross tons, at least one [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as year of the required service must have amended at 54 FR 141, Jan. 4, 1989; USCG– been on vessels of over 100 gross tons. 1999–6224, 64 FR 63228, Nov. 19, 1999] (3) To qualify for a license of over § 10.463 General requirements for li- 1600 gross tons, but not more than 5000 censes for master, mate (pilot), and gross tons, the vessel tonnage upon apprentice mate (steersman) of tow- which the three years of required serving vessels. ice was obtained will be used to compute the tonnage. The license is lim- (a) The Coast Guard issues the fol- ited to the maximum tonnage on which lowing licenses: at least 25 percent of the required serv- (1) Master of towing vessels. ice was obtained, or 150 percent of the (2) Master of towing vessels, limited. maximum tonnage on which at least 50 (3) Mate (pilot) of towing vessels. percent of the service was obtained, (4) Mate (pilot) of towing vessels, whichever is higher. Limitations are in limited. multiples of 1000 gross tons, using the (5) Apprentice mate (steersman). next higher figure when an inter- (6) Apprentice mate (steersman), lim- mediate tonnage is calculated. ited. (4) The tonnage limitation on this li- (b) A license as master of towing ves- cense may be raised using one of the sels means a license to operate towing following methods, but cannot exceed vessels not restricted to local areas 5000 gross tons. Limitations are in mul- designated by OCMIs. This also applies tiples of 1000 gross tons, using the next higher figure when an intermediate to a mate (pilot) of towing vessels. tonnage is calculated. (c) For this section, limited means a (i) Three months service as mate on a license to operate a towing vessel of vessel results in a limitation in that less than 200 gross tons limited to a capacity equal to the tonnage of that local area within the Great Lakes, in- vessel rounded up to the next multiple land waters, or Western Rivers des- of 1000 gross tons; ignated by the OCMI. (ii) Six months service as mate on a [USCG–1999–6224, 64 FR 63228, Nov. 19, 1999, as vessel results in a limitation in that amended at 66 FR 20936, Apr. 26, 2001; 68 FR capacity equal to 150% of the tonnage 35812, June 17, 2003] of that vessel;

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§ 10.464 Requirements for licenses as of Table 10.464–1, then you must com- master of towing vessels. plete the service requirements indicated in columns 2 through 5. You may (a) If you would like to obtain a li- serve on the subordinate routes listed cense as master of towing vessels en- in column 6, without further endorse- dorsed with a route listed in column 1 ment.

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(b) If you would like to obtain a li- quirements listed in columns 2 through cense as master of towing vessels (lim- 5 of Table 10.464–2. ited), then you must complete the re-

(c) If you hold a license as mate master of towing vessels if before May (pilot) of towing vessels, you may have 21, 2004, you complete the examination master of towing vessels (limited) required by 46 CFR 10.903(a)(18)(i) and added to your license for a limited meet either of the following two re- local area within the scope of your cur- quirements: rent route. (1) Three years of service, including— (d) Before you serve as master of tow- (i) Two years on deck aboard a vessel ing vessels on the Western rivers, you 8 meters (26 feet) or more in length; must possess 90 days of observation and (ii) One year on deck aboard a towing training and have your license en- vessel, with at least 6 months of train- dorsed for Western Rivers. ing or duty in the wheelhouse of the (e) Each company must maintain evi- towing vessel; and dence that every vessel it operates is under the direction and control of a li- (iii) Three months in each particular censed mariner with appropriate expe- geographic area for which you are rience, including 30 days of observation seeking authority; or and training on the intended route (2) Three years of service aboard tow- other than Western Rivers. ing vessels, including— (f) If you hold a license as a master of (i) One year on deck, with at least 6 inspected, self-propelled vessels of months of training or duty in the greater than 200 gross register tons, wheelhouse of the towing vessel; and you may operate towing vessels within (ii) Three months in each particular any restrictions on your license if geographic area for which you are you— seeking authority. (1) Have 30 days of training and ob- Your license does not need a towing servation on towing vessels for the endorsement if you hold a TOAR or a route being assessed, except as noted in course completion certificate. paragraph (e) of this section; and (2) Either— [USCG–1999–6224, 64 FR 63228, Nov. 19, 1999, as (i) Hold a completed Towing Officer’s amended at 66 FR 20937, Apr. 26, 2001; 68 FR Assessment Record (TOAR) described 35812, June 17, 2003; USCG–2008–0906, 73 FR in § 10.304(h) that shows evidence of as- 56508, Sept. 29, 2008] sessment of practical demonstration of EFFECTIVE DATE NOTE: By USCG–2006– skills; or 26202, 73 FR 52794, Sept. 11, 2008, § 10.464 was (ii) Complete an approved training amended in paragraph (f) introductory text, course. by removing the words ‘‘inspected, self-pro- (3) Your license does not need a tow- pelled’’ and adding, in their place, the words ing endorsement if you hold a TOAR or ‘‘steam or motor’’; and by revising paragraph complete an approved training course. (f)(1), effective Oct. 14, 2008. For the convenience of the user, the revised text is set forth (g) If you began your service or train- as follows: ing in the towing industry before May 21, 2001, you may receive a license as

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§ 10.464 Requirements for licenses as master 1 of Table 10.465–1, then you must com- of towing vessels. plete the service in columns 2 through 5. If you hold a license as master of * * * * * towing vessels (limited) and would like (f) * * * to upgrade it to mate (pilot) of towing (1) Have a minimum of 30 days of training vessels, then you must complete the and observation on towing vessels for the service in columns 5 and 6. If you hold route being assessed, except as noted in para- a license as mate (pilot) of towing ves- graph (e) of this section; and sels (limited) and would like to upgrade it to mate (pilot) of towing ves- * * * * * sels, then you must complete the service in columns 2 through 5 and pass a § 10.465 Requirements for licenses as limited examination. A license with a mate (pilot) of towing vessels. route endorsed in column 1 authorizes (a) If you would like to obtain a li- service on the subordinate routes listed cense as mate (pilot) of towing vessels in column 7, without further endorse- endorsed with a route listed in column ment.

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(b) Before you serve as mate (pilot) of and training and have your license en- towing vessels on the Western Rivers, dorsed for Western Rivers. you must possess 90 days of observation (c) Each company must maintain evidence that every vessel it operates is

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under the direction and control of a li- (i) At least 3 months of training or censed mariner with appropriate expe- duty in the wheelhouse of towing ves- rience, including 30 days of observation sels, and 3 months of service in each and training on the intended route particular geographic area for which other than Western Rivers. you seek endorsement on the license; (d) If you hold a license as a mate of and inspected, self-propelled vessels of (ii) At least 6 months on towing ves- greater than 200 gross register tons or sels while holding a merchant mari- one as first-class pilot, then you may ner’s document endorsed as able sea- operate towing vessels within any re- man unlimited, able seaman limited, or strictions on your license if you— able seaman special, including 3 (1) Have 30 days of training and ob- months in each particular geographic servation on towing vessels for the area for which you seek an endorse- route being assessed, except as noted in ment; and either— paragraph (b) of this section; and (A) Two months of training or duty (2) Hold a completed Towing Officer’s in the wheelhouse; or Assessment Record (TOAR) described (B) One month of training or duty in in § 10.304(h) that shows evidence of as- the wheelhouse combined with comple- sessment of practical demonstration of tion of a course of training as towboat skills. operator approved by the Commanding Your license does not need a towing Officer, National Maritime Center, endorsement if you hold a TOAR or a under subpart C of this part. course completion certificate. (e) An approved training course for [USCG–1999–6224, 64 FR 63232, Nov. 19, 1999, as mate (pilot) of towing vessels must in- amended at 66 FR 20940, Apr. 26, 2001; 68 FR 35814, June 17, 2003] clude formal instruction and practical demonstration of proficiency either on EFFECTIVE DATE NOTE: By USCG–2006– board a towing vessel or at a shoreside 26202, 73 FR 52794, Sept. 11, 2008, § 10.465 was training facility before a designated amended, effective Oct. 14, 2008, by: examiner, and must cover the material a. Amending paragraph (a) by adding the following sentence to the end of the para- (dependent upon route) required by graph; § 10.910–2 for apprentice mate b. Revising table 10.465–1 to read as follows; (steersman), towing vessels on ocean c. In paragraph (d) introductory text, re- and near coastal routes; apprentice moving the words ‘‘inspected, self-propelled’’ mate (steersman), towing vessels on and adding, in their place, the words ‘‘steam Great Lakes and inland routes; or, or motor’’; steersman, towing vessels on Western d. Revising paragraph (d)(1) to read as fol- Rivers routes. lows; and e. Redesignating existing paragraphs (e) (f) If you began your service or train- and (f) as paragraphs (f) and (g) and adding ing before May 21, 2001, you may renew paragraph (e). For the convenience of ceive a license as mate of towing ves- the user, the added and revised text is set sels if before November 21, 2003, you forth as follows: complete the examination required by § 10.903(a)(18)(i) and meet the require- § 10.465 Requirements for licenses as mate (pilot) of towing vessels. ments in either paragraph (f)(1)(i) or (f)(1)(ii) of this section: (a) * * * Time of service requirements as an apprentice mate (steersman) of towing (1) You must have served at least 18 vessels may be reduced by an amount equal months on deck, including 12 months to the time specified in the approval letter on towing vessels. This service must for the completed Coast Guard-approved have included— training programs.

TABLE 10.465–1—REQUIREMENTS FOR LICENSE AS MATE (PILOT 1) OF TOWING VESSELS

1 2 3 4 5 6 7

3 TOS on T/V 3 4 30 days of observation and Total as apprentice TOS on TOAR or training while holding master Subordi- Route endorsed serv- mate particular an approved (limited) and pass a limited nate route ice 2 route course authorized (steersman) 5 examination

(1) OCEANS (O) ...... 30 12 of 30 ...... 3 of 12 ... YES ...... YES ...... NC, GL–I (2) NEAR-COASTAL (NC) .... 30 12 of 30 ...... 3 of 12 ... YES ...... YES ...... GL–I

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TABLE 10.465–1—REQUIREMENTS FOR LICENSE AS MATE (PILOT 1) OF TOWING VESSELS— Continued

1 2 3 4 5 6 7

(3) GREAT LAKES-INLAND 30 12 of 30 ...... 3 of 12 ... YES ...... YES. (GL–I). (5) WESTERN RIVERS (WR) 30 12 of 30 ...... 3 of 12 ... YES ...... NO (90-days service required). 1 For all inland routes, as well as Western Rivers, the license 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 TOAR is Towing Officers’ Assessment Record. 5 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.

* * * * * (3) Successfully completing the appropriate apprentice mate exam; and (d) * * * (4) Having a minimum of 30 days of train- (1) Have a minimum of 30 days of training ing and observation on towing vessels for the and observation on towing vessels for the route being assessed, except as noted in para- route being assessed, except as noted in paragraph (b) of this section. graph (b) of this section; and * * * * * * * * * * (e) If you hold any license as a master of § 10.466 Requirements for licenses as steam or motor vessels of any tonnage that apprentice mate (steersman) of tow- is 200 GRT or less, except for the limited ing vessels. masters’ licenses specified in 46 CFR 10.429 (a) As Table 10.466–1 shows, if you and 10.456, then you may obtain an endorse- would like to obtain a license as ap- ment as mate (pilot) of towing vessels by prentice mate (steersman) of towing meeting the following requirements: vessels listed in column 1, endorsed (1) Providing proof of 36 months of service as a master under the authority of a license with a route listed in column 2, then described in paragraph (e) of this section; you must complete the service require- (2) Successfully completing the appro- ments indicated in columns 3 through priate TOAR; 6.

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(b) If you hold a license as apprentice (steersman). This endorsement will go mate (steersman) of towing vessels you on your license after you pass an exam- may obtain a restricted endorsement ination for a route that is not included as limited apprentice mate in the current endorsements and on

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which you have no operating experi- paragraph will be limited to the spe- ence. Upon completion of 3 months of cific activity and the locality of the experience on that route, you may camp, yacht club, or marina. In order have the restricted endorsement re- to obtain this restricted license, an ap- moved. plicant must: [USCG–1999–6224, 64 FR 63234, Nov. 19, 1999, as (1) Have three months service in the amended at 66 FR 20942, Apr. 26, 2001; 68 FR operation of the type of vessel for 35816, June 17, 2003] which the license is requested; and, (2) Satisfactorily complete a safe § 10.467 Licenses for operators of uninspected passenger vessels of boating course approved by the Na- less than 100 gross tons. tional Association of State Boating Law Administrators, or those public (a) This section applies to all appli- education courses conducted by the cants for the license to operate an uninspected vessel of less than 100 U.S. Power Squadron or the American gross tons, equipped with propulsion National Red Cross or a Coast Guard machinery of any type, carrying six or approved course; and, less passengers. (3) Pass a limited examination appro- (b) Operator of uninspected passenger priate for the activity to be conducted vessels licenses issued for ocean waters and the route authorized. will be limited to near coastal waters (4) The first aid and cardiopulmonary not more than 100 miles offshore. Li- resuscitation (CPR) course certificates censes issued for inland waters will in- required by § 10.205(h) of this part will clude all inland waters, except Great only be required when, in the opinion Lakes. Licenses may be issued for a of the OCMI, the geographic area over particular local area under paragraph which service is authorized precludes (g) of this section. obtaining medical services within a (c) For a license as operator of an reasonable time. uninspected passenger vessel with a (h) An applicant for a license as oper- near coastal endorsement, an applicant ator of uninspected passenger vessels must have a minimum of 12 months ex- who intends to serve only in the vicin- perience in the operation of vessels, in- ity of Puerto Rico, and who speaks cluding at least three months service Spanish only, may be issued a license on vessels operating on ocean or near coastal waters. restricted to the navigable waters of (d) For a license as operator of an the United States in the vicinity of uninspected passenger vessel with a Puerto Rico. Great Lakes and inland waters en- [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as dorsement, an applicant must have 12 amended at 54 FR 142, Jan. 4, 1989. Redesig- months service on Great Lakes or in- nated by USCG–1999–6224, 64 FR 63234, Nov. land waters, including at least three 19, 1999, as amended by USCG–2000–7790, 65 months service operating vessels on FR 58458, Sept. 29, 2000. Redesignated by Great Lakes waters. USCG–1999–6224, 64 FR 63234, Nov. 19, 1999, as (e) For a license as operator of an amended by USCG–1999–6224, Oct. 27, 2000; uninspected passenger vessel with an USCG–1999–6224, 66 FR 20940, Apr. 26, 2001; inland endorsement, an applicant must USCG–2005–22329, 70 FR 57183, Sept. 30, 2005] have a minimum of 12 months experience in the operation of vessels. § 10.468 Licenses for mobile offshore (f) An operator of uninspected pas- drilling units. senger vessels license, limited on its Licenses for service on mobile off- face to undocumented vessels, may be shore drilling units (MODUs) authorize issued to a person who is not a citizen service on units of any gross tons upon of the United States. ocean waters while on location or while (g) Limited operator of uninspected underway, as restricted on the license, passenger vessel licenses may be issued except when moving independently to applicants to be employed by organi- under their own power. zations such as formal camps, yacht clubs, educational institutions, and [CGD 81–059a, 55 FR 14799, Apr. 18, 1990] marinas. A license issued under this

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§ 10.470 Licenses for offshore installa- toolpusher, or operator representative tion manager. position; (a) Licenses as offshore installation (iv) A certificate from a firefighting manager (OIM) are endorsed as: training course as required by § 10.205(g) of this part; and (1) OIM Unrestricted; (3) Provide a recommendation signed (2) OIM Surface Units on Location; by a senior company official which: (3) OIM Surface Units Underway; (i) Provides a description of the ap- (4) OIM Bottom Bearing Units on Lo- plicant’s experience and qualifications; cation; or (ii) Certifies that the individual has (5) OIM Bottom Bearing Units Under- successfully directed, while under the way. supervision of an experienced rig (b) To qualify for a license or en- mover, two rig moves each of surface dorsement as OIM Unrestricted, an ap- units and of bottom bearing units; and plicant must: (iii) Certifies that one of the rig (1) Present evidence of the following moves required under paragraph experience: (b)(3)(ii) of this section was completed (i) Four years of employment as- within one year preceding date of ap- signed to MODUs including at least one plication. year of service as driller, assistant (c) An applicant for an endorsement driller, toolpusher, assistant as OIM Unrestricted who holds an un- toolpusher, barge supervisor, mechan- limited license as master or chief mate ical supervisor, electrician, crane oper- must satisfy the requirements in para- ator, ballast control operator or equiv- graphs (b)(2) and (b)(3) of this section alent supervisory position on MODUs, and have at least 84 days of service on with a minimum of 14 days of that su- surface units and at least 28 days of pervisory service on surface units; or service on bottom bearing units. (ii) A degree from a program in engi- (d) To qualify for a license or en- neering or engineering technology dorsement as OIM Surface Units on Lo- which is accredited by the Accredita- cation, and applicant must: tion Board for Engineering and Tech- (1) Present evidence of the following nology (ABET). Commanding Officer, experience: National Maritime Center will give (i) Four years of employment as- consideration to accepting education signed to MODUs including at least one credentials from programs having year of service as driller, assistant other than ABET accreditation. An ap- driller, toolpusher, assistant plicant qualifying through a degree toolpusher, barge supervisor, mechan- program must also have at least 168 ical supervisor, electrician, crane oper- days of service as driller, assistant ator, ballast control operator or equiv- driller, toolpusher, assistant alent supervisory position on MODUs, toolpusher, barge supervisor, mechan- with a minimum of 14 days of that su- ical supervisor, electrician, crane oper- pervisory service on surface units; or ator, ballast control operator, or equiv- (ii) A degree from a program in engi- alent supervisory position on MODUs, neering or engineering technology with a minimum of 14 days of that su- which is accredited by the Accredita- pervisory service on surface units; tion Board for Engineering and Tech- (2) Present evidence of training nology (ABET). Commanding Officer, course completion as follows: National Maritime Center will give (i) A certificate from a Coast Guard consideration to accepting education approved stability course approved for credentials from programs having an OIM Unrestricted license or en- other than ABET accreditation. An ap- dorsement; plicant qualifying through a degree (ii) A certificate from a Coast Guard program must also have at least 168 approved survival suit and survival days of service as driller, assistant craft training course; driller, toolpusher, assistant (iii) A certificate from a U.S. Min- toolpusher, barge supervisor, mechan- erals Management Service approved ical supervisor, electrician, crane oper- blowout prevention and well control ator, ballast control operator or equiv- training program for the driller, alent supervisory position of MODUs,

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with a minimum of 14 days of that su- mover, five rig moves of surface units; pervisory service on surface units; and and (2) Present evidence of training (D) Certifies that one of the rig course completion as follows: moves required under paragraph (i) A certificate from a Coast Guard (f)(1)(ii)(C) of this section was com- approved stability course approved for pleted within one year preceding date an OIM Surface Units license or en- of application; and dorsement; (2) Present evidence of training (ii) A certificate from a Coast Guard course completion as follows: approved survival suit and survival (i) A certificate from a Coast Guard craft training course; approved stability course approved for (iii) A certificate from a U.S. Min- an OIM Surface Units license or en- erals Management Service approved dorsement; blowout prevention and well control (ii) A certificate from a Coast Guard training program for the driller, approved survival suit and survival toolpusher, or operator representative craft training course; and position; and (iii) A certificate from a firefighting (iv) A certificate from a firefighting training course as required by training course as required by § 10.205(g) of this part. § 10.205(g) of this part. (g) An applicant for endorsement as (e) An applicant for an endorsement OIM Surface Units Underway who as OIM Surface Units on Location who holds an unlimited license as master or holds an unlimited license as master or chief mate must satisfy the require- chief mate must satisfy the requirements in paragraph (f)(2) of this section ments of paragraph (d)(2) of this sec- and provide a company recommendation and have at least 84 days of service tion signed by a senior company offi- on surface units. cial which: (f) To qualify for a license as OIM (1) Provides a description of the ap- Surface Units Underway, an applicant plicant’s experience and qualifications; must: (2) Certifies that the individual has (1) Provide the following: successfully directed, while under the (i) Evidence of the experience de- supervision of an experienced rig scribed in paragraph (d)(1) of this sec- mover, three rig moves on surface tion and a recommendation signed by a units; and senior company official which: (3) Certifies that one of the rig moves (A) Provides a description of the ap- required under paragraph (g)(2) of this plicant’s experience and qualifications; section was completed within one year (B) Certifies that the individual has preceding date of application. successfully directed, while under the (h) To qualify for a license or en- supervision of an experienced rig dorsement as OIM Bottom Bearing mover, three rig moves of surface Units on Location, an applicant must: units; and (1) Present evidence of the following (C) Certifies that one of the rig experience: moves required under paragraph (i) Four years of employment as- (f)(1)(i)(B) of this section was com- signed to MODUs including at least one pleted within one year preceding date year of service as driller, assistant of application; or driller, toolpusher, assistant (ii) A recommendation signed by a toolpusher, barge supervisor, mechan- senior company official which: ical supervisor, electrician, crane oper- (A) Provides a description of the ap- ator, ballast control operator or equiv- plicant’s experience and company alent supervisory position on MODUs; qualifications program completed; or (B) Certifies that the applicant has (ii) A degree from a program in engi- witnessed ten rig moves either as an neering or engineering technology observer in training or as a rig mover which is accredited by the Accredita- under supervision; tion Board for Engineering and Tech- (C) Certifies that the individual has nology (ABET). Commanding Officer, successfully directed, while under the National Maritime Center will give supervision of an experienced rig consideration to accepting education

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credentials from programs having observer in training or as a rig mover other than ABET accreditation. An ap- under supervision; plicant qualifying through a degree (C) Certifies that the individual has program must also have at least 168 successfully directed, while under the days of service as driller, assistant supervision of an experienced rig driller, toolpusher, assistant mover, five rig moves of bottom bear- toolpusher, barge supervisor, mechan- ing units; and ical supervisor, electrician, crane oper- (D) Certifies that one of the rig ator, ballast control operator or equiv- moves required under paragraph alent supervisory position on MODUs; (j)(1)(ii)(C) of this section was com- and pleted within one year preceding date (2) Present evidence of training of application; and course completion as follows: (2) Present evidence of training (i) A certificate from a Coast Guard course completion as follows: approved survival suit and survival (i) A certificate from a Coast Guard craft training course; approved stability course approved for (ii) A certificate from a U.S. Minerals OIM Bottom Bearing Units license or Management Service approved blowout endorsement; prevention and well control training (ii) A certificate from a Coast Guard program for the driller, toolpusher, or approved survival suit and survival operator representative position; and craft training course; and (iii) A certificate from a firefighting (iii) A certificate from a firefighting training course as required by training course as required by § 10.205(g) of this part. § 10.205(g) of this part; (i) An applicant for an endorsement (k) An applicant for endorsement as as OIM Bottom Bearing Units on Loca- OIM Bottom Bearing Units Underway tion who holds an unlimited license as who holds an unlimited license as mas- master or chief mate must satisfy ter or chief mate must satisfy the re- paragraph (h)(2) of this section and quirements in paragraph (j)(2) of this have at least 28 days of service on bot- section and provide a company rec- tom bearing units. ommendation signed by a senior com- (j) To qualify for a license or endorse- pany official which: ment as OIM Bottom Bearing Units (1) Provides a description of the ap- Underway, an applicant must: plicant’s experience and qualifications; (1) Provide the following: (2) Certifies that the individual has (i) Evidence of the experience de- successfully directed, while under the scribed in paragraph (h)(1) of this sec- supervision of an experienced rig tion with a recommendation signed by mover, three rig moves of bottom bear- a senior company official which: ing units; and (A) Provides a description of the ap- (3) Certifies that one of the rig moves plicant’s experience and qualifications; required under paragraph (k)(2) of this (B) Certifies that the individual has section was completed within one year successfully directed, while under the preceding date of application. supervision of an experienced rig mover, three rig moves of bottom bear- [CGD 81–059a, 55 FR 14799, Apr. 18, 1990, as ing units; and amended by CGD 95–072, 60 FR 50460, Sept. 29, (C) Certifies that one of the rig 1995; CGD 95–028, 62 FR 51195, Sept. 30, 1997; moves required under paragraph USCG–1998–4442, 63 FR 52189, Sept. 30, 1998] (j)(1)(i)(B) of this section was completed within one year preceding date § 10.472 License for barge supervisor. of application; or (a) To qualify for a license or en- (ii) A recommendation signed by a dorsement as barge supervisor (BS), an senior company official which: applicant must: (A) Provides a description of the ap- (1) Present evidence of the following plicant’s experience and company experience: qualifications program completed; (i) Three years of employment as- (B) Certifies that the applicant has signed to MODUs including at least 168 witnessed ten rig moves either as an days of service as driller, assistant

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driller, toolpusher, assistant tool push- (i) One year of employment assigned er, mechanic, electrician, crane oper- to MODUs including at least 28 days of ator, subsea specialist, ballast control service as a trainee under the super- operator or equivalent supervisory po- vision of a licensed ballast control op- sition on MODUs. At least 84 days of erator; or that service shall have been as a bal- (ii) A degree from a program in engi- last control operator or barge super- neering or engineering technology visor trainee; or which is accredited by the Accredita- (ii) A degree from a program in engi- tion Board for Engineering and Tech- neering or engineering technology nology (ABET). Commanding Officer, which is accredited by the Accredita- National Maritime Center will give tion Board for Engineering and Tech- consideration to accepting education nology (ABET). Commanding Officer, credentials from programs having National Maritime Center will give other than ABET accreditation. An ap- consideration to accepting education plicant qualifying through a degree credentials from programs having program must also have at least 28 other than ABET accreditation. An ap- days of service as a trainee under the plicant qualifying through a degree supervision of a licensed ballast con- program must also have at least 168 trol operator; and days of service as driller, assistant (2) Present evidence of training driller, toolpusher, assistant course completion as follows: toolpusher, mechanic, electrician, (i) A certificate from a Coast Guard crane operator, subsea specialist, bal- approved stability course approved for last control operator or equivalent su- a barge supervisor or ballast control pervisory position on MODUs. At least operator license or endorsement; 84 days of that service shall have been as a ballast control operator or barge (ii) A certificate from a Coast Guard supervisor trainee; and approved survival suit and survival (2) Present evidence of training craft training course; and course completion as follows: (iii) A certificate from a firefighting (i) A certificate from a Coast Guard training course as required by approved stability course approved for § 10.205(g) of this part. a barge supervisor license or endorse- (b) An applicant for an endorsement ment; as BCO who holds an unlimited license (ii) A certificate from a Coast Guard as master, mate, chief engineer, or as- approved survival suit and survival sistant engineer must satisfy the re- craft training course; and quirements in paragraph (a)(2) of this (iii) A certificate from a firefighting section and have at least 28 days of training course as required by service as a trainee under the super- § 10.205(g) of this part. vision of a licensed ballast control op- (b) An applicant for an endorsement erator. as BS who holds an unlimited license [CGD 81–059a, 55 FR 14801, Apr. 18, 1990, as as master or mate must satisfy the re- amended by CGD 95–072, 60 FR 50460, Sept. 29, quirements in paragraph (a)(2) of this 1995; CGD 95–028, 62 FR 51196, Sept. 30, 1997; section and have at least 84 days of USDA–1998–4442, 63 FR 52189, Sept. 30, 1998] service as ballast control operator or barge supervisor trainee. § 10.476 Acknowledgments of service and temporary licenses for mobile [CGD 81–059a, 55 FR 14801, Apr. 18, 1990, as offshore drilling units. amended by CGD 95–072, 60 FR 50460, Sept. 29, 1995; CGD 95–028, 62 FR 51195, Sept. 30, 1997; (a) Prior to January 1, 1991, unli- USCG–1998–4442, 63 FR 52189, Sept. 30, 1998] censed individuals who served in positions on MODUs equivalent to OIM, § 10.474 License for ballast control op- BS, or BCO may make application for a erator. Coast Guard acknowledgment of serv- (a) To qualify for a license or en- ice or a temporary license, both of dorsement as ballast control operator which authorize a continuation of serv- (BCO), an applicant must: ice in that position. To be eligible, (1) Present evidence of the following these individuals must have served in experience: that position between July 1, 1987 and

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June 30, 1990, and meet the following tional Rules. Endorsement as Radar requirements: Observer (Rivers) is valid only on any (1) Coast Guard acknowledgment of river, canal, or similar body of water service. designated by the OCMI, but not be- (i) To obtain a Coast Guard acknowl- yond the boundary line. edgment of service, the applicant must (d) Except as provided by paragraphs provide a letter from a senior company (e) and (f) of this section, each appli- official of the company worked for. cant for a Radar-Observer endorsement This letter must provide: or for renewal of an endorsement must (A) Name of vessel(s) served on; complete the appropriate course ap- (B) MODU license which the individ- proved by the Coast Guard, receive the ual’s position is equivalent to; and (C) Period of service. appropriate certificate of training, and (ii) The Coast Guard acknowledg- present the certificate to the OCMI. ment of service is valid for one year (e) An applicant who possesses a and is not renewable. Radar-Observer endorsement, resides in (2) Temporary license. a remote geographic area, and can sub- (i) To obtain a temporary license, the stantiate to the satisfaction of the applicant must: OCMI that the applicant’s absence will (A) Provide a letter from a senior disrupt normal movement of com- company official of the company merce, or that the applicant cannot at- worked for. This letter must provide: tend an approved Radar-Observer re- (1) Name of vessel(s) served on; newal course, may have his or her en- (2) MODU license which the individ- dorsement renewed upon successful ual’s position is equivalent to; and completion of an examination adminis- (3) Period of service; and tered by the Coast Guard, or by a third (B) Provide evidence of 120 days of party acceptable to the Coast Guard. service in a position equivalent to the (f) Except as provided by paragraph license endorsement sought. (k) of this section, a Radar-Observer (ii) a temporary license is valid for endorsement issued under this section five years and is not renewable. is valid for 5 years after the month of (b) Acknowledgments or temporary issuance of the certificate of training licenses obtained using the provisions from a course approved by the Coast of this section will restrict service au- Guard. It is not terminated by the thority to vessels operated by the com- issuance of a new license during these pany which has certified service. 5 years. [CGD 81–059a, 55 FR 14802, Apr. 18, 1990] (g) The month and year of the expiration of the Radar-Observer endorse- § 10.480 Radar observer. ment are printed on the license. (a) This section contains the require- (h) A Radar-Observer endorsement ments that an applicant must meet to may be renewed at any time. qualify as a radar observer. (Part 15 of (i) An applicant for renewal of a li- this chapter specifies who must qualify cense that does not need a Radar-Ob- as a radar observer.) server endorsement may renew the li- (b) If an applicant meets the require- cense without meeting the requirements of this section, one of the fol- ments for the endorsement. lowing Radar-Observer endorsements will be added to his or her deck offi- (j) An applicant seeking to raise the cer’s license: grade of a license or increase its scope, (1) Radar Observer (Unlimited). where the increased grade or scope re- (2) Radar Observer (Inland Waters quires a Radar-Observer certificate, and GIWW). may use an expired certificate to fulfill (3) Radar Observer (Rivers). that requirement. (c) Endorsement as Radar Observer (k) The renewal date of a Radar-Ob- (Unlimited) is valid on all waters. En- server endorsement may be extended dorsement as Radar Observer (Inland beyond the normal 5-year duration to Waters and GIWW) is valid only for coincide with the renewal date of the those waters other than the Great license to which it pertains. This ex- Lakes covered by the Inland Naviga- tension may not exceed 2 years and

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will be necessary only once, to syn- meets the appropriate requirements of chronize the two renewal dates. STCW Regulation II/2. (b) The OCMI may exempt an appli- [CGD 94–041, 62 FR 11305, Mar. 11, 1997] cant from meeting any requirement EFFECTIVE DATE NOTE: By USCG–2006– under STCW Regulation II/2 that the 26202, 73 FR 52795, Sept. 11, 2008, § 10.480 was OCMI determines to be inappropriate amended in paragraph (f), by removing ‘‘Ex- or unnecessary for service on an OSV, cept as provided by paragraph (k) of this section,’’; and by removing paragraphs (g) and or that the applicant meets under the (k), and redesignatig paragraphs (h), (i), and equivalency provisions of Article IX of (j) as (g), (h), and (i), respectively, effective STCW. Oct. 14, 2008. [CGD 95–062, 62 FR 34532, June 26, 1997]

§ 10.482 Assistance towing. § 10.495 Chief Mate (OSV). (a) This section contains the require- (a) Except as provided by paragraph ments to qualify for an endorsement (b) of this section, to qualify for a li- authorizing an applicant to engage in cense as Chief Mate (OSV), an appli- assistance towing. The endorsement cant shall present evidence that he or applies to all licenses except those for she meets the appropriate require- master and mate (pilot) of towing ves- ments of STCW Regulation II/2. sels and those for master or mate au- (b) The OCMI may exempt an appli- thorizing service on inspected vessels cant from meeting any requirement over 200 gross tons. Holders of any of under STCW Regulation II/2 that the these licenses may engage in assistance OCMI determines to be inappropriate towing within the scope of the licenses or unnecessary for service on an OSV, and without the endorsement. or that the applicant meets under the (b) An applicant for an assistance equivalency provisions of Article IX of towing endorsement shall pass a writ- STCW. ten examination demonstrating his or her knowledge of assistance towing [CGD 95–062, 62 FR 34532, June 26, 1997] safety, equipment, and procedures. (c) An assistance towing endorsement § 10.497 Mate (OSV). on a license as master, mate, or oper- (a) Except as provided by paragraph ator authorizes the holder to engage in (b) of this section, to qualify for a li- assistance towing on any vessel within cense as Mate (OSV), an applicant shall the scope of the license. present evidence that he or she meets (d) The period of validity of the en- the appropriate requirements of STCW dorsement is the same as the license on Regulation II/1. which it is endorsed, and it may be re- (b) The OCMI may exempt an appli- newed with the license. cant from meeting any requirement under STCW Regulation II/1 that the [CGD 87–017, 53 FR 18562, May 24, 1988, as OCMI determines to be inappropriate amended by USCG-1999–6224, 64 FR 63235, Nov. 19, 1999] or unnecessary for service on an OSV, or that the applicant meets under the § 10.491 Licenses for service on off- equivalency provisions of Article IX of shore supply vessels. STCW. Each license for service on offshore [CGD 95–062, 62 FR 34532, June 26, 1997] supply vessels (OSVs) authorizes service on OSVs as defined in 46 U.S.C. Subpart E—Professional Require- 2101(19) and as interpreted under 46 ments for Engineer Officers’ Li- U.S.C. 14104(b), subject to any restrictions placed on the license. censes [CGD 95–062, 62 FR 34532, June 26, 1997] § 10.501 Grade and type of engineer licenses issued. § 10.493 Master (OSV). (a) Licenses are issued in the grades (a) Except as provided by paragraph of: (b) of this section, to qualify for a li- (1) Chief engineer; cense as Master (OSV), an applicant (2) First assistant engineer; shall present evidence that he or she (3) Second assistant engineer;

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(4) Third assistant engineer; (b) If a licensed applicant desires to (5) Chief engineer (limited); obtain an endorsement on an engineer (6) Assistant engineer (limited); license in the other propulsion mode (7) Designated duty engineer; (steam or motor), the following alter- (8) Chief engineer uninspected fishing native methods, while holding a license industry vessels; and, in that grade, are acceptable: (9) Assistant engineer uninspected (1) Four months of service as an ob- fishing industry vessels. server in the same licensed capacity on (b) Engineer licenses issued in the vessels of the other propulsion mode; grades of chief engineer (limited) and (2) Four months of service as a li- assistant engineer (limited) of steam censed officer at a lower license level and/or motor vessels allow the holder on vessels of the other propulsion to serve within any horsepower limita- mode; tions on vessels of any gross tons on in- (3) Six months of service as oiler, land waters and of not more than 1600 watertender, or junior engineer on ves- gross tons in ocean, near coastal or sels of the other propulsion mode; or, Great Lakes service in the following (4) Completion of a Coast Guard ap- manner: proved training course for this endorse- (1) Assistant engineer (limited— ment. oceans) may serve on ocean waters; (c) Applicants for an original, raise in (2) Chief engineer (limited—near grade, or increase in the scope, of an coastal) may serve on near coastal wa- engineer license, other than an in- ters; and, crease in horsepower limitation, who (3) Chief engineer (limited-oceans) have not previously done so must meet may serve on ocean waters. the requirements of § 10.205(g) of this (c) Engineer licenses issued in the part. grades of designated duty engineer of [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as steam and/or motor vessels allow the amended at 54 FR 142, Jan. 4, 1989] holder to serve within stated horsepower limitations on vessels of not § 10.503 Horsepower limitations. more than 500 gross tons in the fol- (a) Engineer licenses of all grades and lowing manner: types may be subject to horsepower (1) Designated duty engineers limited limitations. Other than as provided in to vessels of not more than 1000 horse- § 10.524 for the designated duty engineer power or 4000 horsepower may serve license, the horsepower limitation only on near coastal or inland waters; placed on a license is based on the ap- (2) Designated duty engineers with no plicant’s qualifying experience consid- horsepower limitations may serve on ering the total shaft horsepower of any waters. each vessel on which the applicant has (d) Engineer licenses are endorsed to served. authorize service on either steam or (b) When an applicant for an original motor vessels or may be endorsed for or raise of grade of an engineer license, both modes of propulsion. other than a designated duty engineer (e) A person holding an engineer li- license, has not obtained at least 50 cense which is restricted to near coast- percent of the required qualifying expe- al waters may serve within the limita- rience on vessels of 4,000 or more horse- tions of the license upon near coastal, power, a horsepower limitation is Great Lakes, and inland waters. placed on the license based on the ap- [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as plicant’s qualifying experience. The li- amended at 54 FR 142, Jan. 4, 1989] cense is limited to the maximum horsepower on which at least 25 per- § 10.502 Additional requirements for cent of the required experience was ob- engineer licenses. tained, or 150 percent of the maximum (a) For all original and raise of grade horsepower on which at least 50 per- of engineer licenses, at least one-third cent of the service was obtained, of the minimum service requirements whichever is higher. Limitations are in must have been obtained on the par- multiples of 1000 horsepower, using the ticular mode of propulsion for which next higher figure when an inter- applied. mediate horsepower is calculated.

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When the limitation as calculated as second assistant engineer: removal equals or exceeds 10,000 horsepower, an of all horsepower limitations on third unlimited horsepower license is issued. assistant engineer’s license. (c) The following service on vessels of (d) Raising or removing horsepower 4,000 horsepower or over will be consid- limitations based on service required ered qualifying for the raising or re- by paragraph (c) of this section may be moving of horsepower limitations granted without further written exam- placed on engineer licenses: ination providing the Officer in Charge, (1) Six months of service in the high- Marine Inspection who issued the ap- est grade licensed: removal of all horsepower limitations. plicant’s license, considers further ex- (2) Six months of service in any li- amination unnecessary. censed capacity other than the highest grade for which licensed: Removal of § 10.504 Application of deck service for limited engineer licenses. all horsepower limitations for the grade in which service is performed and Service gained in the deck depart- raise the next higher grade license to ment on vessels of appropriate tonnage the horsepower of the vessel on which may substitute for up to 25 percent or service was performed. The total cumu- 6 months, whichever is less, of the serv- lative service before and after issuance ice requirement for a license as chief of the limited license may be consid- engineer (limited), assistant engineer ered in removing all horsepower limi- (limited), or designated duty engineer. tations. (3) Twelve months of service as oiler [CGD 81–059, 54 FR 142, Jan. 4, 1989] or junior engineer while holding a license as third assistant engineer or as- § 10.505 Engineer license structure. sistant engineer (limited-oceans): re- The following diagram illustrates the moval of all horsepower limitations on engineering license structure including third assistant engineer or assistant cross over points. The section numbers engineer’s (limited-oceans) license. on the diagram refer to the specific re- (4) Six months of service as oiler or quirements applicable. junior engineer while holding a license

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[CGD 81–059, 52 FR 38623, Oct. 16, 1987. Redesignated and amended by CGD 81–059, 54 FR 142, Jan. 4, 1989]

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§ 10.510 Service requirements for chief assistant engineer of steam and/or engineer of steam and/or motor ves- motor vessels is: sels. (1) Three years of service in the The minimum service required to engineroom of vessels, two years of qualify an applicant for license as chief which must have been as a qualified engineer of steam and/or motor vessels member of the engine department; is: (2) Three years of service as an ap- (a) One year of service as first assist- prentice to the machinist trade en- ant engineer; or, gaged in the construction or repair of (b) One year of service while holding marine, locomotive, or stationary en- a license as first assistant engineer. A gines, together with one year service in minimum of six months of this service the engineroom as oiler, watertender, must have been as first assistant engi- or junior engineer; neer. Service as an assistant engineer (3) Graduation from: is accepted on a two-for-one basis to a (i) The U.S. Merchant Marine Acad- maximum of six months (12 months of service as a second or third assistant emy (engineering curriculum); engineer equals six months of cred- (ii) The U.S. Coast Guard Academy itable service). and completion of an on-board engineer officer qualification program required § 10.512 Service requirements for first by the service; assistant engineer of steam and/or (iii) The U.S. Naval Academy and motor vessels. completion of an on-board engineer of- The minimum service required to ficer qualification program required by qualify an applicant for license as first the service; assistant engineer of steam and/or (iv) The engineering class of a Mari- motor vessels is one year of service as time Academy approved by and con- an assistant engineer, while holding a ducted under the rules prescribed by license as second assistant engineer. the Maritime Administrator and listed in part 310 of this title; § 10.514 Service requirements for second assistant engineer of steam (4) Graduation from the marine engi- and/or motor vessels. neering course of a school of tech- The minimum service required to nology accredited by the Accreditation qualify an applicant for license as sec- Board for Engineering and Technology, ond assistant engineer of steam and/or together with three months of service motor vessels is: in the engine department of steam or (a) One year of service as an assistant motor vessels; engineer, while holding a license as (5) Graduation from the mechanical third assistant engineer; or, or electrical engineering course of a (b) One year of service while holding school of technology accredited by the a license as third assistant engineer Accreditation Board for Engineering which includes: and Technology, together with six (1) A minimum of six months of serv- months of service in the engine depart- ice as third assistant engineer; and, ment of steam or motor vessels; (2) Additional service as a qualified (6) Satisfactory completion of a member of the engine department, cal- three-year apprentice engineers train- culated on a two-for-one basis; or, ing program approved by the Com- (c) One year of service as chief engi- manding Officer, National Maritime neer (limited-oceans) of steam or Center; or, motor vessels, and completing the ap- (7) One year of service as chief engi- propriate examination described in neer (limited-near coastal) of steam or subpart I of this part. motor vessels and completing the ap- § 10.516 Service requirements for third propriate examination described in assistant engineer of steam and/or subpart I of this part. motor vessels. (b) Experience gained in the deck de- (a) The minimum service required to partment on vessels of 100 gross tons or qualify an applicant for license as third over can be credited for up to three

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months of the service requirements more than 500 gross tons on certain wa- under paragraph (a)(1) of this section. ters as specified in § 10.501. [CGD 81–059, 52 FR 38623, Oct. 16, 1987 and (b) The service requirements for li- CGD 81–059, 54 FR 132, Jan. 4, 1989, as amend- censes as designated duty engineer are: ed by CGD 95–072, 60 FR 50460, Sept. 29, 1995; (1) For designated duty engineer of USCG-1998–4442, 63 FR 52189, Sept. 30, 1998] steam and/or motor vessels of any horsepower, the applicant must have § 10.518 Service requirements for chief three years of service in the engineer (limited-oceans) of steam and/or motor vessels. engineroom. Eighteen months of this service must have been as a qualified The minimum service required to member of the engine department or qualify an applicant for license as chief equivalent supervisory position. engineer (limited-oceans) of steam and/ (2) For designated duty engineer of or motor vessels is five years total steam and/or motor vessels of not more service in the engineroom of vessels. than 4,000 horsepower, the applicant Two years of this service must have must have two years of service in the been as a licensed engineer. Thirty engineroom. One year of this service months of the service must have been must have been as a qualified member as a qualified member of the engine de- of the engine department or equivalent partment or equivalent supervisory position. supervisory position. (3) For designated duty engineer of § 10.520 Service requirements for chief steam and/or motor vessels of not more engineer (limited-near coastal) of than 1,000 horsepower, the applicant steam and/or motor vessels. must have one year of service in the The minimum service required to engineroom. Six months of this service qualify an applicant for license as chief must have been as a qualified member engineer (limited-near coastal) of of the engine department or equivalent steam and/or motor vessels is four supervisory position. years total service in the engineroom of vessels. One year of this service § 10.530 Licenses for engineers of must have been as a licensed engineer. uninspected fishing industry ves- Two years of the service must have sels. been as a qualified member of the en- (a) This section applies to licenses gine department or equivalent super- for chief and assistant engineers of all visory position. vessels, however propelled, navigating the high seas, which are documented to § 10.522 Service requirements for as- engage in the fishing industry, with sistant engineer (limited-oceans) of the exception of: steam and/or motor vessels. (1) Wooden ships of primitive build; The minimum service required to (2) Unrigged vessels; and, qualify an applicant for license as as- (3) Vessels of less than 200 gross tons. sistant engineer (limited-oceans) of (b) Licenses as chief engineer and as- steam and/or motor vessels is three sistant engineer of uninspected fishing years of service in the engineroom of industry vessels are issued for ocean vessels. Eighteen months of this serv- waters and with horsepower limita- ice must have been as a qualified member of the engine department or equiva- tions in accordance with the provisions lent supervisory position. of § 10.503. (c) For a license as chief engineer, § 10.524 Service requirements for des- the applicant must have served four ignated duty engineer of steam and/ years in the engineroom of vessels. One or motor vessels. year of this service must have been as (a) Designated duty engineer licenses a licensed assistant engineer or equiva- are issued in three levels of horsepower lent supervisory position. limitations dependent upon the total (d) For a license as assistant engi- service of the applicant and completion neer, an applicant must have served of appropriate examination. These li- three years in the engineroom of ves- censes are limited to vessels of not sels.

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(e) Two-thirds of the service required § 10.544 License for assistant engineer under this section must have been on (MODU). motor vessels. To qualify for a license as assistant (f) Applicants may request an orally assisted examination on the subjects engineer (MODU) an applicant must: listed in subpart I of this part. (a) Present evidence of the following experience: § 10.540 Licenses for engineers of mo- (1) Three years of employment as- bile offshore drilling units. signed to MODUs including 18 months Licenses as chief engineer (MODU) or of employment as mechanic, motor- assistant engineer (MODU) authorize man, subsea engineer, electrician, service on certain self-propelled or barge engineer, toolpusher, unit super- non-self-propelled units of any horse- intendent, crane operator or equiva- power where authorized by the vessel’s lent. Nine months of that employment certificate of inspection. must have been assigned to self-pro- [CGD 81–059a, 55 FR 14802, Apr. 18, 1990] pelled or propulsion assisted units; (2) Three years of employment in the § 10.542 License for chief engineer machinist trade engaged in the con- (MODU). struction or repair of diesel engines To qualify for a license as chief engi- and one year of employment assigned neer (MODU) an applicant must: to MODUs in the capacity of mechanic, (a) Present evidence of the following motorman, oiler, or equivalent. Nine experience: months of that employment must have (1) Six years of employment assigned been assigned to self-propelled or pro- to MODUs including three years of em- pulsion assisted units; or ployment as mechanic, motorman, (3) A degree from a program in ma- subsea engineer, electrician, barge engineer, toolpusher, unit super- rine, mechanical, or electrical engi- intendent, crane operator or equiva- neering technology which is accredited lent. Eighteen months of that employ- by the Accreditation Board for Engi- ment must have been assigned to self- neering and Technology (ABET). Com- propelled or propulsion assisted units; manding Officer, National Maritime or Center will give consideration to ac- (2) Two years of employment as- cepting education credentials from pro- signed to MODUs as an assistant engi- grams having other than ABET accred- neer (MODU). Twelve months of that itation. An applicant qualifying employment must have been assigned through a degree program must also to self-propelled or propulsion assisted have at least six months of employ- units; and ment in any of the capacities listed in (b) Present evidence of completion of paragraph (a)(1) of this section aboard a firefighting training course as re- self-propelled or propulsion assisted quired by § 10.205(g) of this part. units; and (c) If an applicant successfully com- (b) Present evidence of completion of pletes a modified examination and possesses the total required sea service for a firefighting training course as re- a license as chief engineer (MODU), but quired by § 10.205(g) of this part. does not possess the required sea serv- (c) If an applicant successfully com- ice on board self-propelled or propul- pletes a modified examination and pos- sion assisted units, the OCMI may sesses the total required sea service for issue the applicant a license limited to a license as an assistant engineer non-self-propelled units. The OCMI (MODU), but does not possess the re- may remove the limitation upon pres- quired sea service on board self-pro- entation of satisfactory evidence of the pelled or propulsion assisted units, the required self-propelled sea service and OCMI may issue the applicant a license completion of any additional required limited to non-self-propelled units. The examination. OCMI may remove the limitation upon [CGD 81–059a, 55 FR 14802, Apr. 18, 1990, as presentation of the satisfactory evi- amended by CGD 81–059a, 59 FR 10756, Mar. 8, dence of the required self-propelled sea 1994]

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service and completion of any addi- Subpart F—Licensing of Radio tional required examination. Officers [CGD 81–059a, 55 FR 14802, Apr. 18, 1990, as amended by CGD 81–059a, 59 FR 10756, Mar. 8, § 10.601 Applicability. 1994; CGD 95–072, 60 FR 50460, Sept. 29, 1995; This subpart provides for the licens- USCG-1998–4442, 63 FR 52189, Sept. 30, 1998] ing of radio officers for employment on vessels, and for the issue of STCW cer- § 10.551 Licenses for service on off- tificates or endorsements for those shore supply vessels. qualified to serve as radio operators on Each license for service on OSVs as vessels subject to the provisions on the Chief Engineer (OSV) or Engineer Global Maritime Distress and Safety (OSV) authorizes service on OSVs as System (GMDSS) of Chapter IV of defined in 46 U.S.C. 2101(19) and as in- SOLAS. terpreted under 46 U.S.C. 14104(b), subject to any restrictions placed on the [CGD 95–062, 62 FR 34533, June 26, 1997] license. § 10.603 Requirements for radio offi- [CGD 95–062, 62 FR 34532, June 26, 1997; CGD cers’ licenses, and STCW certifi- 95–062, 62 FR 40140, July 25, 1997] cates or endorsements for GMDSS radio operators. § 10.553 Chief Engineer (OSV). (a) Each applicant for an original li- (a) Except as provided by paragraph cense or renewal of license shall (b) of this section, to qualify for a li- present a current first or second class cense as Chief engineer (OSV), an ap- radiotelegraph operator license issued plicant shall present evidence that he by the Federal Communications Com- or she meets the appropriate require- mission. The applicant shall enter on ments of STCW Regulation III/2. the license application form the num- (b) The OCMI may exempt an appli- ber, class, and date of issuance of his or cant from meeting any requirement her Federal Communications Commis- under STCW Regulation III/2 that the sion license. OCMI determines to be inappropriate (b) An applicant for license as radio or unnecessary for service on an OSV, officer shall apply for a merchant or that the applicant meets under the mariner’s document under part 12. This equivalency provisions of Article IX of document will be endorsed See License STCW. as Radio Officer. (c) Each applicant who furnishes evi- [CGD 95–062, 62 FR 34532, June 26, 1997] dence that he or she meets the standard of competence set out in STCW § 10.555 Engineer (OSV). Regulation IV/2 (incorporated by ref- (a) Except as provided by paragraph erence in § 10.102), including the com- (b) of this section, to qualify for a li- petence to transmit and receive infor- cense as Engineer (OSV), an applicant mation using subsystems of GMDSS, to shall present evidence that he or she fulfill the functional requirements of meets the appropriate requirements of GMDSS, and to provide radio services STCW Regulation III/1. in emergencies is entitled to hold an (b) The OCMI may exempt an appli- STCW certificate suitably endorsed for cant from meeting any requirement performing duties associated with under STCW Regulation III/1 that the GMDSS. OCMI determines to be inappropriate (d) Evidence required by paragraph or unnecessary for service on an OSV, (c) of this section must include a cer- or that the applicant meets under the tificate— equivalency provisions of Article IX of (1) For operator of radio in the STCW. GMDSS issued by the Federal Commu- [CGD 95–062, 62 FR 34533, June 26, 1997] nications Commission (FCC); and (2) Of completion from a Coast Guard-approved course for operator of radio in the GMDSS, or other approved

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programs of training and assessment nature of the waters for which pilotage covering the same areas of competence. is desired. (1) General routes (routes not restricted [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 95–062, 62 FR 34533, June 26, to rivers, canals and small lakes). The ap- 1997; USCG-1999–6216, 64 FR 53223, Oct. 1, 1999; plicant must have at least 36 months USCG-1999–5610, 67 FR 66068, Oct. 30, 2002] service in the deck department of steam or motor vessels navigating on Subpart G—Professional oceans, coastwise, Great Lakes, or bays, sounds, and lakes other than the Requirements for Pilot Licenses Great Lakes, as follows: (i) 18 months of the 36 months service SOURCE: CGD 81–059b, 52 FR 38659, Oct. 16, must be as quartermaster, wheelsman, 1987 unless otherwise noted. able seaman, apprentice pilot, or in an equivalent capacity, standing regular § 10.701 Scope of pilot licenses and endorsements. watches at the wheel or in the pilothouse as part of routine duties. (a) An applicant for a license as first (ii) At least 12 months of the 18 class pilot need not hold any other li- months service required in paragraph cense issued under this part. An indi- (a)(1)(i) of this section must be on ves- vidual holding a license as master, sels operating on the class of waters for mate, or master or mate (pilot) of tow- which pilotage is desired. ing vessels may apply for an endorse- (2) River routes. The applicant must ment as first class pilot for a specific have at least 36 months service in the route or routes in lieu of applying for a deck department of any vessel includ- first class pilot’s license. ing at least 12 months service on ves- (b) The issuance of a license or en- sels operating on the waters of rivers dorsement as first class pilot to an in- while the applicant is serving in the ca- dividual qualifies that individual to pacity of quartermaster, wheelsman, serve as pilot over the route(s) speci- apprentice pilot, or deckhand who fied on the license, subject to any limi- stands watches at the wheel as part of tations imposed under paragraph (c) of routine duties. this section. (3) Canal and small lakes routes. The (c) The Officer in Charge, Marine In- applicant must have at least 24 months spection, issuing a license or endorse- service in the deck department of any ment as first class pilot, imposes ap- vessel including at least 8 months serv- propriate limitations commensurate ice on vessels operating on canals or with the experience of the applicant, small lakes. with respect to class or type of vessel, (b) A graduate of the Great Lakes tonnage, route, and waters. Maritime Academy in the deck class (d) A license issued for service as a meets the service requirements of this master, mate, or operator of section for a license as first class pilot uninspected towing vessels authorizes on the Great Lakes. service as a pilot under the provisions (c) Completion of a course of pilot of § 15.812 of this subchapter. Therefore, training approved by the Commanding first class pilot endorsements will not Officer, National Maritime Center, be issued with tonnage limitations of under subpart C of this part may be 1600 gross tons or less. substituted for a portion of the service [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as requirements of this section in accord- amended at 54 FR 144, Jan. 4, 1989; USCG– ance with § 10.304. Additionally, round 1999–6224, 64 FR 63235, Nov. 19, 1999] trips made during this training may apply toward the route familiarization § 10.703 Service requirements. requirements of § 10.705. An individual (a) The minimum service required to using substituted service must have at qualify an applicant for a license as least nine months of shipboard service. first class pilot, or for an endorsement (d) An individual holding a license as as first class pilot on a license as mas- master or mate of inspected steam or ter, mate, or master or mate (pilot) of motor vessels of over 1,600 gross tons towing vessels, is predicated upon the meets the service requirements of this

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section for an endorsement as first graph, for the particular grade of exist- class pilot. ing license held. The range of round trips for an endorsement is a minimum [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as amended at 54 FR 144, Jan. 4, 1989; CGD 95– of 8 round trips and a maximum of 15 072, 60 FR 50460, Sept. 29, 1995; USCG–1998– round trips. 4442, 63 FR 52189, Sept. 30, 1998; USCG–1999– (d) Unless determined impracticable 6224, 64 FR 63235, Nov. 19, 1999] by the OCMI, 25% of the round trips required by the OCMI under this section § 10.705 Route familiarization require- must be made during the hours of dark- ments. ness. (a) The Officer in Charge, Marine In- (e) One of the round trips required by spection having jurisdiction deter- the OCMI under this section must be mines, within the range limitations made over the route within the six specified in this section, the number of months immediately preceding the round trips required to qualify an ap- date of application. plicant for a particular route, consid- [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as ering the following: amended at 54 FR 144, Jan. 4, 1989] (1) The geographic configuration of the waterway; § 10.707 Examination requirements. (2) The type and size of vessels using (a) An applicant for a license as first the waterway; class pilot is required to pass the exam- (3) The abundance or absence of aids ination described in subpart I of this to navigation; part. (4) The background lighting effects; (b) An applicant for an extension of (5) The known hazards involved, in- route, or a licensed master or mate au- cluding waterway obstructions or con- thorized to serve on vessels of over strictions such as bridges, narrow 1,600 gross tons seeking an endorse- channels, or sharp turns; and, ment as first class pilot, is required to (6) Any other factors unique to the pass those portions of the examination route that the OCMI deems appro- described in subpart I of this part that priate. concern the specific route for which en- (b) An applicant for an original li- dorsement is sought. cense as first class pilot shall furnish evidence of having completed a min- § 10.709 Annual physical examination imum number of round trips, while requirements. serving as quartermaster, wheelsman, (a) This section applies only to an in- able seaman, apprentice pilot, or in an dividual who pilots a vessel of 1,600 equivalent capacity, standing regular gross tons and over. watches at the wheel or in the pilot (b) Every person holding a license or house as part of routine duties, over endorsement as first class pilot shall the route sought. Evidence of having have a thorough physical examination completed a minimum number of round each year while holding the license or trips while serving as an observer, endorsement. properly certified by the master and/or (c) Each annual physical examination pilot of the vessel, is also acceptable. must meet the requirements specified The range of round trips for an initial in § 10.205(d) except that the record of license is a minimum of 12 round trips examination need not be submitted to and a maximum of 20 round trips. An the Coast Guard except as provided for applicant may have additional routes in paragraph (e) of this section. added to the first class pilot license by (d) An individual’s first class pilot li- meeting the requirements for obtaining cense or endorsement becomes invalid an endorsement. on the first day of the month following (c) An applicant for an endorsement the first anniversary of the individual’s as first class pilot for a particular most recent physical examination sat- route shall furnish evidence of having isfactorily completed; the individual completed the number of round trips may not operate under the authority of over the route, specified by the Officer that license or endorsement until a In Charge, Marine Inspection, within physical examination has been satis- the range limitations of this para- factorily completed.

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(e) Upon request, a first class pilot remains invalid until the individual shall provide the Coast Guard with a has made one re-familiarization round copy of his or her most recent physical trip over that route, except as provided examination. in paragraph (b) of this section. Wheth- er this requirement is satisfied or not § 10.711 Tonnage requirements. has no effect on the renewal of a li- (a) In order to obtain a first class cense or endorsement. Round trips pilot license or endorsement author- made within the 90 day period pre- izing service on vessels of any gross tons ceding renewal will be valid for the du- over a particular route, the applicant ration of the renewed license or en- must have sufficient experience on ves- dorsement. sels of over 1,600 gross tons. (b) For certain long or extended (b) If an applicant does not have suf- routes, the OCMI may, at his discre- ficient experience on vessels of over tion, allow the re-familiarization re- 1,600 gross tons, the license or endorse- quirement to be satisfied by reviewing ment will be for a limited tonnage appropriate navigation charts, coast until the applicant completes a number pilots tide and current tables, local No- of additional round trips, as deter- tice to Mariners, and any other mate- mined by the OCMI, within the range rials which would provide the pilot contained in § 10.705 (b) or (c), as appro- with current knowledge of the route. priate, on vessels of over 1,600 gross Persons using this method of re-famil- tons. iarization shall certify, when applying (c) For purposes of this section, an for renewal of their license or endorse- applicant is considered to have suffi- ment, the material they have reviewed cient experience if the applicant has 18 and the dates on which this was accom- months experience as master, mate, plished. Review within the 90 day pe- quartermaster, wheelsman, able sea- riod preceding renewal is valid for the man, apprentice pilot, or in an equiva- duration of the renewed license or en- lent capacity, standing regular watches dorsement. at the wheel or in the pilothouse as part of routine duties, on vessels of Subpart H—Registration of Staff 1,600 gross tons or over, and two-thirds of the minimum number of round trips Officers required for the route have been on § 10.801 Applicability. vessels of 1,600 gross tons or over. (d) For purposes of this section, for This subpart provides for the reg- experience with respect to tonnage on istration of staff officers for employ- towing vessels, the combined gross ton- ment on vessels documented or num- nage of the towing vessel and the ves- bered under the laws of the United sel(s) towed will be considered. How- States. Staff officers must be reg- ever, the OCMI may require that all or istered if serving on most vessels in a portion of the required number of ocean service or on the Great Lakes. round trips be obtained on self-propelled vessels of 1,600 gross tons or § 10.803 Grades of certificates issued. over, when the OCMI determines that Staff officers are registered in the due to the nature of the waters and the following grades: overall experience of the applicant, (a) Chief purser. self-propelled vessel experience is nec- (b) Purser. essary to obtain a first class pilot li- (c) Senior assistant purser. cense or endorsement that is not re- (d) Junior assistant purser. stricted to tug and barge combinations. (e) Medical doctor. § 10.713 Requirements for maintaining (f) Professional nurse. current knowledge of waters to be navigated. § 10.805 General requirements. (a) If a first class pilot has not served (a) The applicant for a certificate of over a particular route within the past registry as staff officer is not required 60 months, that person’s license or en- to take any examination; however, the dorsement is invalid for that route, and applicant shall present to the Officer in

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Charge, Marine Inspection a letter jus- duties relating to work in purser’s of- tifying the need for the certificate of fice. registry. (4) Junior assistant purser. Previous (b) The applicant must hold or apply experience not required. for a merchant mariner’s document. (5) Medical doctor. A valid license as (c) Endorsements for a higher grade physician or surgeon issued under the are not made on certificates of reg- authority of a state or territory of the istry. An applicant for a higher grade United States, the Commonwealth of in the staff department shall apply in Puerto Rico, or the District of Colum- the same manner as for an original cer- bia. tificate of registry and shall surrender (6) Professional nurse. A valid license the certificate upon issuance of the as a registered nurse issued under au- new certificate of registry. A person thority of a state or territory of the holding a certificate of registry as staff United States, the Commonwealth of officer may serve in a lower grade of a Puerto Rico, or the District of Colum- service for which he or she is reg- bia. istered. (b) Employment on shore in connec- (d) Title 46 U.S.C. 8302 addresses uni- tion with ship’s business may be ac- forms for staff officers who are mem- cepted in lieu of service aboard vessels. bers of the Naval Reserve. Related shore employment is accepted (e) A duplicate certificate of registry in the ratio of two months of shore may be issued in accordance with service to count as one month of serv- § 10.219 of this part. ice aboard vessels. (f) A certificate of registry is valid (c) In computing the length of service for a term of 5 years from the date of required of an applicant for a certifi- issuance. Procedures for renewing cer- cate of registry, service of one season tificates of registry are found in on vessels on the Great Lakes is count- § 10.209. ed as service of one year. (g) Each applicant for an original (d) In the event an applicant for a certificate of registry or a higher grade certificate of registry, other than med- of certificate of registry, as described ical doctor or professional nurse, pre- by paragraph (c) of this section, shall sents evidence of other qualifications produce evidence of having passed a which, in the opinion of the Officer in chemical test for dangerous drugs or of Charge, Marine Inspection, is equiva- qualifying for an exception from test- lent to the experience requirements of ing in § 16.220 of this subchapter. An ap- this section and is consistent with the plicant who fails a chemical test for duties of a staff officer, the Officer in dangerous drugs will not be issued a Charge, Marine Inspection may issue certificate of registry. the certificate of registry. [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as amended at 54 FR 144, Jan. 4, 1989; CGD 91– § 10.809 Experience requirements for 211, 59 FR 49300, Sept. 27, 1994; CGD 91–223, 60 ratings endorsed on certificate of FR 4525, Jan. 23, 1995; USCG–2004–18884, 69 FR registry. 58342, Sept. 30, 2004; USCG–2004–18884, 69 FR 68089, Nov. 23, 2004; USCG–2007–29018, 72 FR An applicant for rating to be en- 53964, Sept. 21, 2007] dorsed on a certificate of registry shall submit evidence of experience as fol- § 10.807 Experience requirements for lows: registry. (a) Marine physician assistant. Suc- (a) The applicant for a certificate of cessful completion of an accredited registry as staff officer shall submit course of instruction for a physician’s evidence of experience as follows: assistant or nurse practitioner pro- (1) Chief purser. Two years of service gram. aboard vessels performing duties relat- (b) Hospital corpsman. A rating of at ing to work in the purser’s office. least hospital corpsman or health serv- (2) Purser. One year of service aboard ices technician, first class in the U.S. vessels performing duties relating to Navy, U.S. Coast Guard, U.S. Marine work in the purser’s office. Corps, or an equivalent rating in the (3) Senior assistant purser. Six months U.S. Army (not less than staff ser- of service aboard vessels performing geant, Medical Department, U.S.A.), or

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in the U.S. Air Force (not less than priate STCW Regulations (incorporated technical sergeant, Medical Depart- by reference in § 10.102): ment, U.S.A.F.), and a period of satis- (1) Deck Department. (i) Officer in factory service of at least one month in charge of the navigational watch on a a military hospital or U.S. Public seagoing vessel of 500 gross tons (GT) Health Service Hospital. or more. (ii) Officer in charge of the naviga- § 10.811 Requirements to qualify for an tional watch on a seagoing vessel of STCW endorsement as vessel security officer. less than 500 GT not engaged on a near- coastal voyage. (a) The applicant for an endorsement (iii) Officer in charge of the naviga- as vessel security officer must present tional watch on a seagoing vessel of satisfactory documentary evidence in less than 500 GT engaged on a near- accordance with the requirements in 33 coastal voyage. CFR 104.215. (iv) Master and chief mate on a sea- (b) All applicants for an endorsement going vessel of 3,000 GT or more. must meet the physical examination (v) Master and chief mate on a sea- requirements in § 10.205(d)(1)–(2) of this going vessel of between 500 and 3,000 chapter. GT. [USCG–2008–0028, 73 FR 29071, May 20, 2008] (vi) Master on a seagoing vessel of less than 500 GT not engaged on a near- Subpart I—Subjects of License Ex- coastal voyage. aminations and Practical (vii) Master on a seagoing vessel of Demonstrations of Com- less than 500 gross tons engaged on a petence near-coastal voyage. (2) Engine Department. (i) Officer in § 10.901 General provisions. charge of the engineering watch in a manned engine-room on a seagoing ves- (a) Each applicant for any license sel. listed in this part shall pass examinations on the appropriate subjects listed (ii) Designated duty engineer in a pe- in this subpart, except as noted in riodically unmanned engine-room on a § 10.903(b). seagoing vessel. (b) If the license is to be limited in a (iii) Chief engineer officer of a sea- manner which would render any of the going vessel driven by main propulsion subject matter unnecessary or inappro- machinery of 3,000 kW [4,000 hp] of propriate, the examination may be amend- pulsion power or more. ed accordingly by the Officer in (iv) Second engineer officer of a sea- Charge, Marine Inspection. Limitations going vessel driven by main propulsion which may affect the examination con- machinery of 3,000 kW [4,000 hp] of pro- tent are: pulsion power or more. (1) Restricted routes for reduced serv- (v) Chief engineer officer of a sea- ice licenses (master or mate of vessels going vessel driven by main propulsion of not more than 200 gross tons, oper- machinery of between 750 kW [1,000 hp] ator of uninspected passenger vessels and 3,000 kW [4,000 hp] of propulsion or master or mate (pilot) of towing ves- power. sels); or, (vi) Second engineer officer of a sea- (2) Engineer licenses with horsepower going vessel driven by main propulsion restrictions. machinery of between 750 kW [1,000 hp] (c) Except as provided in §§ 10.202 and and 3,000 kW [4,000 hp] of propulsion 10.209, each applicant for an STCW cer- power. tificate or endorsement in the fol- (d) Simulators used in assessment of lowing capacities on vessels that oper- competence under paragraph (c) of this ate beyond the Boundary Line shall section must meet the appropriate per- also furnish sufficient documentary formance standards set out in Section evidence that he or she has made a A-I/12 of the STCW Code. However, sim- practical demonstration(s) of com- ulators installed or brought into use petence as set out under the appro- before February 1, 2002, need not meet

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them so far as they fulfill the objec- (20) Master uninspected fishing indus- tives of the assessment of competence try vessels; or demonstration of proficiency. (21) Mate uninspected fishing indus- [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as try vessels; amended at 54 FR 144, Jan. 4, 1989; CGD 94– (22) Chief engineer steam/motor ves- 029, 61 FR 47064, Sept. 6, 1996; CGD 95–062, 62 sels; FR 34533, June 26, 1997; USCG–1998–4442, 63 (23) First assistant engineer steam/ FR 52188, Sept. 30, 1998; USCG–1999–6224, 64 motor vessels; FR 63235, Nov. 19, 1999; USCG–1999–5610, 67 FR (24) Second assistant engineer steam/ 66068, Oct. 30, 2002; USCG–2004–18884, 69 FR 58342, Sept. 30, 2004] motor vessels; (25) Third assistant engineer steam/ § 10.903 Licenses requiring examina- motor vessels; tions. (26) Chief engineer (limited) steam/ (a) The following licenses require ex- motor vessels; aminations for issuance: (27) Assistant engineer (limited) (1) Master ocean/near coastal any steam/motor vessels; gross tons;1 (28) Designated duty engineer steam/ (2) Chief mate ocean/near coastal any motor vessels; gross tons;1 (29) Chief engineer uninspected fish- (3) Second mate ocean/near coastal ing industry vessels; any gross tons;1 (30) Assistant engineer uninspected (4) Third mate ocean/near coastal any fishing industry vessels. gross tons;1 (b) The following licenses do not re- (5) Master ocean/near coastal not quire examinations: more than 500 or 1600 gross tons;1 (1) Master ocean any gross tons when (6) Mate ocean/near coastal not more adding an endorsement as Offshore In- 1 than 500 or 1600 gross tons; stallation Manager. (7) Mate near coastal not more than (2) Master ocean or near coastal not 200 gross tons; more than 200 gross tons, when raising (8) Master near coastal not more license grade from mate near coastal than 100 gross tons; not more than 200 gross tons. Master (9) Master Great Lakes and inland ocean not more than 200 gross tons any gross tons; would, however, require an examina- (10) Mate Great Lakes and inland any tion in celestial navigation. gross tons; (3) Master Great Lakes and inland, (11) Master inland any gross tons; (12) Master river any gross tons; inland, and rivers not more than 200 (13) Master Great Lakes and inland/ gross tons when raising license grade river not more than 500 or 1600 gross from mate of the same route not more tons;1 than 200 gross tons. (14) Mate Great Lakes and inland/ (4) Master or mate (pilot) of towing river not more than 500 or 1600 gross vessels (endorsed for the same route). tons;1 (c) Each candidate for any of the fol- (15) Mate Great Lakes and inland/in- lowing licenses shall meet the require- land/river not more than 200 gross ments of the appropriate STCW regula- tons;1 tions and standards of competence and (16) Master Great Lakes and inland/ those in part A of the STCW Code (in- inland/river not more than 100 gross corporated by reference in § 10.102), as tons;1 indicated in table 903–1: (17) First class pilot; (1) Master, oceans and near coastal, (18)(i) Apprentice mate (steersman) any gross tons. of towing vessels; (2) Chief mate, oceans and near coast- (ii) Apprentice mate (steersman) of al, any gross tons. towing vessels, limited; (3) Master, oceans and near coastal, (19) Operator uninspected passenger 500 to 1600 gross tons. vessels; (4) Second mate, oceans and near coastal, any gross tons. 1 Examination will vary depending upon (5) Third mate, oceans and near route desired. coastal, any gross tons.

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(6) Mate, oceans and near coastal, 500 (13) 2nd Assistant engineer, unlim- to 1600 gross tons. ited. (7) Master or mate of towing vessels (14) 3rd Assistant engineer, unlim- of over 200 gross tons, oceans and near- ited. coastal. (15) Chief engineer, limited—oceans. (8) Master (OSV). (16) Assistant engineer, limited- (9) Chief mate (OSV). oceans. (10) Mate (OSV). (17) Chief engineer, limited-near (11) Chief engineer, unlimited. coastal. (12) 1st Assistant engineer, unlim- (18) Chief engineer (OSV). ited. (19) Engineer (OSV).

TABLE 10.903–1

STCW CODE 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19

II/1 ...... X X X ...... X ...... II/2, p. 1 & 2 ...... X X ...... X X ...... II/2, p. 3 & 4 ...... X ...... X ...... II/3 ...... III/1 ...... X X .... X ...... X III/2 ...... X X ...... X .... III/3 ...... X .... X ......

(d) After July 31, 1998, any candidate 4. Second mate, oceans/near coastal, any for a license listed in paragraph (c) of gross tons. this section, who meets the require- 5. Third mate, oceans/near coastal, any ments of the appropriate regulations gross tons. and standards of competence in STCW 6. Mate, oceans/near coastal, 500/1,600 gross tons. and part A of the STCW code (incor- 7. Master, oceans/near coastal, and mate, porated by reference in § 10.102) as indi- near coastal, 200 gross tons (includes master, cated in table 10.903–1, need not comply near coastal, 100 gross tons). with § 10.910, or, 10.950, of this part. 8. Operator, uninspected passenger vessels, near coastal. [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as 9. Operator, uninspected passenger vessels, amended at 54 FR 144, Jan. 4, 1989; CGD 81– Great Lakes/inland. 059a, 59 FR 10756, Mar. 8, 1994; CGD 95–062, 62 FR 34533, June 26, 1997; USCG–1998–4442, 63 10. Apprentice mate, towing vessels, ocean FR 52188, Sept. 30, 1998; USCG–1999–6224, 64 (domestic trade) and near-coastal routes. FR 63235, Nov. 19, 1999; 66 FR 20944, Apr. 26, 11. Apprentice mate (steersman), towing 2001; USCG–1999–5610, 67 FR 66068, Oct. 30, vessels, Great Lakes and inland routes. 2002; USCG–1999–6224, 68 FR 35817, June 17, 12. Steersman, towing vessels, Western 2003; USCG–2004–18884, 69 FR 58342, Sept. 30, Rivers. 2004] 13. Master, Great Lakes/inland, or master, inland, any gross tons. § 10.910 Subjects for deck licenses. 14. Mate, Great Lakes/inland, any gross tons. Table 10.910–1 gives the codes used in 15. Master, Great Lakes/inland, 500/1,600 table 10.910–2 for all deck licenses. gross tons. Table 10.910–2 indicates the examina- 16. Mate, Great Lakes/inland, 500/1,600 gross tion subjects for each license, by code tons. number. Figures in the body of the 17. Master or mate, Great Lakes/inland, 200 table, in place of the letter ‘‘x’’, refer gross tons (includes master, Great Lakes/in- to notes. land, 100 gross tons). 18. Master, rivers, any gross tons. TABLE 10.910–1 CODES FOR DECK LICENSES 19. Master, rivers, 500/1,600 gross tons. 20. Mate, rivers, 500/1,600 gross tons. Deck Licenses: 21. Master or mate, rivers, 200 gross tons 1. Master, Oceans/near coastal, any gross (includes master, rivers, 100 gross tons). tons. 22. Master, uninspected fishing industry 2. Chief mate, oceans/near coastal, any vessels, oceans/near coastal. gross tons. 23. Mate, uninspected fishing industry ves- 3. Master, oceans/near coastal, 500/1,600 sels, oceans/near coastal. gross tons. 24. First class pilot.

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TABLE 10.910–2—LICENSE CODES

Examination topics 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24

Navigation and position determination: Ocean Track Plotting: Middle Latitude Sailing ...... 1 1 1 1 Mercator Sailing ...... X X 1 1 Great Circle Sailing ...... 1 1 1 Parallel Sailing...... 1 1 1 1 ETA ...... X X 1 X X Piloting: Distance Off...... X X X X X X X X X X X X X X X X X X Bearing Problems...... X X X X X X X X X X X X X X X X X X Fix or Running Fix...... X X X X X X X X X X X X X X X X X X Chart Navigation...... X X X X X X X X X X 2 X X X X X 2 2 2 2 X X X Dead Reckoning...... X X X X X X X X X X X X X X X X X X Celestial Observations: Special Cases (hi/lo Alt., Backsight) ...... 1 Latitude by Polaris...... 1 1 1 1 Latitude by Meridian Transit ...... 1 Lat. by Meridian Transit (Sun Only) X X 1 X X 1 1 1 1 1 Fix or Running Fix (Any Body) ...... X X 1 X 1 Fix or Running Fix (Sun Only) ...... X 1 1 1 1 Star Identification...... 1 1 1 1 Star Selection...... 1 X 1 X 1 Times of Celestial Phenomena: Time of Meridian Transit ...... 1 Time of Meridian Transit (Sun Only) ...... X X 1 X X 1 1 1 1 1 Second Estimate Meridian Transit 1 Zone Time Sun Rise/Set/Twi- light ...... X X 1 1 1 1 1 1 1 1 Zone Time Moon Rise/Set ..... X X 1 Speed by RPM ...... X X X 3 Fuel Conservation ...... X X 3 Electronic Navigation...... X X X X X X X X X X X X X X X X X X X Instruments and Accessories...... X X X X X X X X X X X X X X X X X X X X X X X X Aids to Navigation...... X X X X X X X X X X X X X X X X X X X X X X X X Charts, Navigation Publications, and Notices to Mariners...... X X X X X X X X X X X X X X X X X X X X X X X X Naut. Astronomy & Nav. Defini- tions ...... X X X X Chart Sketch ...... 4 Seamanship: Marlinspike Seamanship...... X X X X X X X X X X X X X X X X X X X Purchases, Blocks and Tackle...... X X X X X X X X X X X X X X X X X Small Boat Handling Under Oars or Sail ...... X X X X Watchkeeping: COLREGS ...... X X X X X X X X 5 X 5 5 5 5 5 5 X X 5 Inland Navigational Rules...... X X X X X X X X X X X X X X X X X X X X X X X X Basic Principles, Watchkeeping...... X X X X X X X X X X X X X X X X X X X Navigation Safety Regs. (33 CFR 164) X X X X X X X 6 6 6 Radar Equipment: Radar Observer Certificate...... X X X X X X 1 1 X X X X X X Compass-Magnetic and Gyro: Principles of Gyro Compass...... X X X X X X X X X X X X Principles of Magnetic Compass...... X X X X X X X X X X X X X X X X X X X Magnetic Compass Adjustment ...... X X X X Gyro Compass Error/Correction...... X X X X X X 7 X X X X X X 7 X X X Magnetic Compass Error/Correction.... X X X X X X X X X X X X X X X X X X X Determination of Compass Error: Azimuth (Any Body) ...... X X 1 Azimuth (Sun Only) ...... 1 X 1 1 1 3 1 1 Amplitude (Any Body) ...... X Amplitude (Sun Only) ...... X 1 X X 1 1 1 3 1 1 Deviation Table Construction X X 1 X X 3 Terrestrial Observation...... X X X X X X X X X X X X X X X X X X Gyro Controlled Systems...... X X X X X Operation & Care of Main Gyro Systems ...... X X X X X Meteorology and Oceanography: Characteristics of Weather Systems.... X X X X X X X X X X X X X X X X X X X X X X X Ocean Current Systems...... X X X X X X

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TABLE 10.910–2—LICENSE CODES—Continued

Examination topics 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24

Weather Charts and Reports ...... X X X X X X X Tides and Tidal Currents: Extensive Tidal Effects ...... X X X Terms and Definitions...... X X X X X X X X X X X X X X X X X X Publications ...... X X X X X X X X X X X X X X X X X X Calculations ...... X X X X X X X X X X X X X X X X X X Ship Maneuvering and Handling: Approaching Pilot Vessel or Station ..... X X X X X Shiphandling in Rivers, Estuaries...... X X X X X X X X X X X X X X X X X X X X X Maneuvering in Shallow Water...... X X X X X X X X X X X X X X X X X X X X X Interaction with Bank/Passing Ship...... X X X X X X X X X X X X X X X X X X X X X Berthing and Unberthing...... X X X X X X X X X X X X X X X X X Anchoring and Mooring...... X X X X X X X X X X X X X X X X X Dragging, Clearing Fouled Anchors..... X X X X X X X X X X X X Drydocking, with & without Prior Dam- age ...... X X Heavy Weather Operations...... X X X X X X X X Maneuvering for Launching of Life- boats and Liferafts in Heavy Weather X X X X X X X X Receiving Survivors From Lfbts/Lfrfts ... X X X X X General: Turn Circle, Pivot Point, Ad- vance and Transfer...... X X X X X X X X X X X X X X X X X X X X X Determine Maneuvering Characteristics of Major Vessel Types ...... X X X Wake Reduction...... X X X X X X X X X X X X X X X X X X X Ice Operations/Ice Navigation...... X X X X X X X X 3 X 3 Towing Operations...... X X X X X X X X X X X X X X X X Ship Stability, Construction, and Damage Control: Principles of Ship Construction ...... X X X X X X 3 X 3 X X X Trim and Stability...... X X X X X X X X X X X 3 X 3 X X X X X X Damage Trim and Stability ...... X X X X 7 Stability, Trim, and Stress Calculation .. X X X X 7 Vessel Structural Members...... X X X X X 7 X X 3 7 IMO Ship Stability Recommendations .. X X Damage Control...... X X X X 7 7 Change in Draft Due to Density ...... X X Ship Power Plants: Marine Power Plant Operating Prin- ciples ...... X X 7 X X 7 X X Ships’ Auxiliary Machinery ...... X X X X X X Marine Engineering Terms ...... X X 7 X X 7 X X Small Engine Operations and Mainte- nance ...... X X X X X Cargo Handling and Stowage: Cargo Stowage and Security, Including Cargo Gear...... X X X X X 7 X X X X 7 X X X Loading and Discharging Operations... X X X X X X X X X X X X International Regulations for Cargoes, Especially IMDG...... X X X Dangerous/Hazardous Cargo Regula- tions ...... X X X X X X X X X X X X X Tank Vessel Safety...... X X X X X X X X X X X X Cargo Piping and Pumping Systems.... X X X X X X X X X X X X Cargo Oil Terms and Definitions...... X X X X X X X X X X X X Ballasting, Tank Clean., & Gas Free Ops ...... X X X X X X X X X X X X Load on Top Procedures...... X X X X X X X X X X X X Barge Regulations (Operations) ...... X X X Fire Prevention and Firefighting Appliances: Organization of Fire Drills...... X X X X X X X X X X X X X X X X X X X X Classes and Chemistry of Fire...... X X X X X X X X X X X X X X X X X X X X X X Firefighting Systems...... X X X X X X X X X X X X X X X X X X X X Firefighting Equip. and Regulations...... X X X X X 7 X X X X X X X 7 X X X 7 X X Firefighting Equip. & Regs. for T-Boats X X X Basic Firefighting and Prevention...... X X X X X X X X X X X X X X X X X X X X X X Emergency Procedures: Ship Beaching Precautions ...... X X X X Actions Prior To/After Grounding ...... X X X X X X Refloating a Grounded Ship ...... X X X X X X Collision ...... X X X X X X X X X X X X X Temporary Repairs...... X X X X X X X X X X X X X X X X X X X X

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TABLE 10.910–2—LICENSE CODES—Continued

Examination topics 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24

Passenger/Crew Safety in Emergency X X X X X X X X X X X X X X X X X X X X Fire or Explosion...... X X X X X X X X X X X X X X X X X X X X X X Abandon Ship Procedures...... X X X X X X X X X X X X X X X X X X X X X X Emergency Steering...... X X X X X X X X X Rescuing Surv. From Ship/Airc. in Dist X X X X X X X X X X X X X X Man Overboard Procedures...... X X X X X X X X X X X X X X X X X X X X X X Emergency Towing...... X X X X X Medical Care: Knowledge and use of: Int’l. Medical Guide for Ships ...... X X Ship Med. Chest and Med. Aid at Sea ...... X X Medical Sec., Inter. Code of Sig- nals ...... X X X X 1st Aid Guide: Accidents with Dan- gerous Goods ...... X X First Aid...... X X X X X X X X X X X X X X X X X X X X X X Maritime Law: International Maritime Law: Int’l. Convention on Load Lines ..... X X X SOLAS ...... X X X 7 MARPOL 73/78...... X X X X X International Health Regulations ... X X X Other International Instruments for Ship/Pass./Crew/Cargo Safety... X X X National Maritime Law: Load Lines...... X X X X X X X 3 3 3 3 7 Cert. and Documentation of Ves- sels ...... X X X X X X X X X X X X X X X X Rules & Regs. for Inspected Ves- sels ...... X X X X X X 7 X X X X 7 X X X 7 Rules & Regs. for Inspected T- Boats ...... X X X Rules and Regs for Uninsp. Ves- sels ...... X X X X X X X X X X Pollution Prevention Regulations... X X X X X X X X X X X X X X X X X X X X X X X X Pilotage ...... X X X X Licensing & Certification of Sea- men ...... X X X X X X X X X X X X X X X X X X X X X X X Shipment and Discharge, Manning X X X X X X X X Title 46 U.S. Code ...... X X X X X X X Captain of the Port Regulations, Vessel Traffic Service Proce- dures for the Route Desired ...... X Shipboard Management and Training: Personnel Management ...... X X X X X X X Shipboard Organization...... X X X X X X X Required Crew Training ...... X X X X X X X Ship Sanitation...... X X X X X X X X X X X X X X X X X X X X Vessel Alteration/Repair—Hot Work ..... X X X X X X X X Safety ...... X X X X X X X X X X X X X X X X X X X X X X X Ship’s Business: Charters ...... X X X Liens, Salvage ...... X X X Insurance ...... X X X Entry, Clearance...... X X X Certificates and Documents Required.. X X X X X X X X X X X X X X X X X X X X X X X Communications: Flashing Light...... X X X X Radiotelephone Communications...... X X X X X X X X X X X X X X X X X X X X X X X Radiotelegraphy Emerg. Dist. Signals .. X X X Signals: Storm/Wreck/Dist./Special...... X X X X X X X X X X X X X X X X X X X X X International Code of Signals ...... X X X X Lifesaving: Survival at Sea...... X X X X X X X X X Lifesaving Appliance Regulations...... X X X X X 7 X X X 7 X X X 7 Lifesaving Appliance Regs. for T-Boats X X X Lifesaving Appliance Operation...... X X X X X 7 X X X X X X X X 7 X X X 7 X X Lifesaving Appliance Ops. for T-Boats X X X Search and Rescue: Search and Rescue Procedures ...... X X X Amver ...... X X X

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TABLE 10.910–2—LICENSE CODES—Continued

Examination topics 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24

SAIL/AUXILIARY SAIL VESSELS ADDEN- DUM (8): Any other subject considered necessary to establish the applicant’s proficiency ...... X X X X X X X X X X X X X X X X X X X X X X X X 1—For ocean routes only. 2—River chart navigation only. 3—Topic covered only on Great Lakes specific module(s) taken for ‘‘Great Lakes and inland’’ routes. 4—Including recommended courses, distances, prominent aids to navigation, depths of waters in channels and over hazardous shoals, other important features of the route, such as character of the bottom. The OCMI may accept chart sketching of only a portion or portions of the route for long or extended routes. 5—Take COLREGS if license not limited to non-COLREG waters. 6—For licenses over 1600 gross tons. 7—For licenses over 100 gross tons. 8—Sail vessel safety precautions, rules of the road, operations, heavy weather procedures, navigation, maneuvering, and sailing terminology. Applicants for sail/auxiliary sail endorsements to master, mate or operator of uninspected passenger vessels licenses are also tested in the subjects contained in this addendum.

[CGD 81–059a, 55 FR 14802, Apr. 18, 1990, as amended by USCG–1999–6224, 64 FR 63235, Nov. 19, 1999; USCG–2001–10224, 66 FR 48619, Sept. 21, 2001]

§ 10.920 Subjects for MODU licenses. TABLE 10.920–2—SUBJECTS FOR MODU Table 10.920–1 gives the codes used in LICENSES—Continued Table 10.920–2 for MODU licenses. Table Examination topics 1 2 3 4 5 6 7 10.920–2 indicates the examination subjects for each license by the code num- Damaged trim and stability counter- ber. measures ...... X X X X ...... X X Table 10.920–1 Codes for MODU Licenses Stability and trim calculations ...... X X X X X X 1. OIM/Unrestricted Load line require- 2. OIM/Surface Units Underway ments ...... X X X X X X X 3. OIM/Surface Units on Location Operating manual: 4. OIM/Bottom Bearing Units Underway Rig characteristics 5. OIM/Bottom Bearing Units on Location and limitations...... X X X X X X X 6. Barge Supervisor Hydrostatics data..... X X X X ...... X X 7. Ballast Control Operator Tank tables...... X X X X X X X KG limitations...... X X X X ...... X X TABLE 10.920–2—SUBJECTS FOR MODU Severe storm instructions ...... X X X X X X X ICENSES L Transit instructions.. X X ...... X ...... X X Examination topics 1 2 3 4 5 6 7 On-station instructions ...... X ...... X ...... X X X Watchkeeping Unexpected list or COLREGS ...... X X ...... X ...... X ...... trim ...... X X X X ...... X X ‘‘Basic Principles for Ballasting proce- Navigational dures ...... X X X ...... X X Watch’’ ...... X X X X X X ...... Operation of bilge MODU obstruction system ...... X X X X ...... X X lights ...... X ...... X ...... X X ...... Leg loading calcula- Meteorology and tions ...... X ...... X X ...... oceanography: Completion of vari- Synoptic chart able load form...... X X X X X X X weather fore- Evaluation of vari- casting ...... X X X X X X ...... Characteristics of able load form...... X X X X X X X weather systems.. X X X X X X X Emergency proce- Ocean current sys- dures ...... X X X X X X X tems ...... X X X X X X ...... Maneuvering and han- Tide and tidal cur- dling: rent publications... X X X X X X ...... Anchoring and an- Stability, ballasting, chor handling...... X X X ...... X ...... construction and Heavy weather oper- damage control: ations ...... X X X X X X X Principles of ship Mooring, positioning X X X X ...... X X construction, struc- Moving, positioning.. X X ...... X ...... X ...... tural members...... X X X X X X X Trim and stability..... X X X X X X X

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TABLE 10.920–2—SUBJECTS FOR MODU TABLE 10.920–2—SUBJECTS FOR MODU LICENSES—Continued LICENSES—Continued

Examination topics 1 2 3 4 5 6 7 Examination topics 1 2 3 4 5 6 7

Fire prevention and First response firefighting appli- medical action.. X X X X X X X ances: Maritime law and regu- Organization of fire lation: drills ...... X X X X X X X National maritime Classes and chem- law: istry of fire...... X X X X X X X Certification and Firefighting systems X X X X X X X documentation Firefighting equip- of vessels...... X X X X X ...... ment and regula- Ship sanitation..... X X X X X ...... tions ...... X X X X X X X Regulations for Basic firefighting and vessel inspec- prevention of fires X X X X X X X tion ...... X X X X X ...... Emergency procedures Pollution preven- and contingency tion regulations X X X X X X X plans: Licensing and cer- Temporary repairs... X X X X ...... X ...... tification regula- Fire or explosion...... X X X X X X X tions ...... X X X X X ...... Abandon unit...... X X X X X X X Rules and regula- Man overboard...... X X X X X X X tions for MODUs X X X X X X ...... Heavy weather...... X X X X X X X International Mari- Collision ...... X X X X X X X time law: ...... Failure of ballast International Mari- control system...... X X X ...... X X time Organiza- tion ...... X X X X X ...... Mooring emer- International Con- gencies ...... X ...... X ...... X X vention on Load Blowouts ...... X ...... X ...... X X X Lines ...... X X X X ...... X H S safety...... X ...... X ...... X X X 2 MARPOL 73/78.... X X X X X ...... General Engineering— Personnel Manage- Power plants and ment and Training: auxiliary systems: Ship’s business in- Marine engineering cluding: terminology ...... X X X X X X X Required logs and Engineering equip- record keeping X X X X X X ...... ment, operations Casualty reports and failures...... X X X X X X ...... and records...... X X X X X ...... Offshore drilling op- Communications: erations ...... X Radio communica- Deck seamanship— tions and FCC general: permit ...... X X X X X X Transfer of per- Radiotelephone proce- sonnel ...... X X X X X X ...... dures ...... X X X X X X Support boats/heli- Lifesaving/Survival: copters ...... X X X X X X ...... Lifesaving appliance Cargo stowage and operation (launch- securing ...... X X X X X X ...... ing, boat handling) X X X X X X X Hazardous materials/ Procedures/rules for dangerous goods lifeboats, survival precautions ...... X X X X X X ...... suits, PFDs, life Mooring equipment.. X X X X X X ...... rafts and emer- Crane use proce- gency signals...... X X X X X X X dures and inspec- Emergency radio tions ...... X X X X X X ...... transmissions ...... X X X X X X X Medical care: Survival at sea...... X X X X X X X Knowledge and use of: First aid...... X X X X X X X [CGD 81–059a, 55 FR 14802, Apr. 18, 1990]

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A/E Ltd & DDE unlim. ICENSES L Chief engineer limited NGINEER E Unlimited 3rd asst. engineer UBJECTS FOR Unlimited 2nd asst. engineer 10.950—S ABLE T Unlimited 1st asst. engineer Unlimited STM MTR chief engineer Prints and Tables...... Valves...... P-T P-T P-T P-T P-T P-T P-T P-T and P-T P-T P P-T P-T P-T P-T P-T P-T Fittings, P Prints P Pipes, P-T Systems...... Hydraulics P ...... P-T P Systems...... P-T P-T P-T P-T P-T P-T Bilge P-T P P-T P-T P-T P-T P P-T P-T Systems...... P-T P P-T P-T P-T P-T P-T P P-T Sanitary/Sewerage P P P-T P P-T P-T P P-T P-T P-T Freshwater P P P-T Systems...... P P Lubricants P P-T ...... Systems...... P-T P P-T P-T P-T P-T P-T P-T P Lubrication P-T P P-T P-T P-T P-T P P-T P-T Systems...... P P-T P-T P P-T P-T P-T P P-T P-T P Automation P Systems...... P P-T P-T P P-T P-T P-T Control P-T P-T P P P Shop...... P P P-T P-T P-T P Propellers/Shafting P-T P-T P-T P-T P P-T P P-T Systems...... P P P P P-T P-T P-T P-T P P-T P-T P-T P Machine P P P P-T P P P P P-T P-T P P P-T P P-T P-T Distilling P-T P-T P-T P-T P P P-T P-T P P P-T Pumps P P-T ...... P-T P P-T P P-T P P-T P-T CompressorsP-T P-T P-T P-T P-T P ...... P-T P P P-T AdministrationP-T P P-T P-T P-T P-T P-T P-T ...... Repair...... P-T Systems...... P-T P P-T P P GovernorsP P P P P-T P ...... P-T P P-T P-T P-T P P-T P-T P-T P-T P-T P-T P-T P-T P-T P-T P-T P-T P and Cooling P-T P P P P-T P P-T P Bearings P-T ...... Construction P-T P P P-T P P-T InstrumentsP-T P-T P-T P-T P-T ...... P-T P Ship P-T P P-T P-T P-T P-T P-T P-T P P-T Systems...... P P TheoryP-T ...... P Machinery...... P-T P P P-T Systems...... P-T P-T P-T P-T P-T T T T Steering T T P-T T T T P P T P-T P-T P-T P P-T P-T P-T P-T Deck P P P Ventilation Duties...... P Thermodynamics ...... P-T P P P-T P-T P-T P-T P-T P-T Watch Systems...... T P T P T T P P-T P-T P-T P-T Conditioning P-T P-T P P-T Theory P ...... P Systems...... P-T T T T Air T T T T T P Systems...... T P-T P-T P-T P-T Refrigeration P-T P-T P P P-T P-T P-T P P-T Control P P-T P-T P Control...... P P SafetyP-T P ...... P-T P-T P-T P P P-T P-T P-T P Casualty P-T P P-T P-T P-T P P-T P-T P-T P P P P Maintenance...... P P P Theory P ...... P-T P P P-T P-T P-T P-T P-T P-T T T T General T T T P T T P P T Generators P-T P ...... P-T P-T P MotorsP-T P-T P-T P-T P-T P-T ...... P P-T P P-T P-T P-T P-T P-T P-T P-T P P-T P-T P-T General Subjects: Refrigeration and Air Conditioning: Electricity: § 10.950 Subjects for engineer licenses.

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Subpart J—Ro-Ro Passenger Ships § 10.1105 General requirements for license holders.

SOURCE: CGD 95–062, 62 FR 34534, June 26, If you are licensed as a master, mate, 1997, unless otherwise noted. chief mate, engineer, or chief engineer, then, before you may serve on a pas- § 10.1001 Purpose of regulations. senger ship, you must— The purpose of the regulations in this (a) Meet the appropriate require- subpart is to establish requirements for ments of the STCW Regulation V/3 and officers serving on roll-on/roll-off (Ro- of section A-V/3 of the STCW Code (in- Ro) passenger ships. corporated by reference in § 10.102); and (b) Hold documentary evidence to § 10.1003 Definition. show that you meet these requirements through approved or accepted training. Roll-on/roll-off (Ro-Ro) passenger ship means a passenger ship with Ro-Ro cargo spaces or special-category spaces PART 12—CERTIFICATION OF as defined in the Convention for the SEAMEN Safety of Life at Sea, 1974, as amended (SOLAS), to which a SOLAS certificate Subpart 12.01—General is issued. Sec. 12.01–1 Purpose of rules in this part. § 10.1005 General requirement for li- 12.01–3 Incorporation by reference. cense-holders. 12.01–6 Definitions of terms used in this To serve on a Ro-Ro passenger ship part. after January 31, 1997, a person licensed 12.01–7 Where to apply. 12.01–9 Paperwork approval. as master, chief mate, licensed mate, 12.01–11 Transportation Worker Identifica- chief engineer, or licensed engineer tion Credential. shall meet the appropriate requirements of STCW Regulation V/2 and Subpart 12.02—General Requirements for Section A-V/2 of the STCW Code (incor- Certification porated by reference in § 10.102) and shall hold documentary evidence to 12.02–3 Where documents are issued. 12.02–4 Basis for denial of a merchant mari- show his or her meeting these require- ner’s document. ments. 12.02–5 Form in which documents are issued. [CGD 95–062, 62 FR 34534, June 26, 1997, as 12.02–7 When documents are required. amended by USCG-1999–5610, 67 FR 66068, Oct. 30, 2002] 12.02–9 Application for documents. 12.02–10 Applications for documents from aliens. Subpart K—Officers on a Pas- 12.02–11 General provisions respecting mer- senger Ship, Other Than a Ro- chant mariners’ documents. Ro Passenger Ship, When on 12.02–12 Identity. 12.02–13 Citizenship requirements. an International Voyage 12.02–14 Nationality of aliens. 12.02–15 Oath requirement. SOURCE: USCG-1999–5610, 67 FR 66068, Oct. 12.02–17 Preparation and issuance of docu- 30, 2002, unless otherwise noted. ments. 12.02–18 Fees. § 10.1101 Purpose of rules. 12.02–19 Suspension or revocation of documents. The rules in this subpart establish re- 12.02–21 Issuance of documents after revoca- quirements for officers serving on pas- tion. senger ships as defined in § 10.1103. 12.02–23 Issuance of duplicate documents. 12.02–24 Reporting loss of continuous dis- § 10.1103 Definitions. charge book, merchant mariner’s document, or certificate of discharge. Passenger ship in this subpart means 12.02–25 Right of appeal. a ship, other than a Ro-Ro passenger 12.02–27 Requirements for renewal of a mer- ship, carrying more than 12 passengers chant mariner’s document. when on an international voyage. 12.02–29 [Reserved]

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Subpart 12.03—Approved and Accepted Subpart 12.30—Ro-Ro Passenger Ships Training 12.30–1 Purpose of regulations. 12.03–1 Coast Guard-accepted training other 12.30–3 Definitions. than approved courses. 12.30–5 General requirements.

Subpart 12.05—Able Seamen Subpart 12.35—Crewmembers on a Pas- senger Ship, Other Than a Ro-Ro Pas- 12.05–1 Certification required. senger Ship, When on an International 12.05–3 General requirements. Voyage 12.05–5 Physical requirements. 12.05–7 Service or training requirements. 12.35–1 Purpose of rules. 12.05–9 Examination and demonstration of 12.35–3 Definition. ability. 12.35–5 General requirements. 12.05–11 General provisions respecting merchant mariner’s document endorsed for Subpart 12.40—Non-resident Alien Unli- service as able seamen. censed Members of the Steward’s De- partment on U.S.-Flag Large Passenger Subpart 12.07 [Reserved] Vessels Subpart 12.10—Lifeboatman 12.40–1 Purpose of rules. 12.40–3 Definitions. 12.10–1 Certification required. 12.40–5 General application requirements. 12.10–3 General requirements. 12.40–7 Employer requirements. 12.10–5 Examination and demonstration of 12.40–9 Basis for denial. ability. 12.40–11 Citizenship and identity. 12.10–7 General provisions respecting mer- 12.40–13 Restrictions. chant mariner’s document endorsed as 12.40–15 Alternative means of compliance. lifeboatman. 12.10–9 Certificates of proficiency in fast AUTHORITY: 31 U.S.C. 9701; 46 U.S.C. 2101, rescue boats. 2103, 2110, 7301, 7302, 7503, 7505, 7701, and 70105; Department of Homeland Security Delega- Subpart 12.13—Persons Designated To tion No. 0170.1. Provide Medical Care on Board Ship SOURCE: CGFR 65–50, 30 FR 16640, Dec. 30, 1965, unless otherwise noted. 12.13–1 Documentary evidence required. 12.13–3 Basis of documentary evidence. Subpart 12.01—General Subpart 12.15—Qualified Member of the Engine Department § 12.01–1 Purpose of rules in this part. (a) The purposes of the regulations in 12.15–1 Certification required. this part are to provide— 12.15–3 General requirements. (1) A comprehensive and adequate 12.15–5 Physical requirements. 12.15–7 Service or training requirements. means of determining and verifying the 12.15–9 Examination requirements. identity, citizenship, nationality, and 12.15–11 General provisions respecting mer- professional qualifications an applicant chant mariner’s documents endorsed as must possess to be eligible for certifi- qualified member of the engine depart- cation to serve on merchant vessels of ment. the United States; 12.15–13 Deck engine mechanic. (2) A means of determining that an 12.15–15 Engineman. applicant is competent to serve as a Subpart 12.25—Certificates of Service for ‘‘rating forming part of a navigational Ratings Other Than Able Seaman or watch’’ or a ‘‘rating forming part of an Qualified Member of the Engine De- engine-room watch’’, or is otherwise partment ‘‘designated to perform duties in a periodically unmanned engine-room’’, on a 12.25–1 Certification required. seagoing ship, in accordance with the 12.25–10 General requirements. provisions of the International Conven- 12.25–20 Food handler. tion on Standards of Training, Certifi- 12.25–25 Members of Merchant Marine Cadet cation and Watchkeeping for Seafarers, Corps. 12.25–30 Student observers. 1978, as amended (STCW), and to re- 12.25–35 Apprentice engineers. ceive the certificate or endorsement re- 12.25–40 Apprentice mate. quired by STCW (incorporated by ref- 12.25–45 GMDSS At-sea Maintainer. erence in § 12.01–3); and

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(3) A means, through a criminal Convention, or the STCW)—and Sea- record review and a safety and security farers’ Training, Certification and check, to determine whether the holder Watchkeeping Code (the STCW Code), of a merchant mariner’s document approved for incorporation by ref- would be a threat to the safety of life erence in sections 12.01–1; 12.01–6; 12.02– or property at sea, or his or her pres- 7; 12.02–11; 12.03–1; 12.05–3; 12.05–7; 12.05– ence would be adverse to the security 11; 12.10–3; 12.10–5; 12.10–7; 12.10–9; 12.15– of the United States. 3; 12.15–7; 12.25–45; 12.30–5; and 12.35–5 of (b) The regulations in subpart 12.03 of this part. this part prescribe the requirements [USCG-1999–5610, 67 FR 66068, Oct. 30, 2002] applicable to all training and assessment associated with meeting the § 12.01–6 Definitions of terms used in standards of competence established by this part. STCW. Approved means approved by the (c) Continuous discharge books and Coast Guard in accordance with 46 CFR merchant mariner documents are 10.302. issued by the Coast Guard and are Coast Guard-accepted means that the property of the Coast Guard. Coast Guard has officially acknowl- [CGD 95–062, 62 FR 34534, June 26, 1997, as edged in writing that the material or amended by USCG-1999–5610, 67 FR 66068, Oct. process at issue meets the applicable 30, 2002; USCG-2003–14500, 69 FR 531, Jan. 6, requirements; that the Coast Guard 2004] has issued an official policy statement listing or describing the material or § 12.01–3 Incorporation by reference. process as meeting the applicable re- (a) Certain material is incorporated quirements; or that an entity acting on by reference into this part with the ap- behalf of the Coast Guard under a proval of the Director of the Federal Memorandum of Agreement has deter- Register under 5 U.S.C. 552(a) and 1 mined that the material or process CFR part 51. To enforce any edition meets the applicable requirements. other than that specified in paragraph Conviction means the applicant for a (b) of this section, the Coast Guard merchant mariner’s document has been must publish notice of change in the found guilty by judgment or plea by a FEDERAL REGISTER and must ensure court of record of the United States, that the material is available to the the District of Columbia, any State, public. All approved material is avail- territory, or possession of the United able for inspection at the U.S. Coast States, a foreign country, or any mili- Guard, Office of Operating and Envi- tary court, of a criminal felony or mis- ronmental Standards, room 1210, 2100 demeanor or of an offense described in Second Street SW., Washington, DC, or section 205 of the National Driver Reg- at the National Archives and Records ister Act of 1982, as amended (49 U.S.C. Administration (NARA). For informa- 30304). If an applicant pleads guilty or tion on the availability of this mate- no contest, is granted deferred adju- rial at NARA, call 202–741–6030, or go dication, or is required by the court to to: http://www.archives.gov/ attend classes, make contributions of federallregister/ time or money, receive treatment, sub- codeloflfederallregulations/ mit to any manner of probation or su- ibrllocations.html. All material is pervision, or forgo appeal of a trial available from the sources indicated in court’s conviction, then the Coast paragraph (b) of this section. Guard will consider the applicant to (b) The material approved for incor- have received a conviction. A later poration by reference in this part, and expungement of the conviction will not the sections affected, are as follows: negate a conviction unless the Coast International Maritime Organization Guard is satisfied that the (IMO), 4 Albert Embankment, London, expungement is based upon a showing SE1 7SR, England. The STCW—Inter- that the court’s earlier conviction was national Convention on Standards of in error. Training, Certification and Designated examiner means a person Watchkeeping for Seafarers, 1978, as who has been trained or instructed in amended in 1995 and 1997 (the STCW techniques of training or assessment

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and is otherwise qualified to evaluate Passes a chemical test for dangerous whether a candidate for a license, docu- drugs means the result of a chemical ment, or endorsement has achieved the test conducted in accordance with 49 level of competence required to hold CFR part 40 is reported as ‘‘negative’’ the license, document, or endorsement. by a Medical Review Officer in accord- This person may be designated by the ance with that part. Coast Guard, or by a Coast Guard-ap- Practical demonstration means the per- proved or accepted program of training formance of an activity under the di- or assessment. A faculty member em- rect observation of a designated exam- ployed at a State maritime academy or iner for the purpose of establishing the U.S. Merchant Marine Academy op- that the performer is sufficiently pro- erated in accordance with regulations ficient in a practical skill to meet a in 46 CFR part 310 and instructing in a specified standard of competence or navigation or engineering course is other objective criterion. qualified to serve as a designated ex- Qualified instructor means a person aminer in his or her area(s) of speciali- who has been trained or instructed in zation without individual evaluation instructional techniques and is other- by the Coast Guard. wise qualified to provide required Evaluation means processing an appli- training to candidates for licenses, doc- cation, from the point of receipt to ap- uments, and endorsements. A faculty proval or rejection of the application, member employed or at a State mari- including review of all documents and time academy or the U.S. Merchant records submitted with an application Marine Academy operated in accord- as well as those obtained from public ance with 46 CFR part 310 and instruct- records and databases. ing in a navigation or engineering Fails a chemical test for dangerous course is qualified to serve as a quali- drugs means that the result of a chem- fied instructor in his or her area(s) of ical test conducted in accordance with specialization without individual eval- 49 CFR part 40 is reported as ‘‘positive’’ uation by the Coast Guard. for the presence of dangerous drugs or Qualified rating means various cat- drug metabolites in an individual’s sys- egories of Able Seaman, Qualified tem by a Medical Review Officer in ac- Member of the Engine Department, cordance with that part. Lifeboatman, or Tankerman endorse- National Driver Register (NDR) means ments on merchant mariner’s docu- the nationwide repository of informa- ments. tion on drivers maintained by the Na- Safe and suitable person is one whose tional Highway Traffic Safety Admin- character and habits of life are such as istration as provided under 49 U.S.C. to support the belief that his or her Chapter 303. presence on board vessels of the United NDR listed convictions means a convic- States is not, or may not be, adverse to tion of any of the following motor vehi- the security of the United States. cle-related offenses or comparable of- Safety and Security Check is the proc- fenses: ess or action taken by the Coast Guard (a) Operating a motor vehicle while to determine whether an applicant for, under the influence of, or impaired by, or holder of, a merchant mariner’s doc- alcohol or a controlled substance; or ument is a safe and suitable person to (b) A traffic violation arising in con- be issued such a document or to be em- nection with a fatal traffic accident, ployed on a vessel under the authority reckless driving, or racing on the high- of such a document. ways. Standard of competence means the Officer in Charge, Marine Inspection level of proficiency to be achieved for (OCMI) for the purposes of part 12 the proper performance of duties on means the officer or individual so des- board vessels in accordance with na- ignated at one of the Regional Exam- tional and international criteria. ination Centers, or any person so des- STCW means the International Con- ignated by the Commandant. vention on Standards of Training, Cer- Original document means the first tification and Watchkeeping for Sea- merchant mariner’s document issued farers, 1978, as amended (incorporated to any person by the Coast Guard. by reference in § 12.01–3).

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STCW Code means the Seafarer’s (2) [Reserved] Training, Certification and [CGD 95–062, 62 FR 34535, June 26, 1997, as Watchkeeping Code. amended by USCG-2004–18884, 69 FR 58343, STCW endorsement means a certifi- Sept. 30, 2004] cate or endorsement issued in accordance with STCW. An STCW endorse- § 12.01–11 Transportation Worker ment issued by the Officer in Charge, Identification Credential. Marine Inspection (OCMI), will be valid By April 15, 2009 all mariners holding only when accompanied by the appro- a Merchant Mariner’s Document or priate U.S. license or document; and, if STCW endorsement issued under this the license or document is revoked, part must hold a valid Transportation then the associated STCW endorsement Worker Identification Credential will no longer be valid for any purpose. References to STCW placed on a U.S. (TWIC) issued by the Transportation license or merchant mariner’s docu- Security Administration under 49 CFR ment will suffice as STCW endorse- part 1572. Failure to obtain or hold a ments for the mariner serving on a ves- valid TWIC may serve as a basis for sel operating exclusively on a domestic suspension or revocation of a mariner’s voyage (i.e., to and from U.S. ports or license, COR or STCW endorsement places subject to U.S. jurisdiction). under 46 U.S.C. 7702 and 7703. [CGD 91–002, 58 FR 15238, Mar. 19, 1993, as [CG–2006–24196, 72 FR 3588, Jan. 25, 2007, as amended by CGD 91–223, 60 FR 4525, Jan. 23, amended at 73 FR 25566, May 7, 2008] 1995; CGD 91–212, 60 FR 65487, Dec. 19, 1995; CGD 95–062, 62 FR 34534, June 26, 1997; CGD Subpart 12.02—General 97–057, 62 FR 51042, Sept. 30, 1997; USCG-1999– 5610, 67 FR 66068, Oct. 30, 2002; USCG-2003– Requirements for Certification 14500, 69 FR 531, Jan. 6, 2004; USCG–2006–25535, 71 FR 48482, Aug. 21, 2006] § 12.02–3 Where documents are issued. (a) Merchant mariner’s documents § 12.01–7 Where to apply. may be issued to qualified applicants Applicants for licenses or certifi- at the National Maritime Center or at cation may apply to the Coast Guard any Regional Examination Center dur- National Maritime Center or any of the ing usual business hours. Regional Examination Centers. Appli- (b)(1) Coast Guard Merchant Marine cants may contact the National Mari- Details abroad are authorized to con- time Center at 100 Forbes Drive, Mar- duct examinations for upgrading of tinsburg, West Virginia 25404, or by seamen, but are not prepared to con- telephone at 1–888–I–ASK–NMC (1–888– duct the physical examination where 427–5662). A list of Regional Examina- required. Merchant Marine Details will tion Locations is available through the therefore not issue regular certificates, Coast Guard Web site at http:// but temporary permits in lieu thereof. www.uscg.mil. Merchant Marine Details will instruct [USCG–2006–25535, 71 FR 48482, Aug. 21, 2006, the recipient of each temporary permit as amended by USCG–2008–0906, 73 FR 56508, to present it to the Officer in Charge, Sept. 29, 2008] Marine Inspection, upon arrival in the first port in the United States in which § 12.01–9 Paperwork approval. a Marine Inspection Office is located in (a) This section lists the control order to exchange it for a permanent numbers assigned by the Office of Man- certificate. agement and Budget under the Paper- (2) The temporary permit shall be ac- work Reduction Act of 1980 (Pub. L. 96– cepted in a Marine Inspection Office as 511) for the reporting and record keep- proof that the bearer has complied ing requirements in this part. with the rules and regulations gov- (b) The following control numbers erning the issuance of certificates, ex- have been assigned to the sections indi- cept as noted in the body of the tem- cated: porary permit. The requirements noted (1) OMB 1625–0079—46 CFR 12.02–17 in the exceptions will be complied with and 12.03–1. as in the case of other applicants.

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(3) The written examinations are for- merchant mariner’s credentials shall warded to the Commanding Officer, Na- undergo a single criminal record re- tional Maritime Center by Merchant view and safety and security check. Marine Details. Any Marine Inspection Each applicant must provide written Office at which an applicant with a disclosure of all prior convictions (as temporary permit appears may request defined in § 12.01–6) at the time of appli- and obtain the examination in the case cation. from the Commanding Officer, Na- (1) When a criminal record review tional Maritime Center. Any Marine and a safety and security check are Inspection Office which doubts the pro- conducted, the applicant shall provide priety of issuing a permanent certifi- fingerprints in a form and manner cate in lieu of a temporary permit specified by the Coast Guard. which has been issued by a foreign Mer- (i) When a criminal record review or chant Marine Detail shall inform the a safety and security check leads the Commanding Officer, National Mari- Coast Guard to determine that an ap- time Center fully as to the cir- plicant is not a safe and suitable per- cumstances. son (as defined in § 12.01–6) or cannot be entrusted with the duties and respon- [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 95–072, 60 FR 50460, Sept. 29, sibilities of the merchant mariner’s 1995; USCG-1998–4442, 63 FR 52189, Sept. 30, document for which application is 1998; USCG-2004–18884, 69 FR 58343, Sept. 30, made, the application may be dis- 2004; USCG–2004–18884, 69 FR 68089, Nov. 23, approved. 2004; USCG–2006–25535, 71 FR 48483, Aug. 21, (ii) If an application is disapproved, 2006] the applicant will be notified in writing of the fact, and, except as provided § 12.02–4 Basis for denial of a mer- by this paragraph, the reason or rea- chant mariner’s document. sons for disapproval and advised that (a) No person who has been convicted the appeal procedures in § 1.03 of this by a court of record of a violation of chapter apply. No examination will be the dangerous-drug laws of the United given pending decision on appeal. The States, the District of Columbia, any applicant will be notified in writing of State, territory, or possession of the the reason or reasons for disapproval, United States, a foreign country, or unless the Coast Guard determines any military court, is eligible for a that such disclosure of information is merchant mariner’s document, except prohibited by law, regulation, or agen- as provided by paragraph (c) of this cy policy, in which case the reason(s) section. No person who has ever been will not be disclosed. the user of a dangerous drug, addicted (2) The Officer in Charge, Marine In- or not, or has ever been convicted of an spection will use table 12.02–4(c) to NDR offense described in section 205 of evaluate applicants for merchant mari- the National Driver Register Act of ner’s documents who have criminal 1982, as amended (49 U.S.C. 30304) be- convictions. The table lists major cat- cause of addiction to or abuse of alco- egories of criminal activity and is not hol is eligible for a merchant mariner’s to be construed as an all-inclusive list. document, unless he or she furnishes If an applicant is convicted of an of- satisfactory evidence of suitability for fense that does not appear on the list, service in the merchant marine as pro- the Officer in Charge, Marine Inspec- vided in paragraph (e) of this section. tion will establish an appropriate as- (b) An applicant who fails a chemical sessment period using the list as a test for dangerous drugs required by guide. The assessment period com- § 12.02–9 will not be issued a merchant mences when an applicant is no longer mariner’s document. incarcerated. The applicant must es- (c) Criminal Record Review and Safety tablish proof of the time incarcerated and Security Check. The Coast Guard and periods of probation and parole to may conduct a criminal record review the satisfaction of the Officer in and conduct a safety and security Charge, Marine Inspection. The assess- check of an applicant for a merchant ment period may include supervised or mariner’s document. An applicant pur- unsupervised probation or parole. A suing simultaneous transactions for conviction for a drug offense more than

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10 years prior to the date of application rine Inspection under paragraph (c)(2) will not alone be grounds for denial. of this section, then the Officer in (3) When an applicant has convictions Charge, Marine Inspection shall con- for more than one offense, the min- sider the conviction and, unless there imum assessment period will be the are offsetting factors, shall grant the longest minimum in table 12.02–4(c) and applicant the merchant mariner’s doc- table 12.02–4(d) based upon the appli- ument for which he or she has applied. cant’s convictions; the maximum as- Offsetting factors include such factors sessment period will be the longest as multiple convictions, failure to com- shown in table 12.02–4(c) and table ply with court orders (e.g., child sup- 12.02–4(d) based upon the applicant’s port orders), previous failures at reha- convictions. bilitation or reform, inability to main- (4) If a person with a criminal convic- tain steady employment, or any con- tion applies for a merchant mariner’s nection between the crime and the safe document before the minimum assess- operation of a vessel. If the Officer in ment period shown in table 12.02–4(c), Charge, Marine Inspection considers or established by the Officer in Charge, the applicant unsuitable for service in Marine Inspection under paragraph the merchant marine at the time of ap- (c)(2) of this section has elapsed, then plication, the Officer in Charge, Marine the applicant must provide, as part of Inspection may disapprove the applica- the application package, evidence of tion. suitability for service in the merchant (6) If a person with a criminal convic- marine. Factors which are evidence of tion applies for a merchant mariner’s suitability for service in the merchant document after the maximum assess- marine are listed in paragraph (e) of ment period shown in table 12.02–4(c) or this section. The Officer in Charge, Ma- established by the Officer in Charge, rine Inspection will consider the appli- Marine Inspection under paragraph cant’s evidence submitted with the ap- (c)(2) of this section, has elapsed, then plication and may issue the merchant the Officer in Charge, Marine Inspec- mariner’s document in less than the tion will grant the applicant the mer- listed minimum assessment period if chant mariner’s document for which he the Officer in Charge, Marine Inspec- or she has applied unless the Officer in tion is satisfied that the applicant is Charge, Marine Inspection considers suitable to hold the merchant mari- the applicant still unsuitable for serv- ner’s document for which he or she has ice in the merchant marine. If the Offi- applied. If an application filed before cer in Charge, Marine Inspection dis- the minimum assessment period has approves an applicant with a convic- elapsed does not include evidence of tion older than the maximum assess- suitability for service in the merchant ment period listed in table 12.02–4(c), marine, then the application will be the Officer in Charge, Marine Inspec- considered incomplete and will not be tion will notify the applicant in writ- processed by the Officer in Charge, Ma- ing of the reason(s) for the disapproval rine Inspection until the applicant pro- including the Officer in Charge, Marine vides the necessary evidence as set Inspection’s reason(s) for considering a forth in paragraph (e) of this section. conviction older than the maximum as- (5) If a person with a criminal convic- sessment period listed in table 12.02– tion applies for a merchant mariner’s 4(c). The Officer in Charge, Marine In- document during the time between the spection will also inform the applicant, minimum and maximum assessment in writing, that the reconsideration periods shown in table 12.02–4(c) or es- and appeal procedures contained in tablished by the Officer in Charge, Ma- § 1.03 of this chapter apply.

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TABLE 12.02–4(C)—GUIDELINES FOR EVALUATING APPLICANTS FOR MERCHANT MARINER’S DOCUMENTS WHO HAVE CRIMINAL CONVICTIONS

Assessment periods Crime 1 Minimum Maximum

Crimes Against Persons

Vehicular Crimes

Conviction involving fatality ...... 1 year ...... 5 years. Reckless Driving ...... 1 year ...... 2 years. Racing on the Highway ...... 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.

Crimes Involving National Security

Terrorism, Acts of Sabotage, Espionage and related offenses ...... 7 years ...... 20 years.

Dangerous Drug Offenses 3,4,5

Trafficking (sale, distribution, transfer) ...... 5 years ...... 10 years. Dangerous drugs (Use or possession) ...... 1 year ...... 10 years. Other dangerous drug convictions 6. 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. 2 Other crimes are to be reviewed by the Officer in Charge, Marine Inspection 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 (a) of this section. Note: Applicants for reissue of a merchant mariner’s document with a new expiration date including a renewal or additional endorsement(s), who have been convicted of a dangerous drug offense while holding a merchant mariner’s document, may have their application withheld until appropriate action has been completed by the Officer in Charge, Marine Inspection under the regulations which appear in 46 CFR part 5 governing the administrative actions against merchant mariner credentials. 4 The OCMI may consider dangerous drug convictions more than 10 years old only if there has been a dangerous drug conviction within the past 10 years. 5 Applicants must demonstrate rehabilitation under paragraph (e) of this section, including applicants with dangerous drug use convictions more than ten years old. 6 Other dangerous drug convictions are to be reviewed by the Officer in Charge, Marine Inspection on a case by case basis to determine the appropriate assessment period depending on the nature of the offense.

(d) National Driver Register. A mer- lates to the current suspension or rev- chant mariner’s document will not be ocation of the applicant’s license to op- issued or reissued with a new expira- erate a motor vehicle. The Officer in tion date unless the applicant consents Charge Marine Inspection may deter- to a check of the NDR for offenses de- mine minimum and maximum assess- scribed in section 205(a)(3)(A) or (B) of ment periods for NDR listed criminal the NDR Act (i.e., operation of a motor convictions using table 12.02–4(c). An vehicle while under the influence of, or applicant conducting simultaneous impaired by, alcohol or a controlled merchant mariner’s credential trans- substance; and any traffic violations actions is subject to only one NDR arising in connection with a fatal traf- check. fic accident, reckless driving, or racing (1) Any application may be dis- on the highways). The Officer in approved if information from the NDR Charge, Marine Inspection will not con- check leads the Officer in Charge, Ma- sider NDR listed civil convictions that rine Inspection to determine that the are more than 3 years old from the date applicant cannot be entrusted with the of request unless that information re-

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duties and responsibilities of the mer- NDR listed convictions. Non-drug or al- chant mariner’s document for which cohol related NDR listed convictions the application is made. If an applica- will be evaluated by the Officer in tion is disapproved, the Officer in Charge, Marine Inspection under table Charge, Marine Inspection will notify 12.02–4(c) as applicable. the applicant in writing of the rea- (4) An applicant may request an NDR son(s) for disapproval and advise the file check for personal use in accord- applicant that the appeal procedures in ance with the Federal Privacy Act of § 1.03 of this chapter apply. No exam- 1974 (Pub. L. 93–579) by contacting the ination will be given or merchant NDR at the following address: National mariner’s document issued pending de- Driver Register, Nassif Building, 400 cision on appeal. 7th Street SW., Washington, DC 20590. (2) Prior to disapproving an applica- (i) Applicants should request Form tion because of information received NDR-PRV or provide the following in- from the NDR, the Officer in Charge, formation on a notarized letter: Marine Inspection will make the infor- (A) Full legal name; mation available to the applicant for (B) Other names used; review and written comment. The ap- (C) Complete mailing address; plicant may submit reports from the (D) Driver license number; applicable State concerning driving (E) Eye color; record and convictions to the Coast (F) Social security number; Guard Regional Examination Center (G) Height; (REC) processing the application. The (H) Weight; and REC will hold an application with NDR (I) Sex. listed convictions pending the comple- (ii) The NDR will respond to every tion of the evaluation and delivery by valid inquiry including requests which the individual of the underlying State produce no record(s) on the NDR file. records. Records can be made available, within (3) The guidelines in table 12.02–4(d) a reasonable amount of time after the will be used by the Officer in Charge, request, for personal inspection and Marine Inspection when evaluating ap- copying during regular working hours plicants for merchant mariner’s docu- at 7:45 a.m. to 4:15 p.m., each day ex- ments who have drug or alcohol related cept Federal holidays.

TABLE 12.02–4(D)—GUIDELINES FOR EVALUATING APPLICANTS FOR MERCHANT MARINER’S DOCU- MENTS WHO HAVE NDR MOTOR VEHICLE CONVICTIONS INVOLVING DANGEROUS DRUGS OR ALCO- HOL 1

No. 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 years ... Application will be processed, unless suspension, or revocation 2 is still in effect. Applicant will be advised that additional conviction(s) may jeopardize merchant mariner credentials. 1 ...... More than 3 years old ...... Not necessary unless suspension or revocation is still in effect. 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 shall meet the requirements of paragraph (a) of this section. 2 Suspension or revocation, when referred to in table 12.02–4(d), means a State suspension or revocation of a motor vehicle operator’s license.

(e) If an applicant for an original for his or her conviction has elapsed; merchant mariner’s document has one the Officer in Charge, Marine Inspec- or more alcohol or dangerous drug re- tion may consider the following fac- lated criminal or NDR listed convic- tors, as applicable, in assessing the ap- tions; if the applicant has ever been the plicant’s suitability to hold a merchant user of, or addicted to the use of, a dan- mariner’s document. This list is in- gerous drug; or if the applicant applies tended as a guideline. The Officer in before the minimum assessment period

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Charge, Marine Inspection may con- or efficiency issued to the holder of the sider other factors which he or she book or certificate or document. Provi- judges appropriate, such as: sions of this section are not applicable (1) Proof of completion of an accred- to unrigged vessels except seagoing ited alcohol- or drug-abuse rehabilita- barges and certain tank barges. tion program. (b) Every seaman, as referred to in (2) Active membership in a rehabili- paragraph (a) of this section, shall tation or counseling group, such as Al- produce a continuous discharge book or coholics or Narcotics Anonymous. certificate of identification or mer- (3) Character references from persons chant mariner’s document representing who can attest to the applicant’s sobri- such a certificate to the United States ety, reliability, and suitability for em- shipping commissioner before signing ployment in the merchant marine in- Articles of Agreement, and where the cluding parole or probation officers. seaman is not signed on before a ship- (4) Steady employment. ping commissioner, one of these docu- (5) Successful completion of all con- ments shall be exhibited to the master ditions of parole or probation. of the vessel at the time of his employ- [CGFR 69–116, 35 FR 6860, Apr. 30, 1970, as ment. Seamen who do not possess one amended by CGD 91–223, Jan. 23, 1995; CGD of these documents may be employed 95–072, 60 FR 50460, Sept. 29, 1995; CGD 91–212, at a foreign port or place. 60 FR 65487, Dec. 19, 1995; USCG-2003–14500, 69 (c)(1) Every person employed on any FR 531, Jan. 6, 2004; USCG-2004–18884, 69 FR merchant vessel of the United States of 58343, Sept. 30, 2004] 100 gross tons and upward, except those § 12.02–5 Form in which documents navigating rivers exclusively and the are issued. smaller inland lakes, below the rank of (a) Every certificate of service, cer- licensed officer and registered staff of- tificate of efficiency, or certificate of ficer, shall possess a valid certificate of identification issued or reissued after service, or merchant mariner’s docu- November 1, 1945, shall be in the form ment representing such certificate, of a merchant mariner’s document, issued by an Officer in Charge, Marine Coast Guard Form CG-2838, and wher- Inspection. ever such certificates are mentioned in (2) No certificate of service or effi- this part they shall be deemed to in- ciency is required of any person below clude merchant mariner’s documents the rank of licensed officer employed representing such certificates. on any unrigged vessel except seagoing (b) Continuous discharge books are barges and certain tank barges. issued on Coast Guard Form CG-719B. (3) No certificate of service or efficiency is required of any person below [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as amended by USCG-2003–14500, 69 FR 532, Jan. the rank of licensed officer employed 6, 2004] on any sail vessel of less than 500 net tons while not carrying passengers for § 12.02–7 When documents are re- hire and while not operating outside quired. the line dividing inland waters from (a) Every seaman employed on any the high seas, as defined in section 2 of merchant vessel of the United States of the act of February 19, 1895, as amend- 100 gross tons or upward, except vessels ed (33 U.S.C. 151) and in 33 CFR part 82. employed exclusively in trade on the (d) After January 31, 1997, each per- navigable rivers of the United States, son serving as a rating forming part of shall be issued, at the option of the a navigational watch on a seagoing seaman, a continuous discharge book, a ship of 500 gross tons or more shall certificate of identification, or mer- hold an STCW endorsement certifying chant mariner’s document representing him or her as qualified to perform the such certificate of identification, navigational function at the support which shall be retained by him. This level, in accordance with STCW (incor- book or certificate of identification or porated by reference in § 12.01–3). merchant mariner’s document will bear (e) After January 31, 2002, each per- a number, and this same number shall son serving as a rating forming part of be shown on all certificates of service a watch in a manned engine-room or

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designated to perform duties in a peri- of efficiency, merchant mariner’s docu- odically unmanned engine-room, on a ment, or any combination thereof, or a seagoing ship driven by main propul- continuous discharge book, the seaman sion machinery of 750 kW [1,000 hp] of shall furnish three unmounted dull fin- propulsion power or more, shall hold an ish photographs of passport type (2 STCW endorsement certifying him or inches by 11⁄2 inches) taken within one her as qualified to perform the marine- year and showing the full face at least engineering function at the support one inch in height with head uncov- level, in accordance with STCW. ered. (f) Notwithstanding any other rule in (2) When the application requests a this part, no unlicensed person serving continuous discharge book in addition on any of the following vessels needs to a certificate of service or certificate hold an STCW endorsement, either because he or she is exempt from applica- of efficiency or merchant mariner’s tion of the STCW, or because the ves- document one additional photograph sels are not subject to further obliga- shall be furnished. tion under STCW, on account of their (c) An applicant for a document special operating conditions as small where sea service is required shall vessels engaged in domestic voyages: produce with his application discharges (1) Small passenger vessels subject to or other documentary evidence of his subchapter T or K of title 46, CFR. service, indicating the name of the ves- (2) Vessels of less than 200 GRT sels and dates on which he has had (other than passenger vessels subject service, in what capacity and on what to subchapter H of title 46, CFR). waters. (3) Uninspected passenger vessels as (d) If the applicant possesses a con- defined in 46 U.S.C. 2101(42). tinuous discharge book, certificate of (4) Fishing vessels as defined in 46 identification, or merchant mariner’s U.S.C. 2101(11)(a). document representing such certifi- (5) Fishing vessels used as fish-tender cate, it shall be exhibited at the time vessels as defined in 46 U.S.C. of making application for any other 2101(11)(c). (6) Barges as defined in 46 U.S.C. document. 2101(2), including non-self-propelled (e) Approved applications are valid mobile offshore-drilling units. for 12 months. (7) Vessels operating exclusively on (f) Except for applicants requesting the Great Lakes. an inactive merchant mariner’s document renewal under § 12.02–27(g) of this [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 95–062, 62 FR 34535, June 26, part, to obtain an original issuance of 1997; USCG-1999–5610, 67 FR 66068, Oct. 30, a merchant mariner’s document, the 2002] first endorsement as an able seaman, lifeboatman, qualified member of the § 12.02–9 Application for documents. engine department, or tankerman, or a (a) General. The Coast Guard will not reissuance of a merchant mariner’s process an incomplete merchant mari- document with a new expiration date, ner’s document application. It will each applicant shall present evidence process an application that is current of having passed a chemical test for and up-to-date with respect to service, dangerous drugs or of qualifying for an physical examination, and other perti- exception from testing in § 16.220 of this nent matters. In the case of a seaman subchapter. applying for his first certificate, other (g) Each applicant for a merchant than certificate of identification, the mariner’s document may be subject to application shall include a request for a criminal record review and a safety either a continuous discharge book or a and security check as described by merchant mariner’s document rep- § 12.02–4(c). resenting a certificate of identification, at the option of the applicant. (b)(1) When the application is submitted for a certificate of identification, certificate of service, certificate

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(h) Each applicant for a merchant will be endorsed for, any unlicensed rat- mariner’s document shall comply with ing in the deck department, except able the NDR requirements in § 12.02–4(d). seaman, and will be a certificate of [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as service authorizing the holder to serve amended by CGD 74–178, 40 FR 57673, Dec. 11, in any unlicensed capacity in the deck 1975; CGD 91–211, 59 FR 49300, Sept. 27, 1994; department, except able seaman, with- CGD 91–223, 60 FR 4525, Jan. 23, 1995; CGD 91– out being required to present his li- 212, 60 FR 65489, Dec. 19, 1995; USCG-2003– cense. If a licensed deck officer quali- 14500, 69 FR 532, Jan. 6, 2004] fies as able seaman, the merchant mariner’s document will be endorsed, § 12.02–10 Applications for documents from aliens. any unlicensed rating in the deck department, including able seaman, and such (a) No application from an alien for a endorsement will be deemed to include certificate of service, certificate of effi- a certificate of efficiency as ciency, certificate of identification, lifeboatman. continuous discharge book, or mer- (2) A merchant mariner’s document chant mariner’s document shall be ac- issued to an engineer officer licensed cepted unless the alien presents accept- for inspected vessels of over 2,000 horse- able documentary evidence from the power, will be endorsed for any unli- United States US Citizenship and Im- censed rating in the engine department, migration Services that he is lawfully and will be a certificate of service au- admitted to the United States for per- thorizing the holder to serve in any un- manent residence. licensed capacity in the engine depart- (b) This evidence may be in the form ment without being required to present of an alien registration receipt card issued by the US Citizenship and Immi- his license. If a licensed engineer quali- gration Services bearing the certifi- fies as a lifeboatman, the further en- cation that the alien was admitted to dorsement, lifeboatman, will be placed the United States as an immigrant, or on the merchant mariner’s document. a declaration of intention to become a (3) A merchant mariner’s document citizen of the United States issued by a issued to a licensed radio officer will be naturalization court. endorsed as follows: See License as Radio Officer. If a licensed radio officer [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as qualifies as a lifeboatman, the further amended by USCG-2004–18884, 69 FR 58343, endorsement, Lifeboatman, will be Sept. 30, 2004] placed on the merchant mariner’s doc- § 12.02–11 General provisions respect- ument. Qualifications for other ratings ing merchant mariners’ documents. for which a radio officer is eligible may (a) As provided in § 12.02–5, every cer- also be endorsed on the document. tificate of service, certificate of effi- (e)(1) A merchant mariner’s docu- ciency, or certificate of identification ment issued to a staff officer will be issued or reissued shall be in the form endorsed as follows: See Certificate of of a merchant mariner’s document, Registry. The holder of a certificate of Coast Guard Form CG-2838. registry as chief purser, purser, senior (b) Any licensed officer or unlicensed assistant purser, or junior assistant seaman currently holding, in a valid purser, may also serve in any capacity status, any of the documents listed in in the staff department not requiring a paragraph (a) of this section may, upon certificate of registry without obtain- request and without examination, be ing an additional endorsement on his issued a merchant mariner’s document. merchant mariner’s document. (c) A merchant mariner’s document (2) The authorized holder of any valid shall be a certificate of service author- merchant mariner’s document, how- izing the holder to serve in any rating ever endorsed, may serve in any capac- endorsed thereon, or in any lower rat- ity in the staff department of a vessel, ing in the same department, or in any except in those capacities requiring rating covered by a general endorse- registered staff officers: Provided, That ment thereon. whenever such service includes the (d)(1) A merchant mariner’s docu- handling of food no person may be so ment issued to a licensed deck officer employed unless his document bears

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the food handler’s endorsement instruction required under Chapter VI ‘‘(F.H.).’’ of STCW. (f) A merchant mariner’s document [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as endorsed as able seaman or as amended by CGD 95–062, 62 FR 34535, June 26, lifeboatman shall be a certificate of ef- 1997; USCG-1999–5610, 67 FR 66068, Oct. 30, ficiency as lifeboatman. 2002; USCG-2004–18884, 69 FR 58343, Sept. 30, (g) Every merchant mariner’s docu- 2004] ment shall be a certificate of identification unless the holder also holds a § 12.02–12 Identity. continuous discharge book. The holder (a) Each person applying for a mer- of a certificate of identification in the chant mariner’s document shall form issued before November 1, 1945, present acceptable proof of identity. shall surrender that certificate before Proof of identity shall consist of two he is issued a merchant mariner’s docu- current forms of identification, one of ment. which shall contain a photo of the ap- (h) When a merchant mariner’s docu- plicant. The Coast Guard may require ment is issued, renewed, or endorsed, other identification information rea- the Officer in Charge, Marine Inspec- sonably necessary to prove the appli- tion, will determine whether the holder cant’s identity. of the document is required to hold an (b) The following credentials are ac- STCW endorsement for service on a ceptable proof of identity: seagoing vessel, and then, if the holder (1) Unexpired U.S. military identi- is qualified, the Officer in Charge, Ma- fication card; rine Inspection will issue the appro- (2) Unexpired U.S. driver’s license; priate endorsement. The Officer in (3) Unexpired U.S. passport; Charge, Marine Inspection will also (4) Unexpired official identification issue an STCW endorsement at other card issued by a federal, State, or local times, if circumstances so require and government or by a territory or posses- if the holder of the document is quali- sion of the U.S. (including a federal fied to hold the endorsement. The Offi- employee’s identification credential); cer in Charge, Marine Inspection will (5) Unexpired port credential, with issue an STCW endorsement for the fol- photo of the applicant, issued by State lowing ratings: or local port authority; (1) A rating forming part of a naviga- (6) Unexpired law enforcement cre- tional watch on a seagoing ship of 500 dential, with photo of the applicant; GT or more if the holder of the docu- (7) Unexpired merchant mariner’s ment is qualified in accordance with document issued after February 3, 2003; STCW Regulation II/4 and Section A-II/ (8) Unexpired foreign passport; or 4 of the STCW Code (incorporated by (9) Birth Certificate or Birth Reg- reference in § 12.01–3), to perform the istration, issued by a State, county, navigational function at the support municipality or outlying possession of level. the U.S. (2) A rating forming part of a watch in a manned engine-room, or des- [USCG-2003–14500, 69 FR 532, Jan. 6, 2004] ignated to perform duties in a periodically unmanned engine-room, on a sea- § 12.02–13 Citizenship requirements. going ship driven by main propulsion (a) Any person making application machinery of 750 kW [1,000 hp] of pro- for a continuous discharge book or a pulsion power or more, if the holder is certificate of identification or a mer- qualified in accordance with STCW chant mariner’s document representing Regulation III/4 and Section A-III/4 of a certificate of identification and the STCW Code, to perform the marine- claiming to be a citizen of the United engineering function at the support States shall present acceptable evi- level. dence of such citizenship at the time of (i) At the request of the holder of the making application. No original docu- document, the Officer in Charge, Ma- ment shall be issued to any person rine Inspection may add an endorse- claiming to be a citizen of the United ment to indicate that a qualified hold- States until such citizenship is estab- er has received basic safety-training or lished by acceptable evidence.

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(b) The OCMI may reject any evi- tificate of identification shall present dence of citizenship that is not be- acceptable evidence of nationality at lieved to be authentic. Acceptable evi- the time of making application. No dence of citizenship may be an original original document shall be issued to or a copy certified as true by the agen- any alien until nationality is estab- cy responsible for issuing the document lished by acceptable evidence. of the following: (b) Any document of an official char- (1) Birth certificate or birth registra- acter showing the country of which the tion; alien is a citizen or subject may be ac- (2) Certificate of naturalization cepted as acceptable evidence of an (original must be presented; photo- alien’s nationality. The following are copies are unlawful); examples of such a document: (3) Baptismal certificate or parish record recorded within one year after (1) Declaration of intention to be- birth; come a citizen of the United States (4) Statement of a practicing physi- made by the alien after 1929. cian certifying the physician’s attend- (2) A travel document in the nature ance at the birth and who possesses a of a passport issued by the government record showing the date and location of the country of which the alien is a at which it occurred; citizen or subject. (5) State Department passport; (3) A certificate issued by the con- (6) A merchant mariner’s document sular representative of the country of issued by the Coast Guard after Feb- which the alien is a citizen or subject. ruary 3, 2003, that shows that the hold- (c) Should any doubt arise as to er is a citizen of the U.S.; whether or not the document presented (7) Delayed certificate of birth issued may be considered as acceptable evi- under a state seal in the absence of any dence of the alien’s nationality, the collateral facts indicating fraud in its matter shall be referred to the Com- procurement; or manding Officer, National Maritime (8) Certificate of Citizenship issued Center, for decision. by the US Citizenship and Immigration Services or by the Bureau of Citizen- [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as ship and Immigration Services; amended by CGD 95–072, 60 FR 50460, Sept. 29, (c) If the applicant can not meet the 1995; USCG-1998–4442, 63 FR 52189, Sept. 30, requirements set forth in paragraphs 1998] (b)(1) through (8) of this section, the applicant must make a statement to § 12.02–15 Oath requirement. that effect, and may submit data of the Applicants for a merchant mariner’s following character for consideration: document for any rating shall take an (1) Report of the Census Bureau oath before an Officer in Charge, Ma- showing the earliest available record of rine Inspection, or other official au- age or birth. thorized to give such oath, or a com- (2) Affidavits of parents, other rel- missioned officer of the Coast Guard ative, or two or more responsible citi- authorized to administer oaths under zens of the U.S. stating citizenship. 10 U.S.C. 936 or 14 U.S.C. 636, that they (3) School records, immigration will faithfully and honestly perform all records, or insurance policies. the duties required of them by law and [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as carry out all lawful orders of superior amended at 60 FR 50460, Sept. 29, 1995; USCG- officers on shipboard. Such an oath re- 1998–4442, 63 FR 52189, Sept. 30, 1998; USCG- mains binding for all subsequent mer- 2001–10224, 66 FR 48619, Sept. 21, 2001; USCG- 2003–14500, 69 FR 532, Jan. 6, 2004; USCG-2004– chant mariner’s documents issued to a 18884, 69 FR 58343, Sept. 30, 2004] person until the document is surrendered to the Officer in Charge, Marine § 12.02–14 Nationality of aliens. Inspection. (a) Any alien making application for [CGD 91–211, 59 FR 49300, Sept. 27, 1994] a continuous discharge book or certificate of identification or merchant mariner’s document representing a cer-

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§ 12.02–17 Preparation and issuance of reexamination. However, an applicant documents. may apply for examination by another (a) Upon application of a person for a Officer in Charge, Marine Inspection merchant mariner’s document, any re- before the expiration of the 30 day pe- quired examination will be given as riod if sanctioned by the Officer in soon as practicable. Charge, Marine Inspection who refused (b) Upon determining that the appli- the applicant. cant satisfactorily meets all require- (h) The mariner shall return the pre- ments for the document and any en- vious MMD when a new MMD is issued. dorsements requested, the Officer in Charge, Marine Inspection, shall issue [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 72–81R, 37 FR 10834, May 31, the appropriate document to the appli- 1972; 44 FR 21021, Apr. 9, 1979; CGD 91–211, 59 cant. A merchant mariner’s document FR 49300, Sept. 27, 1994; CGD 95–062, 62 FR is valid for a term of 5 years from the 34535, June 26, 1997; USCG-2003–14500, 69 FR date of issuance. Any document which 532, Jan. 6, 2004] is renewed or reissued prior to its expiration date automatically becomes § 12.02–18 Fees. void upon issuance of the replacement (a) Use table 12.02–18 to determine document. the fees that you must pay for mer- (c) When a person applies for a merchant mariner document activities in chant mariner’s document, he or she this part. must— (1) Sign the document; and (b) Unless otherwise specified in this (2) Provide acceptable proof of iden- part, when two documents are proc- tity as described in § 12.02–12. essed on the same application— (d) For recordkeeping purposes, the (1) Evaluation fees. If a merchant mar- official identification number is a sea- iner document transaction is processed man’s social security number. on the same application as a license or (e) After July 31, 1998, an applicant certificate of registry transaction, only for a merchant mariner’s document the license or certificate of registry who will be serving on a seagoing ves- evaluation fee will be charged; sel of 200 GRT or more shall provide a (2) Examination fees. If a license ex- document issued by a qualified medical amination under part 10 also fulfills practitioner attesting the applicant’s the examination requirements in this medical fitness to perform the func- part for a merchant mariner document, tions for which the document is issued. only the fee for the license examina- (f) An applicant for a certificate of tion is charged; and service or efficiency who has been duly (3) Issuance fees. A separate issuance examined and refused a certificate by fee will be charged for each document an Officer in Charge, Marine Inspection issued. may come before the same Officer in (c) You may pay— Charge, Marine Inspection for reexam- (1) All fees required by this section ination at any time after the date of when you submit your application; or the initial examination. The Officer in (2) A fee for each phase at the fol- Charge, Marine Inspection sets the lowing times: time of reexamination based on the applicant’s performance on the initial ex- (i) An evaluation fee when you sub- amination. However, the maximum mit your application. waiting period after the initial failure (ii) An examination fee before you will be 30 days, and the maximum wait- take the first examination section. ing period after a second or subsequent (iii) An issuance fee before you re- failure will be 90 days. ceive your merchant mariner docu- (g) An applicant who has been exam- ment. ined and refused a certificate by an Of- (d) If you take your examination ficer in Charge, Marine Inspection may someplace other than a Regional Ex- not make application for examination amination Center (REC), you must pay to any other Officer in Charge, Marine the examination fee to the REC at Inspection until 30 days after the appli- least one week before your scheduled cant’s last failure of an examination or examination date.

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(e) Unless the REC provides addi- (4) If you pay in person, you may pay tional payment options, your fees may with cash, check, or money order at be paid as follows: Coast Guard units where Regional Ex- (1) Your fee payment must be for the amination Centers are located. exact amount. (f) The Coast Guard may assess (2) Make your check or money order charges for collecting delinquent pay- payable to the U.S. Coast Guard, and ments or returned checks. The Coast write your social security number on Guard will not provide documentation the front of each check or money order. services to a mariner who owes money (3) If you pay by mail, you must use for documentation services previously either a check or money order. provided.

TABLE 12.02–18—FEES

And you need— If you apply for— Evaluation—Then Examination— Issuance—Then the fee is— Then the fee is— the fee is—

Merchant Mariner Document: Original: Without endorsement ...... $95 ...... n/a ...... $45. With endorsement ...... $95 ...... $140 ...... $45. Endorsement for qualified rating ...... $95 ...... $140 ...... $45. Upgrade or Raise in Grade ...... $95 ...... $140 ...... $45. Renewal without endorsement for qualified rating ...... $50 ...... n/a ...... $45. Renewal with endorsement for qualified rating ...... $50 ...... $45 ...... $45. Renewal for continuity purposes ...... n/a ...... n/a ...... $45. Reissue, Replacement, and Duplicate ...... n/a ...... n/a ...... $45.1 STCW Certification: Original ...... No fee ...... No fee ...... No fee. Renewal ...... No fee ...... No fee ...... No fee. Other Transactions: Duplicate Continuous Discharge Book ...... n/a ...... n/a ...... $10. Duplicate record of sea service ...... n/a ...... n/a ...... $10. Copy of certificate of discharge ...... n/a ...... n/a ...... $10. 1 Duplicate for document lost as result of marine casualty—No Fee.

[USCG-1997–2799, 64 FR 42815, Aug. 5, 1999; 64 FR 53231, Oct. 1, 1999]

§ 12.02–19 Suspension or revocation of and number or type of the document documents. revoked. Any certificate of service or of effi- (b) No applicant who has had a cer- ciency or merchant mariner’s docu- tificate or other document revoked will ment representing such certificate(s) is be certificated in the same or any subject to suspension or revocation on other rating except upon approval of the same grounds and in the same man- the Commanding Officer, National ner and with like procedure as is pro- Maritime Center. vided in the case of suspension or rev- [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as ocation of licenses of officers under the amended by CGD 95–072, 60 FR 50460, Sept. 29, provisions of 46 U.S.C. Chapter 77. 1995; USCG-1998–4442, 63 FR 52189, Sept. 30, 1998] [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 95–028, 62 FR 51196, Sept. 30, § 12.02–23 Issuance of duplicate docu- 1997] ments. § 12.02–21 Issuance of documents after (a) If a seaman loses his continuous revocation. discharge book, merchant mariner’s document or certificate of discharge by (a) An applicant who has had a cer- shipwreck or other casualty, he shall tificate or other document revoked and be supplied with a reissue of such docu- who is applying for certification in the ments free of charge. The phrase or same or any other rating shall state in other casualty as used in this section is his application the date of revocation interpreted to mean any damage to a

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ship caused by collision, explosion, tor- § 12.02–24 Reporting loss of continuous nado, wreck or flooding of the ship, discharge book, merchant mariner’s such as a tidal wave or a grounding of document, or certificate of dis- the ship on a sand bar, or a beaching of charge. the ship on a shore or by fire or other Whenever a mariner loses a contin- causes in a category with these men- uous discharge book, merchant mari- tioned. ner’s document, or certificate of dis- (b) If a seaman loses a continuous charge, the mariner shall immediately discharge book, merchant mariner’s report the loss to the nearest OCMI. document, or certificate of discharge The report shall be made in writing otherwise than by shipwreck or other giving the facts incident to its loss. casualty and applies for a reissue, the [USCG-2003–14500, 69 FR 532, Jan. 6, 2004] appropriate fee set out in table 12.02–18 in § 12.02–18 is required. § 12.02–25 Right of appeal. (c) A person entitled to a duplicate Any person directly affected by a de- merchant mariner’s document, dupli- cision or action taken under this part, cate continuous discharge book, copies by or on behalf of the Coast Guard, of certificates of discharge, or record of may appeal therefrom in accordance sea service may obtain the documents with subpart 1.03 of this chapter. by applying at any Regional Examina- tion Center referenced in § 12.01–7 by: [CGD 88–033, 54 FR 50379, Dec. 6, 1989] (1) Completing the application form § 12.02–27 Requirements for renewal of provided by the Coast Guard; and a merchant mariner’s document. (2) Paying the fee set out in table (a) General. Except as provided in 12.02–18 in § 12.02–18. paragraph (g) of this section, an appli- (d) Each person issued a document cant for renewal of a merchant mari- described in § 12.02–5, shall report its ner’s document shall establish posses- loss to an Officer in Charge, Marine In- sion of all of the necessary qualifica- spection. tions before the document is renewed. (e) If a merchant mariner’s document The Coast Guard will not process an or service record is lost, the seaman application until the applicant has sub- may obtain a duplicate by following mitted a complete application package the procedures in paragraph (c) of this that complies with the requirements of section and by signing an affidavit, be- § 12.02–9. A request for a renewed mer- fore the OCMI or a designated rep- chant mariner’s document may be de- resentative, explaining the loss of the nied for any reason listed in § 12.02–4. document or service record. The Coast (1) Each application for a merchant Guard will not process any application mariner’s document must be made on for a duplicate merchant mariner’s form CG-719B furnished by the Coast document unless the applicant com- Guard and be accompanied by the eval- plies with the requirements of § 12.02–9. uation fee (including examination and (f) No application from an alien for a issuance fees when required) estab- duplicate merchant mariner’s docu- lished in Table 12.02–18 of § 12.02–18. ment shall be accepted unless the alien Each application must contain all nec- complies with the requirements of essary proofs of qualifications, iden- § 12.02–10. tity, and citizenship or nationality. It (g) The Coast Guard may deny appli- must be current and up-to-date with cations for duplicate merchant mari- respect to service, the physical exam- ner’s documents for any reason listed ination, and all other pertinent mat- in § 12.02–4. ters. (2) The applicant may apply either in [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as person at any Regional Examination amended by CGFR 71–168, 36 FR 23297, Dec. 8, Center referenced in § 12.01–7(a) or by 1971; CGD 72–81R, 37 FR 10834, May 31, 1972; CGD 91–002, 58 FR 15239, Mar. 19, 1993; USCG- mail under paragraph (e)(3) of this sec- 1997–2799, 64 FR 42816, Aug. 5, 1999; USCG- tion. 2003–14500, 69 FR 532, Jan. 6, 2004; USCG-2004– (3) Each applicant who elects to 18884, 69 FR 58343, Sept. 30, 2004; USCG–2008– renew by mail shall submit the mer- 0906, 73 FR 56508, Sept. 29, 2008] chant mariner’s document with his or

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her application. If a document is sub- eral physical condition, and must have mitted, it will not be returned to the been completed within the previous 12 applicant. A photocopy of a merchant months. mariner’s document showing both the (2) If the Officer in Charge, Marine front and the back of the document Inspection has reason to believe that may be submitted in place of the exist- an applicant suffers from some phys- ing document. ical impairment or medical condition (4) The expiration date of a merchant which would render the applicant in- mariner’s document that was issued competent to perform the duties of the without an expiration date is deter- qualified rating(s) (other than mined in accordance with § 12.02–29. lifeboatman), the applicant may be re- (5) Each applicant shall comply with quired to submit the results of an ex- § 12.02–09(b)(1) of this part. amination by a licensed physician or (b) Fitness. No merchant mariner’s physician assistant that meets the re- document will be renewed if it has been quirements for originally obtaining the suspended without probation or re- rating(s). voked as a result of action under part (3) An applicant who has lost sight in 5 of this chapter, or facts which would one eye may renew a merchant mari- render a renewal improper have come ner’s document with qualified ratings, to the attention of the Coast Guard. provided the applicant is qualified in (c) Professional requirements. (1) In all other respects and that the visual order to renew a merchant mariner’s acuity in the remaining eye passes the document endorsed with a qualified test required in § 10.205(d) of this chap- rating, the applicant shall comply with ter. one of the following: (i) Present evidence of at least 1 year (e) Special circumstances—(1) of sea service during the past 5 years; Reissuance after expiration, Period of (ii) Pass a comprehensive, open-book grace. Except as provided in this para- exercise covering the general subject graph, a merchant mariner’s document matter required by this part for the ap- may not be renewed more than 12 plicable endorsement or pass an open- months after it has expired. To obtain book license exercise that covers the a reissuance of a merchant mariner’s same subject matter required for the document expired more than 12 MMD endorsement; months, an applicant shall comply (iii) Complete an approved refresher with the requirements of paragraph (f) training course; or, of this section. When an applicant’s (iv) Present evidence of employment merchant mariner’s document expires in a position closely related to the op- during a time of service with the eration, construction, or repair of ves- Armed Forces and there is no reason- sels (either deck or engineer as appro- able opportunity for renewal, including priate for the endorsement) for at least by mail, this 12-month period of grace 3 years during the past 5 years. may be extended. The period of mili- (2) There are no professional require- tary service following the date of mer- ments for renewal of a merchant mari- chant mariner’s document expiration ner’s document that is not endorsed which precluded renewal may be added with any qualified ratings. to the 12 month period of grace. The 12 (d) Physical requirements. (1) An appli- month period of grace, and any exten- cant for renewal of a merchant mari- sion, do not affect the expiration date ner’s document endorsed with a quali- of the document. A merchant mariner’s fied rating other than lifeboatman, document, and any endorsements that shall submit a certification by a li- it contains, are not valid for use after censed physician or physician assistant the expiration date. that he or she is in good health and has (2) Renewal in advance. A merchant no physical impairment or medical mariner’s document may not be re- condition which would render him or newed more that 12 months before expi- her incompetent to perform the ordi- ration unless it is being renewed in nary duties of that qualified rating(s). conjunction with a license or certifi- This certification must address visual cate of registry which is either due for acuity and hearing in addition to gen- renewal or being upgraded, or unless

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the Officer in Charge, Marine Inspec- plied in person, shown the proofs of tion is satisfied that special cir- identity, submitted the expired or ex- cumstances exist to justify renewal. piring document with the application, (3) Renewal by mail. (i) Applications and provided fingerprints, then the re- for renewal of merchant mariner’s doc- newed document may be mailed to an uments by mail may be sent to any address provided by the applicant. Coast Guard Regional Examination (f) Reissuance of expired merchant Center. The following documents must mariner’s documents. (1) Whenever an be submitted: applicant applies for reissuance of a (A) A completed application and the merchant mariner’s document endorsed evaluation fee (including examination with qualified rating(s) more than 12 and issuance fees when required) estab- months after expiration, in lieu of the lished in Table 12.02–18 in § 12.02–18. requirements of paragraph (c) of this (B) The document to be renewed, or, section the applicant shall dem- if it has not expired, a photocopy of it, onstrate continued professional knowl- showing both the front and the back. edge for each qualified rating for which (C) A copy (both front and back if the reissuance is sought by completing a credentials are printed on two sides) of course approved for this purpose or, by two credentials deemed acceptable passing the complete examination for proofs of identity in § 12.02–12, one of each rating, or by passing the examina- which must be a photo identification. tion for a related license required by (D) A certification from a licensed § 10.209(f)(1) of this chapter. The fees physician or physician assistant in ac- listed in tables in §§ 12.02–18 and 10.109 cordance with paragraph (d) of this sec- apply to these examinations. tion. (2) A merchant mariner’s document (E) Evidence of, or acceptable sub- without any qualified rating endorse- stitute for, sea service in accordance ments that has been expired more than with paragraph (c) of this section. 12 months shall be reissued in the same (ii) The open-book exercise, if re- manner as a current merchant mari- quired, may be administered through ner’s document. There are no addi- the mail. tional requirements for reissuing mer- (4) Concurrent renewal of merchant chant mariner’s documents without mariner’s documents, and licenses, or cer- qualified ratings that have been ex- tificates of registry. An applicant for pired more than 12 months. concurrent renewal of more than one (g) Inactive document renewal. (1) Ap- merchant mariner credential shall sat- plicants for renewal of merchant mari- isfy the individual renewal require- ner’s documents that are endorsed with ments and pay the applicable fees re- qualified ratings, who are unwilling or quired by tables in §§ 12.02–18 and 10.109 otherwise unable to meet the require- of this chapter for each merchant mari- ments of paragraphs (c) or (d) of this ner’s document, license, or certificate section may renew the merchant mari- of registry being renewed. ner’s document, with the following re- (5) Each applicant applying for restrictive endorsement placed on the newal by mail must appear in person at document: ‘‘Continuity only; service an REC at least one time during the under document prohibited.’’ Holders application process to obtain a renewed of merchant mariner’s documents with merchant mariner’s document. At that this continuity endorsement may have time, the applicant must show the the prohibition rescinded at any time same proofs of identity submitted with by satisfying the renewal requirements the application package as required by in paragraphs (c) and (d) of this section paragraph (e)(3)(i)(C) of this section. and § 12.02–9(f) of this part. No other proofs of identity will be ac- (2) Applications for renewal of a doc- cepted. At the time the applicant ap- ument with the continuity endorse- pears in person at the REC, the appli- ment must include: cant shall provide fingerprints in a (i) The document to be renewed, or, if form and manner specified by the Coast it is unexpired, a photocopy of the doc- Guard. The applicant shall return the ument including the back and, expired or expiring document to the (ii) A signed statement from the ap- Coast Guard. If the applicant has applicant attesting to an awareness of

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the restriction to be placed on the re- (i) Have experience, training, or in- newed document and of the require- struction in effective instructional ments for rescinding the continuity en- techniques; dorsement. (ii) Are qualified in the task for which the training is being conducted; [CGD 91–211, 59 FR 49301, Sept. 27, 1994, as and amended by CGD 91–223, 60 FR 4525, Jan. 23, 1995; USCG-1997–2799, 64 FR 42816, Aug. 5, (iii) Hold the level of license, en- 1999; USCG-2003–14500, 69 FR 532, Jan. 6, 2004; dorsement, or other professional cre- USCG–2008–0906, 73 FR 56508, Sept. 29, 2008] dential required of those who would apply, on board a vessel, the relevant § 12.02–29 [Reserved] level of knowledge, skills, and abilities described in the training objectives. Subpart 12.03—Approved and (4) Neither a specialist in a particular Accepted Training field of non-maritime education, such as mathematics or first aid, nor a per- § 12.03–1 Coast Guard-accepted train- son with at least 3 years of service as a ing other than approved courses. member of the Armed Forces of the United States, specializing in a par- (a) When the training and assessment ticular field, need hold a maritime li- of competence required by part 10 of cense or document to conduct training this chapter or by this part 12 are not in that field. subject to approval under § 10.302 of (5) A simulator may be used in train- this chapter, but are used to qualify to ing if— hold an STCW certificate or endorse- (i) The simulator meets applicable ment for service on or after February 1, performance standards; 2002, the training and assessment must (ii) The instructor has gained prac- meet the following requirements: tical operational experience on the par- (1) The training and assessment must ticular type of simulator being used; have written, clearly defined objectives and that emphasize specific knowledge, (iii) The instructor has received ap- skills, and abilities, and that include propriate guidance in instructional criteria to be used in establishing a techniques involving the use of simula- student’s successful achievement of the tors. training objectives. (6) Essential equipment and instruc- (2) The training must be set out in a tional materials must afford each stu- written syllabus that conforms to a dent adequate opportunity to partici- Coast Guard-accepted outline for such pate in exercises and acquire practice training and includes— in performing required skills. (i) The sequence of subjects to be cov- (7) A process for routinely assessing ered; the effectiveness of the instructors, in- (ii) The number of hours to be de- cluding the use of confidential evalua- voted to instruction in relevant areas tions by students, is in place. of knowledge; (8) Documentary evidence is readily (iii) The identity and professional available to establish that any evalua- qualifications of the instructor(s) to be tion of whether a student is competent conducting the training or providing in accordance with standards, methods, instruction; and criteria set out in part A of the (iv) The identity of other media or fa- STCW Code (incorporated by reference cilities to be used in conducting the in § 12.01–3) is conducted by a des- training; and ignated examiner who has experience, (v) Measurements at appropriate in- training, or instruction in assessment tervals of each candidate’s progress to- techniques. ward acquisition of the specific knowl- (9) Records of the student’s perform- edge, skills, and abilities stated in the ance are maintained for at least 1 year training objectives. by the offeror of the training and as- (3) Except as provided in paragraph sessment. (a)(4) of this section, documentary evi- (10) To ensure that the training is dence must be readily available to es- meeting its objectives, and the require- tablish that all instructors— ments of paragraphs (a) (1) through (9)

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of this section, its offeror must ei- records otherwise relating to para- ther— graphs (a) (1) through (10) of this sec- (i) Be regulated as a maritime acad- tion. emy or marine academy pursuant to 46 (b) The Coast Guard will maintain a CFR part 310; or list of training each of whose offerors (ii) Monitor it in accordance with a submits a certificate, initially not less Coast Guard-accepted QSS, which must than 45 calendar days before offering include the following features: training under this section, and annu- (A) The training must be provision- ally thereafter, signed by the offeror or ally certified, on the basis of an initial its authorized representative, stating independent evaluation conducted that the training fully complies with under a Coast Guard-accepted QSS, as requirements of this section, and iden- being capable of meeting its stated ob- tifying the Coast Guard-accepted QSS jective. being used for independent monitoring. (B) The training must be periodically Training on this list will offer the monitored in accordance with the schedule stipulated under the Coast training necessary for licenses and Guard-accepted quality-standards sys- STCW endorsements under this part. tem. The Coast Guard will update this list (C) Each person conducting the ini- periodically and make it available to tial evaluation or the subsequent peri- members of the public on request. odic monitoring of the training shall be (c) If the Coast Guard determines, on knowledgeable about the subjects the basis of observations or conclusions being evaluated or monitored and either of its own or of someone author- about the national and international ized by it to monitor the training, that requirements that apply to the train- particular training does not satisfy one ing, and shall not himself or herself be or more of the conditions described in involved in the training and assess- paragraph (a) of this section— ment of students. (1) The Coast Guard will so notify the (D) Each person evaluating or moni- offeror of the training by letter, enclos- toring the training shall enjoy conven- ing a report of the observations and ient access to all appropriate docu- conclusions; ments and facilities, and opportunities (2) The offeror may, within a period both to observe all appropriate activi- specified in the notice, either appeal ties and to conduct confidential inter- the observations or conclusions to the views when necessary. Commanding Officer, National Mari- (E) Arrangements must be such as to time Center or bring the training into ensure that no person evaluating or compliance; and monitoring the training is penalized or (3) If the appeal is denied—or the de- rewarded, directly or indirectly, by the ficiency is not corrected in the allotted sponsor of the training for making any particular observations or for reaching time, or within any additional period any particular conclusions. judged by the Coast Guard to be appro- (11) Each person conducting the ini- priate, considering progress towards tial evaluation under paragraph compliance—the Coast Guard will re- (a)(10)(ii)(A) of this section or the peri- move the training from the list main- odic monitoring of the training under tained under paragraph (b) of this sec- paragraph (a)(10)(ii)(B) of this section tion until it can verify full compliance; shall communicate his or her conclu- and it may deny applications for li- sions to the Commanding Officer, Na- censes for STCW endorsement based in tional Maritime Center, NMC–2, 100 whole or in part on training not on the Forbes Drive, Martinsburg, West Vir- list, until additional training or assess- ginia 25404, within 1 month of the comment is documented. pletion or the evaluation of the moni- [CGD 95–062, 62 FR 34536, June 26, 1997, as toring. amended by USCG-1998–4442, 63 FR 52189, (12) Each offeror of the training shall Sept. 30, 1998; USCG-1999–5610, 67 FR 66068, let the Coast Guard or someone author- Oct. 30, 2002; USCG-2004–18884, 69 FR 58343, ized by the Coast Guard observe the Sept. 30, 2004; USCG–2008–0906, 73 FR 56508, records of a student’s performance and Sept. 29, 2008]

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Subpart 12.05—Able Seamen (2) Fire prevention and fire-fighting as set out in table A-VI/1-2 of the § 12.05–1 Certification required. STCW Code. (a) Every person employed in a rating (3) Elementary first aid as set out in as able seaman on any United States table A-VI/1-3 of the STCW Code. vessel requiring certificated able sea- (4) Personal safety and social respon- men, before signing articles of agree- sibilities as set out in table A-VI/1-4 of ment, shall present to the master, his the STCW Code. or her certificate as able seaman (c) An STCW endorsement valid for (issued in the form of a merchant mari- any period on or after February 1, 2002, ner’s document). will be issued or renewed only when the (b) No certificate as able seaman is candidate for certification as able sea- required of any person employed on men meets the requirements of STCW any tug or towboat on the bays and Regulation II/4 and of Section A-II/4 of sounds connected directly with the the STCW Code, if the candidate will seas, or on any unrigged vessel except be serving as a rating forming part of seagoing barges or tank barges. the navigational watch on a seagoing (c) The following categories of able ship of 500 GT or more. seaman are established: [CGD 80–131, 45 FR 69240, Oct. 20, 1980, as (1) Able Seaman—Any Waters, Un- amended by CGD 95–062, 62 FR 34537, June 26, limited. 1997; CGD 95–062, 62 FR 40140, July 25, 1997; (2) Able Seaman—Limited. USCG-1999–5610, 67 FR 66068, Oct. 30, 2002] (3) Able Seaman—Special. § 12.05–5 Physical requirements. (4) Able Seaman—Special (OSV). (a) All applicants for a certificate of [CGD 80–131, 45 FR 69240, Oct. 20, 1980] service as able seaman shall be required to pass a physical examination § 12.05–3 General requirements. given by a medical officer of the United (a) To qualify for certification as States Public Health Service and able seaman an applicant must: present to the Officer in Charge, Ma- (1) Be at least 18 years of age; rine Inspection, a certificate executed (2) Pass the prescribed physical ex- by the Public Health Service Officer. amination; Such certificate shall attest to the ap- (3) Meet the sea service or training plicant’s acuity of vision, color sense, requirements set forth in this part; hearing, and general physical condi- (4) Pass an examination dem- tion. In exceptional cases where an ap- onstrating ability as an able seaman plicant would be put to great inconven- and lifeboatman; and, ience or expense to appear before a (5) Speak and understand the English medical officer of the United States language as would be required in per- Public Health Service, the physical ex- forming the general duties of able sea- amination and certification may be man and during an emergency aboard made by any other reputable physician. ship. (b) The medical examination for an (b) An STCW endorsement valid for able seaman is the same as for an origi- any period on or after February 1, 2002, nal license as a deck officer as set forth will be issued or renewed only when the in § 10.205 of this subchapter. If the ap- candidate for certification as an able plicant is in possession of an unexpired seaman also produces satisfactory evi- deck license, the Officer in Charge, Ma- dence, on the basis of assessment of a rine Inspection, may waive the require- practical demonstration of skills and ment for a physical examination. abilities, of having achieved or main- [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as tained within the previous 5 years the amended by USCG-1998–4442, 63 FR 52189, minimum standards of competence for Sept. 30, 1998] the following 4 areas of basic safety: (1) Personal survival techniques as § 12.05–7 Service or training require- set out in table A-VI/1-1 of the STCW ments. Code (incorporated by reference in (a) The minimum service required to § 12.01–3). qualify an applicant for the various

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categories of able seaman is as listed in training, in the skills appropriate to this paragraph. the rating of able seaman. (1) Able Seaman—Any Waters, Un- (2) Training programs, other than limited. Three years service on deck on those classified as a school ship, may vessels operating on the oceans or the be substituted for up to one third of Great Lakes. the required service on deck. The serv- (2) Able Seaman—Limited. Eighteen ice/training ratio for each program is months service on deck in vessels of 100 determined by the Commanding Offi- gross tons or over which operate in a cer, National Maritime Center, who service not exclusively confined to the may allow a maximum of three days on rivers and smaller inland lakes of the deck service credit for each day of in- United States. struction. (3) Able Seaman—Special. Twelve (c) A certificate of service as Able months service on deck on vessels oper- Seaman, Great Lakes—18 months’ service, ating on the oceans, or the navigable is considered equivalent to a certifi- waters of the United States including cate of service as Able Seaman—Limited. the Great Lakes. (d) A certificate of service as Able (4) Able Seaman—Special (OSV). Six Seaman with the following route, ves- months service on deck on vessels oper- sel, or time restrictions is considered ating on the oceans, or the navigable equivalent to a certificate of service as waters of the United States including Able Seaman—Special: the Great Lakes. (1) Any waters—12 months. (5) After July 31, 1998, to receive an (2) Tugs and towboats—any waters. STCW endorsement for service as a (3) Bays and sounds—12 months, vessels ‘‘rating forming part of a navigational 500 gross tons or under not carrying pas- watch’’ on a seagoing ship of 500 GT or sengers. more, the applicant’s seagoing service (4) Seagoing barges—12 months. must include training and experience (e) An individual holding a certifi- associated with navigational cate of service endorsed as noted in watchkeeping and involve the perform- paragraphs (c) or (d) of this section ance of duties carried out under the di- may have his or her merchant mari- rect supervision of the master, the offi- ner’s document endorsed with the cer in charge of the navigational equivalent category, upon request. watch, or a qualified rating forming part of a navigational watch. The [CGD 80–131, 45 FR 69240, Oct. 20, 1980, as training and experience must be suffi- amended by CGD 95–072, 60 FR 50460, Sept. 29, cient to establish that the candidate 1995; CGD 95–062, 62 FR 34537, June 26, 1997; has achieved the standard of com- CGD 95–062, 62 FR 40140, July 25, 1997; USCG- petence prescribed in table A-II/4 of the 1998–4442, 63 FR 52189, Sept. 30, 1998; USCG- 1999–5610, 67 FR 66068, Oct. 30, 2002] STCW Code (incorporated by reference in § 12.01–3), in accordance with the § 12.05–9 Examination and demonstra- methods of demonstrating competence tion of ability. and the criteria for evaluating com- (a) Before an applicant is certified as petence specified in that table. an able seaman, he or she shall prove NOTE: Employment considerations for the to the satisfaction of the Coast Guard various categories of able seaman are con- by oral or other means of examination, tained in § 157.20–15 of this chapter. and by actual demonstration, his or (b) Training programs approved by her knowledge of seamanship and the the Commanding Officer, National ability to carry out effectively all the Maritime Center, may be substituted duties that may be required of an able for the required periods of service on seaman, including those of a deck as follows: lifeboatman. The applicant shall dem- (1) A graduate of a school ship may onstrate that he or she: be rated as able seaman upon satisfac- (1) Has been trained in all the oper- tory completion of the course of in- ations connected with the launching of struction. For this purpose, school ship lifeboats and liferafts, and in the use of is interpreted to mean an institution oars; which offers a complete course of in- (2) Is acquainted with the practical struction, including a period of at sea handling of boats; and

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(3) Is capable of taking command of tificate as able seaman endorsed, any the boat’s crew. waters—unlimited, may be issued a new (b) The examination, whether admin- document bearing this endorsement istered orally or by other means, must without additional professional exam- be conducted only in the English lan- ination. The applicant shall surrender guage and must consist of questions re- for cancellation the document bearing garding: the limited endorsement. No physical (1) Lifeboats and liferafts, the names examination will be required at the of their essential parts, and a descrip- time of this exchange unless it is found tion of the required equipment; that the applicant obviously suffers (2) The clearing away, swinging out, from some physical or mental infir- and lowering of lifeboats and liferafts, mity to a degree that in the opinion of and handling of lifeboats under oars the Officer in Charge, Marine Inspec- and sails, including questions relative to the proper handling of a boat in a tion, would render him incompetent to heavy sea; perform the usual duties of an able sea- (3) The operation and functions of man at sea. If such condition is be- commonly used types of davits; lieved to exist, the applicant shall be (4) The applicant’s knowledge of nau- required to undergo an examination by tical terms; boxing the compass, either a medical officer of the Public Health by degrees or points according to his Service to determine his competency. experience; running lights, passing sig- [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as nals, and fog signals for vessels on the amended by CGD 71–161R, 37 FR 28263, Dec. high seas, in inland waters, or on the 21, 1972; CGD 94–029, 61 FR 47064, Sept. 6, 1996; Great Lakes depending upon the waters USCG-2002–13058, 67 FR 61278, Sept. 30, 2002; on which the applicant has had service; USCG-2004–18884, 69 FR 58343, Sept. 30, 2004] and distress signals; and, (5) The applicant’s knowledge of com- § 12.05–11 General provisions respect- mands in handling the wheel by obey- ing merchant mariner’s document ing orders passed to him as wheelsman, endorsed for service as able sea- and knowledge of the use of men. engineroom telegraph or bell-pull sig- (a) The holder of a merchant mari- nals. ner’s document endorsed for the rating (c) In the actual demonstration, the of able seamen may serve in any unli- applicant shall show his ability by tak- censed rating in the deck department ing command of a boat and directing without obtaining an additional en- the operation of clearing away, swing- dorsement; provided, however, that the ing out, lowering the boat into the holder shall hold the appropriate en- water, and acting as coxswain in dorsement under the STCW (incor- charge of the boat under oars. He shall porated by reference in § 12.01–3) when demonstrate his ability to row by actually pulling an oar in the boat. He shall serving in as a ‘‘rating forming part of also demonstrate knowledge of the a navigational watch’’ on a seagoing principal knots, bends, splices, and ship of 500 GT or more. hitches in common use by actually (b) A merchant mariner’s document making them. endorsed as able seaman will also be (d) The applicant must demonstrate considered a certificate of efficiency as to the satisfaction of the Officer in lifeboatman without further endorse- Charge, Marine Inspection, his knowl- ment. edge of pollution laws and regulations, (c) This type of document will de- procedures for discharge containment scribe clearly the type of able seaman and cleanup, and methods for disposal certificate which it represents, e.g.: of sludge and waste material from able seaman—any waters; able sea- cargo and fueling operations. man—any waters, 12 months; able sea- (e) Any person who is in valid posses- man—Great Lakes, 18 months; able sion of a certificate as able seaman en- seaman—on freight vessels, 500 gross dorsed, any waters—12 months and who tons or less on bays or sounds, and on can produce documentary evidence of sufficient service to qualify for a cer-

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tugs, towboats, and barges on any wa- imum of 30 hours’ actual lifeboat train- ters. ing; provided, however, that the applicant produces satisfactory evidence of [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as amended by CGD 95–062, 62 FR 34537, June 26, having served a minimum of 6 months 1997; USCG-1999–5610, 67 FR 66068, Oct. 30, at sea board ocean or coastwise vessels. 2002] (b) An applicant, to be eligible for certification as lifeboatman, shall be Subpart 12.07 [Reserved] able to speak and understand the English language as would be required in the rating of lifeboatman and in an Subpart 12.10—Lifeboatman emergency aboard ship. § 12.10–1 Certification required. (c) An applicant shall be 18 years old to be certified as proficient in survival Every person employed in a rating as craft under STCW Regulation VI/2 (in- lifeboatman on any United States ves- corporated by reference in § 12.01–3). sel requiring certificated lifeboatmen shall produce a certificate as [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as lifeboatman or merchant mariner’s amended by CGD 95–072, 60 FR 50460, Sept. 29, document endorsed as lifeboatman or 1995; CGD 95–062, 62 FR 34537, June 26, 1997; able seaman to the shipping commis- USCG-1998–4442, 63 FR 52189, Sept. 30, 1998; sioner, United States collector or dep- USCG-1999–5610, 67 FR 66068, Oct. 30, 2002; USCG-2004–18884, 69 FR 58343, Sept. 30, 2004] uty collector of customs, or master before signing articles of agreement. No § 12.10–5 Examination and demonstra- certificate of efficiency as lifeboatman tion of ability. is required of any person employed on any unrigged vessel, except on a sea- (a) Before an applicant is certified as going barge and on a tank barge navi- a lifeboatman, he or she shall prove to gating waters other than rivers and/or the satisfaction of the Coast Guard by canals. oral or other means of examination, and by actual demonstration, his or § 12.10–3 General requirements. her knowledge of seamanship and the ability to carry out effectively all the (a) An applicant to be eligible for cer- duties that may be required of a tification as lifeboatman must meet lifeboatman. The applicant shall dem- one of the following requirements: onstrate that he or she: (1) At least 1 year’s sea service in the (1) Has been trained in all the oper- deck department, or at least 2 years’ ations connected with the launching of sea service in the other departments of lifeboats and liferafts, and in the use of ocean, coastwise, Great Lakes, and oars; other lakes, bays, or sounds vessels. (2) Graduation from a schoolship ap- (2) Is acquainted with the practical proved by and conducted under rules handling of boats; and prescribed by the Commanding Officer, (3) Is capable of taking command of National Maritime Center. the boat’s crew. (3) Satisfactory completion of basic (b) The examination, whether admin- training by a Cadet of the United istered orally or by other means, must States Merchant Marine Cadet Corps. be conducted only in the English lan- (4) Satisfactory completion of 3 guage and must consist of questions re- years’ training at the U.S. Naval Acad- garding: emy or the U.S. Coast Guard Academy (1) Lifeboats and liferafts, the names including two training cruises. of their essential parts, and a descrip- (5) Satisfactory completion of a tion of the required equipment; course of training approved by the (2) The clearing away, swinging out, Commanding Officer, National Mari- and lowering of lifeboats and liferafts, time Center, and service aboard a the handling of lifeboats under oars training vessel. and sails, including questions relative (6) Successful completion of a train- to the proper handling of a boat in a ing course, approved by the Com- heavy sea; and, manding Officer, National Maritime (3) The operation and functions of Center, such course to include a min- commonly used types of davits.

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(c) The practical examination shall (1) Be qualified as a lifeboatman with consist of a demonstration of the appli- proficiency in survival craft and fast cant’s ability to carry out the orders rescue boats under this subpart; and incident to launching lifeboats, and the (2) Furnish satisfactory proof that he use of the boat’s sail, and to row. or she has met the requirements for (d) After July 31, 1998, each applicant training and competence of STCW Reg- for a lifeboatman’s certificate endorsed ulation, VI/2 (incorporated by reference for proficiency in survival craft and in § 12.01–3), paragraph 2, and the appro- rescue boats shall be not less than 18 priate requirements of Section A-VI/2 years old and shall produce satisfac- of the STCW Code. tory evidence that he or she meets the [CGD 95–062, 62 FR 34537, June 26, 1997, as requirements of STCW Regulation VI/2 amended by USCG-1999–5610, 67 FR 66069, Oct. (incorporated by reference in § 12.01–3), 30, 2002; USCG-2004–18884, 69 FR 58343, Sept. paragraph 1, and the appropriate provi- 30, 2004] sions of Section A-VI/2 of the STCW Code (also incorporated by reference in Subpart 12.13—Persons Des- § 12.01–3). ignated To Provide Medical [CGFR 60–50, 30 FR 16640, Dec. 30, 1965, as Care on Board Ship amended by CGD 71–161R, 37 FR 28263, Dec. 21, 1972; CGD 94–029, 61 FR 47064, Sept. 6, 1996; SOURCE: CGD 95–062, 62 FR 34537, June 26, CGD 95–062, 62 FR 34537, June 26, 1997; USCG- 1997, unless otherwise noted. 1999–5610, 67 FR 66068, Oct. 30, 2002] § 12.13–1 Documentary evidence re- § 12.10–7 General provisions respect- quired. ing merchant mariner’s document Each person designated to provide endorsed as lifeboatman. medical first aid on board ship, or to A merchant mariner’s document en- take charge of medical care on board dorsed as able seaman is the equivalent ship, shall hold documentary evidence of a certificate as lifeboatman or of an attesting that the person has attended endorsement as lifeboatman and will a course of training in medical first aid be accepted as either of these wherever or medical care, as appropriate. either is required by law; provided, [CGD 95–062, 62 FR 34537, June 26, 1997, as however, that, when the holder docu- amended by USCG-2004–18884, 69 FR 58343, mented as an able seaman has to be Sept. 30, 2004] certificated as either proficient in survival craft and rescue boats or pro- § 12.13–3 Basis of documentary evi- ficient in fast rescue boats, he or she dence. shall hold an endorsement under the The Officer in Charge, Marine Inspec- STCW (incorporated by reference in tion will issue such documentary evi- § 12.01–3). dence to the person, or endorse his or [CGD 95–062, 62 FR 34537, June 26, 1997; CGD her license or document, on being sat- 95–062, 62 FR 40140, July 25, 1997, as amended isfied that the training required under by USCG-1999–5610, 67 FR 66069, Oct. 30, 2002] section 12.13–1 of this section establishes that he or she meets the stand- § 12.10–9 Certificates of proficiency in ards of competence set out in STCW fast rescue boats. Regulation VI/4 and Section A-VI/4 of (a) Each person engaged or employed the STCW Code. as a lifeboatman proficient in fast rescue boats shall hold either a certificate Subpart 12.15—Qualified Member of proficiency in these boats or a mer- of the Engine Department chant mariner’s document endorsed for proficiency in them. § 12.15–1 Certification required. (b) To be eligible for either a certifi- (a) Every person employed in a rating cate of proficiency in fast rescue boats as qualified member of the engine de- or a merchant mariner’s document en- partment on any United States vessel dorsed for proficiency in them, an ap- requiring certificated qualified mem- plicant shall— bers of the engine department shall

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produce a certificate as qualified mem- (e) After July 31, 1998 an STCW en- ber of the engine department to the dorsement that is valid for any period shipping commissioner, United States on or after February 1, 2002, will be Collector or Deputy Collector of Cus- issued or renewed only when the can- toms, or master before signing articles didate for certification as a qualified of agreement. member of the engine department (b) No certificate as qualified mem- meets the standards of competence set ber of the engine department is re- out in STCW Regulation III/4 and Sec- quired of any person employed on any tion A-III/4 of the STCW Code, if the unrigged vessel, except seagoing candidate will be serving as a rating barges. forming part of a watch in a manned § 12.15–3 General requirements. engine-room, or designated to perform duties in a periodically unmanned en- (a) A qualified member of the engine gine-room, on a seagoing ship driven by department is any person below the main propulsion machinery of 750 kW rating of licensed officer and above the rating of coal passer or wiper, who [1,000 hp] propulsion power or more. holds a certificate of service as such [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as qualified member of the engine depart- amended by CGD 95–062, 62 FR 34538, June 26, ment issued by the Coast Guard or 1997; USCG-2000–7790, 65 FR 58458, Sept. 29, predecessor authority. 2000; USCG-1999–5610, 67 FR 66069, Oct. 30, (b) For purposes of administering 2002] this part the rating of assistant electrician is considered a rating not above § 12.15–5 Physical requirements. that of coal passer or wiper, but equal (a) An applicant for a certificate of thereto. service as a qualified member of the (c) An applicant, to be eligible for engine department shall present a cer- certification as qualified member of tificate of a medical officer of the the engine department, shall be able to United States Public Health Service, or speak and understand the English lan- other reputable physician attesting guage as would be required in the rat- that his eyesight, hearing, and physical ing of qualified member of the engine condition are such that he can perform department and in an emergency the duties required of a qualified mem- aboard ship. (d) After July 31, 1998, an STCW en- ber of the engine department. dorsement valid for any period on or (b) The medical examination for after February 1, 2002, will be issued or qualified member of the engine depart- renewed only when the candidate for ment is the same as for an original li- certification as a qualified member of cense as engineer, as set forth in the engine department also produces § 10.205 of this subchapter. If the appli- satisfactory evidence, on the basis of cant is in possession of an unexpired li- assessment of a practical demonstra- cense, the Officer in Charge, Marine In- tion of skills and abilities, of having spection, may waive the requirement achieved or maintained within the pre- for a physical examination. vious 5 years the minimum standards (c) An applicant holding a certificate of competence for the following 4 areas of service for a particular rating as of basic safety: qualified member of the engine depart- (1) Personal survival techniques as ment and desiring certification for an- set out in table A-VI/1-1 of the STCW other rating covered by this same form Code (incorporated by reference in of certificate may qualify therefor § 12.01–3). without a physical examination unless (2) Fire prevention and fire-fighting the Officer in Charge, Marine Inspec- as set out in table A-VI/1-2 of the tion, finds that the applicant obviously STCW Code. suffers from some physical or mental (3) Elementary first aid as set out in table A-VI/1-3 of the STCW Code. infirmity to a degree that would render (4) Personal safety and social respon- him incompetent to perform the ordi- sibilities as set out in table A-VI/1-4 of nary duties of a qualified member of the STCW Code. the engine department. In this event

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the applicant shall be required to un- gine-room’’ on a seagoing vessel driven dergo an examination to determine his by main propulsion machinery 750 kW competency. [1,000 hp] propulsion power or more, an [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as applicant shall prove seagoing service amended by USCG-1998–4442, 63 FR 52189, that includes training and experience Sept. 30, 1998; USCG-2004–18884, 69 FR 58343, associated with engine-room Sept. 30, 2004; USCG–2004–18884, 69 FR 68089, watchkeeping and involves the per- Nov. 23, 2004] formance of duties carried out under the direct supervision of a qualified en- § 12.15–7 Service or training require- gineer officer or a member of a quali- ments. fied rating. The training must estab- (a) An applicant for a certificate of lish that the applicant has achieved service as qualified member of the en- the standard of competence prescribed gine department shall furnish the in table A-III/4 of the STCW Code (in- Coast Guard proof of qualification corporated by reference in § 12.01–3), in based on six months’ service in a rating accordance with the methods of dem- at least equal to that of wiper or coal onstrating competence and the criteria passer. for evaluating competence specified in (b) Training programs approved by that table. the Commanding Officer, National Maritime Center, may be substituted [CGD 80–131, 45 FR 69241, Oct. 20, 1980, as for the required service at sea in ac- amended by CGD 95–072, 60 FR 50460, Sept. 29, cordance with the following: 1995; CGD 95–062, 62 FR 34538, June 26, 1997; (1) A graduate of a school ship may CGD 95–062, 62 FR 40140, July 25, 1997; USCG- be rated as qualified member of the en- 1998–4442, 63 FR 52189, Sept. 30, 1998; USCG- 1999–5610, 67 FR 66069, Oct. 30, 2002] gine department upon satisfactory completion of the course of instruc- § 12.15–9 Examination requirements. tion. For this purpose, school ship is interpreted to mean an institution which (a) Each applicant for certification as offers a complete course of instruction, a qualified member of the engine de- including a period of sea training, in partment in the rating of oiler, the skills appropriate to the rating of watertender, fireman, deck engineer, qualified member of the engine depart- refrigeration engineer, junior engineer, ment. electrician, or machinist shall be ex- (2) Training programs other than amined orally or by other means and those classified as a school ship may be only in the English language on the substituted for up to one-half of the re- subjects listed in paragraph (b) of this quired service at sea. section. The applicant’s general knowl- (c) To qualify to receive an STCW en- edge of the subjects must be sufficient dorsement for service as a ‘‘rating to satisfy the examiner that he is forming part of a watch in a manned qualified to perform the duties of the engine-room or designated to perform rating for which he makes application. duties in a periodically unmanned en- (b) List of subjects required:

Re- friger- Junior Deck Subjects Ma- ating Fireman/ Oiler Elec- engi- engi- chinist engi- Watertender trician neer neer neer

1. Application, maintenance, and use of hand tools and measuring instruments...... X X X X X X X 2. Uses of babbitt, copper, brass, steel, and other metals ...... X X X X X X X 3. Methods of measuring pipe, pipe fittings, sheet metal, machine bolts and nuts, packing, etc ...... X X X X X X X 4. Operation and maintenance of mechanical remote control equipment ...... X ...... X X X X X 5. Precautions to be taken for the prevention of fire and the proper use of firefighting equipment ...... X X X X X X X 6. Principles of mechanical refrigeration; and functions, operation, and maintenance of various machines and parts of the systems ...... X ...... X ...... X ...... 7. Knowledge of piping systems as used in ammonia, freon, and CO2, including testing for leaks, operation of bypasses, and making up of joints ...... X ...... X ......

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Re- friger- Junior Deck Subjects Ma- ating Fireman/ Oiler Elec- engi- engi- chinist engi- Watertender trician neer neer neer

8. Safety precautions to be observed in the operation of various refrigerating systems, including storage of refrigerants, and the use of gas masks and firefighting equipment ...... X X X X X X X 9. Combustion of fuels, proper temperature, pressures, and atomization ...... X X ...... X ...... 10. Operation of the fuel oil system on oil burning boilers, including the transfer and storage of fuel oil ...... X X ...... X X 11. Hazards involved and the precautions taken against accu- mulation of oil in furnaces, bilges, floorplates, and tank tops; flarebacks, leaks in fuel oil heaters, clogged strainers and burner tips ...... X X X X X X ...... 12. Precautions necessary when filling empty boilers, starting up the fuel oil burning system, and raising steam from a cold boiler ...... X X ...... X ...... 13. The function, operation, and maintenance of the various engineroom auxiliaries...... X X X X X X ...... 14. Proper operation of the various types of lubricating systems ...... X X X X X X X 15. Safety precautions to be observed in connection with the operation of engineroom auxiliaries, electrical machinery, and switchboard equipment...... X X X X X X X 16. The function, operation, and maintenance of the bilge, ballast, fire, freshwater, sanitary, and lubricating systems ... X X X X ...... X X 17. Proper care of spare machine parts and idle equipment ... X X X X X X X 18. The procedure in preparing a turbine, reciprocating, or Diesel engine for standby; also the procedure in securing ...... X X ...... X ...... 19. Operation and maintenance of the equipment necessary for the supply of water to boilers, the dangers of high and low water and remedial action ...... X X ...... X ...... 20. Operation, location, and maintenance of the various boiler fittings and accessories ...... X ...... X X ...... X ...... 21. The practical application and solution of basic electrical calculations (Ohm’s law, power formula, etc.) ...... X X X 22. Electrical wiring circuits of the various two-wire and three- wire D.C. systems and the various single-phase and poly- phase A.C. systems ...... X X X 23. Application and characteristics of parallel and series circuits ...... X X X 24. Application and maintenance of electrical meters and instruments ...... X X X 25. The maintenance and installation of lighting and power wiring involving testing for, locating and correcting grounds, short circuits and open circuits, and making splices ...... X X X 26. The operation and maintenance of the various types of generators and motors, both A.C. and D.C ...... X X X 27. Operation, installation, and maintenance of the various types of electrical controls and safety devices ...... X X X 28. Testing and maintenance of special electrical equipment, such as telegraphs, telephones, alarm systems, fire-detecting systems, and rudder angle indicators ...... X X ...... 29. Rules and Regulations and requirements for installation, repair, and maintenance of electrical wiring and equipment installed aboard ships ...... X X X 29a. Pollution laws and regulations, procedures for discharge containment and cleanup, and methods for disposal of sludge and waste from cargo and fueling operations ...... X X X X X X ...... 30. Such further examination of a nonmathematical character as the Officer in Charge, Marine Inspection, may consider necessary to establish the applicant’s proficiency ...... X X X X X X X

(c) Each applicant for certification as satisfy the Officer in Charge, Marine a qualified member of the engine de- Inspection, that he or she is qualified partment in the rating of pumpman to perform the duties of that rating. shall, by oral or other examination, (d) Applicants for certification as demonstrate sufficient knowledge of qualified members of the engine de- the subjects peculiar to that rating to partment in the rating of deck engine

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mechanic or engineman, who have rating of junior engineer on steam ves- proved eligibility for such endorsement sels of 4,000 horsepower or over; or, under either § 12.15–13 or § 12.15–15, will (2) Documentary evidence from an not be required to take a written or operator of an automated vessel that oral examination for such ratings. he has completed satisfactorily at least [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as 4 weeks indoctrination and training in amended by CGFR 66–46, 31 FR 13649, Oct. 22, the engine department of an automated 1966; CGD 71–161R, 37 FR 28263, Dec. 21, 1972; steam vessel of 4,000 horsepower or CGD 74–75, 42 FR 24741, May 16, 1977; CGD 94– over; or, 029, 61 FR 47064, Sept. 6, 1996] (3) Satisfactory completion of a course of training for deck engine me- § 12.15–11 General provisions respect- chanic acceptable to the Commanding ing merchant mariner’s documents endorsed as qualified member of Officer, National Maritime Center. the engine department. (b) The Officer in Charge, Marine In- The holder of a merchant mariner’s spection, who is satisfied that an appli- document endorsed with one or more cant for the rating of deck engine me- qualified member of the engine depart- chanic meets the requirements speci- ment ratings may serve in any unqualified in this section, will endorse this fied rating in the engine department rating on the current merchant mari- without obtaining an additional en- ner’s document held by the applicant. dorsement. This does not mean that an (c) Any holder of a merchant mari- endorsement of one qualified member ner’s document endorsed for any unli- of the engine department rating au- censed rating in the engine department or thorizes the holder to serve in all QMED—any rating is qualified as a deck qualified member of the engine depart- engine mechanic and that endorsement ment ratings. Each qualified member will not be entered on his document. of the engine department rating for [CGFR 66–46, 31 FR 13649, Oct. 22, 1966, as which a holder of a merchant mariner’s amended by CGD 95–072, 60 FR 50460, Sept. 29, document is qualified must be endorsed 1995; CGD 95–028, 62 FR 51196, Sept. 30, 1997; separately. When, however, the appli- USCG-1998–4442, 63 FR 52189, Sept. 30, 1998] cant qualifies for all ratings covered by a certificate as a qualified member of § 12.15–15 Engineman. the engine department, the certifi- (a) An applicant for a certificate as cation may read QMED—any rating. engineman shall be a person holding a The ratings are as follows: merchant mariner’s document endorsed (a) Refrigerating engineer. as fireman/watertender and oiler, or jun- (b) Oiler. ior engineer. The applicant shall be eli- (c) Deck engineer. gible for such certification upon fur- (d) Fireman/Watertender. nishing one of the following: (e) Junior engineer. (1) Satisfactory documentary evi- (f) Electrician. dence of sea service of 6 months in any (g) Machinist. (h) Pumpman. one or combination of junior engineer, (i) Deck engine mechanic. fireman/watertender or oiler on steam (j) Engineman. vessels of 4,000 horsepower or over; or, [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as (2) Documentary evidence from an amended by CGFR 66–46, 31 FR 13649, Oct. 22, operator of a partially automated steam 1966; CGD 74–45, 42 FR 24741, May 16, 1977] vessel that he has completed satisfactorily at least 2 weeks indoctrination § 12.15–13 Deck engine mechanic. and training in the engine department (a) An applicant for a certificate as of a partially automated steam vessel of deck engine mechanic shall be a person 4,000 horsepower or over; or holding a merchant mariner’s docu- (3) Satisfactory completion of a ment endorsed as junior engineer. The course of training for engineman ac- applicant shall be eligible for such cer- ceptable to the Commanding Officer, tification upon furnishing one of the National Maritime Center. following: (b) The Officer in Charge, Marine In- (1) Satisfactory documentary evi- spection, who is satisfied that an appli- dence of sea service of 6 months in the cant for the rating of engineman meets

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the requirements specified in this sec- (b) When the holder of a merchant tion, will endorse this rating on the mariner’s document has qualified as a current merchant mariner’s document food handler, the endorsement of his held by the applicant. rating will be followed by the further (c) Any holder of a merchant mari- endorsement (F.H.). ner’s document endorsed for any unlicensed rating in the engine department, [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as amended by USCG-2002–13058, 67 FR 61278, QMED—any rating or deck engine me- Sept. 30, 2002] chanic is qualified as an engineman and that endorsement will not be entered § 12.25–20 Food handler. on his document. No applicant for a rating authorizing [CGFR 66–46, 31 FR 13650, Oct. 22, 1966, as the handling of food will be certificated amended by CGD 95–072, 60 FR 50460, Sept. 29, unless he produces a certificate from a 1995; CGD 95–028, 62 FR 51196, Sept. 30, 1997; medical officer of the United States USCG-1998–4442, 63 FR 52189, Sept. 30, 1998] Public Health Service, or other reputable physician, stating that the ap- Subpart 12.25—Certificates of plicant is free from communicable dis- Service for Ratings Other Than ease. Able Seaman or Qualified [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as Member of the Engine De- amended by USCG-2004–18884, 69 FR 58343, partment Sept. 30, 2004]

§ 12.25–1 Certification required. § 12.25–25 Members of Merchant Ma- Every person employed in a rating rine Cadet Corps. other than able seaman or qualified No ratings other than cadet (deck) or member of the engine department of cadet (engine) as appropriate, and U.S. merchant vessels requiring such lifeboatman shall be shown on a mer- certificated persons shall produce a chant mariner’s document issued to a merchant mariner’s document to the member of the U.S. Merchant Marine master, or person in charge if appro- Cadet Corps. The merchant mariner’s priate, before signing a shipping arti- document shall also be stamped Valid cles agreement. only while cadet in the U.S. Maritime Ad- [CGD 95–028, 62 FR 51196, Sept. 30, 1997] ministration training program. The merchant mariner’s document thus pre- § 12.25–10 General requirements. pared shall be surrendered upon the (a) Merchant mariner’s documents holder being certified in any other rat- shall be issued without professional ex- ing or being issued a license and the amination to applicants for certificates rating of cadet (deck) or cadet (engine) of service as endorsements on mer- shall be omitted from any new merchant mariner’s documents in capac- chant mariner’s document issued. ities other than able seaman, § 12.25–30 Student observers. lifeboatman, tankerman or qualified member of the engine department and Students in technical schools who shall be endorsed for one or more rat- are enrolled in courses in marine man- ings. For example, ordinary seaman— agement and ship operations who wiper—steward’s department (F.H.). present a letter or other documentary Holders of documents endorsed for evidence that they are so enrolled shall service as ordinary seaman may serve in be issued a merchant mariner’s docu- any unqualified rating in the deck de- ment as student observers—any depart- partment. Holders of documents en- ment and may be signed on ships as dorsed for service as wiper may serve in such. Students holding these docu- any unqualified rating in the engine ments or certificates will not take the department. Documents endorsed for place of any of the crew, or fill any of steward’s department (F.H.) will author- the regular ratings. ize the holder’s service in any capacity in the steward’s department. (See § 12.25–35 Apprentice engineers. § 12.02–11(e)(2) for unqualified ratings in (a) Persons enrolled in an apprentice the staff department.) engineer training program approved by

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the Commanding Officer, National Subpart 12.30—Ro-Ro Passenger Maritime Center, and who present a Ships letter or other documentary evidence that they are so enrolled may be issued a merchant mariner’s document as ap- SOURCE: CGD 95–062, 62 FR 34538, June 26, 1997, unless otherwise noted. prentice engineer and may be signed on ships as such. The endorsement appren- § 12.30–1 Purpose of regulations. tice engineer may be in addition to other endorsements. However, this en- The purpose of the regulations in this dorsement of apprentice engineer does subpart is to establish requirements for certification of seamen serving on roll- not authorize the holder to fill any of on/roll-off (Ro-Ro) passenger ships. the regular ratings. (b) Persons holding merchant mari- [CGD 95–062, 62 FR 34538, June 26, 1997, as ner’s documents with the endorsement amended by CGD 97–057, 62 FR 51042, Sept. 30, apprentice engineer shall be deemed to 1997] be seamen. § 12.30–3 Definitions. [CGFR 66–69, 31 FR 15669, Dec. 13, 1966, as Roll-on/Roll-off (Ro-Ro) passenger ship amended by CGD 95–072, 60 FR 50460, Sept. 29, 1995; CGD 95–028, 62 FR 51196, Sept. 30, 1997; means a passenger ship with Ro-Ro USCG-1998–4442, 63 FR 52189, Sept. 30, 1998] cargo spaces or special-category spaces as defined in the International Conven- § 12.25–40 Apprentice mate. tion for the Safety of Life at Sea, 1974, as amended (SOLAS), to which ship a A person enrolled in an apprentice SOLAS Certificate is issued. mate training program approved by the MMD means merchant mariner’s doc- Commanding Officer, National Mari- ument. time Center who presents a letter or other documentary evidence that he is § 12.30–5 General requirements. so enrolled may be issued a merchant mariner’s document as apprentice mate To serve on a Ro-Ro passenger ship and may be signed on ships as appren- after January 31, 1997, a person holding tice mate. The endorsement apprentice an MMD and performing duties toward mate may be in addition to other en- safety, cargo-handling, or care for pas- dorsements. However, this endorse- sengers shall meet the appropriate re- ment as apprentice mate does not au- quirements of STCW Regulation V/2 thorize the holder to fill any of the reg- and of Section A-V/2 of the STCW Code ular ratings. (incorporated by reference in § 12.01–3), and hold documentary evidence to [CGD 74–226, 40 FR 33976, Aug. 13, 1975, as show his or her meeting these require- amended by CGD 95–072, 60 FR 50460, Sept. 29, ments. 1995; USCG-1998–4442, 63 FR 52189, Sept. 30, 1998] [CGD 95–062, 62 FR 34538, June 26, 1997, as amended by USCG-1999–5610, 67 FR 66069, Oct. § 12.25–45 GMDSS At-sea Maintainer. 30, 2002] An applicant is eligible to have his or her STCW certificate or endorsement Subpart 12.35—Crewmembers on include a statement of qualification as a Passenger Ship, Other Than GMDSS At-sea Maintainer if he or she a Ro-Ro Passenger Ship, holds sufficient evidence of having When on an International completed a training program that cov- Voyage ers at least the scope and content of training outlined in Section B-IV/2 of SOURCE: USCG-1999–5610, 67 FR 66069, Oct. the STCW Code (incorporated by ref- 30, 2002, unless otherwise noted. erence in § 12.01–3) for training in maintenance of GMDSS installations on § 12.35–1 Purpose of rules. board vessels. The rules in this subpart establish re- [CGD 95–062, 62 FR 34538, June 26, 1997, as quirements for the certification of sea- amended by USCG-1999–5610, 67 FR 66069, Oct. men serving on passenger ships as de- 30, 2002] fined in § 12.35–3.

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§ 12.35–3 Definition. U.S.C. 1101 et seq.), including an alien Passenger ship in this subpart means crewman described in section a ship, other than a Ro-Ro passenger 101(a)(15)(D)(i) of that Act who meets ship, carrying more than 12 passengers the requirements of 46 U.S.C. when on an international voyage. 8103(k)(3)(A). Steward’s department means the de- § 12.35–5 General requirements. partment that includes entertainment If you are an unlicensed person, then, personnel and all service personnel, in- before you may serve on a passenger cluding wait staff, housekeeping staff, ship and perform duties that involve and galley workers, as defined in the safety or care for passengers, you vessel security plan approved by the must— Secretary under 46 U.S.C. 70103(c). (a) Meet the appropriate require- These personnel may also be referred ments of the STCW Regulation V/3 and to as members of the hotel department of section A-V/3 of the STCW Code (in- on a large passenger vessel. corporated by reference in § 12.01–3); and § 12.40–5 General application require- (b) Hold documentary evidence to ments. show that you do meet these require- (a) Unless otherwise expressly speci- ments through approved or accepted fied in this subpart, non-resident alien training. applicants for Coast Guard-issued merchant mariner’s documents are subject Subpart 12.40—Non-resident Alien to all applicable requirements con- Unlicensed Members of the tained in this subchapter. Steward’s Department on U.S.- (b) No application from a non-resident alien for a merchant mariner’s Flag Large Passenger Vessels document issued pursuant to this subpart will be accepted unless the appli- AUTHORITY: 31 U.S.C. 9701; 46 U.S.C. 2101, cant’s employer satisfies all of the re- 2103, 2110, 7301, 7302, 7503, 7505, 7701 and 8103; quirements of § 12.40–7. Department of Homeland Security Delega- tion No. 0170.1. § 12.40–7 Employer requirements. SOURCE: USCG–2007–27761, 72 FR 20284, Apr. 24, 2007, unless otherwise noted. (a) The employer must submit the following to the Coast Guard, as a part § 12.40–1 Purpose of rules. of the applicant’s merchant mariner’s The rules in this subpart implement document application, on behalf of the 46 U.S.C. 8103(k) by establishing re- applicant: quirements for the issuance of mer- (1) A signed report that contains all chant mariner’s documents, valid only material disciplinary actions related to for service in the steward’s department the applicant, such as, but not limited of U.S.-flag large passenger vessels, to to, violence or assault, theft, drug and non-resident aliens. alcohol policy violations, and sexual harassment, along with an explanation § 12.40–3 Definitions. of the criteria used by the employer to As used in this subpart: determine the materiality of those ac- Large passenger vessel means a vessel tions; of more than 70,000 gross tons, as meas- (2) A signed report regarding an em- ured under 46 U.S.C. 14302 and docu- ployer-conducted background check. mented under the laws of the United The report must contain: States, with capacity for at least 2,000 (i) A statement that the applicant passengers and a coastwise endorse- has successfully undergone an em- ment under 46 U.S.C. chapter 121. ployer-conducted background check; Non-resident alien means an indi- (ii) A description of the employer- vidual who is not a citizen or alien law- conducted background check, including fully admitted to the United States for all databases and records searched. The permanent residence, but who is em- background check must, at a min- ployable in the United States under the imum, show that the employer has re- Immigration and Nationality Act (8 viewed all information reasonably and

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legally available to the owner or man- curity Administration within 10 days aging operator, including the review of of the event. available court and police records in (e) In addition to the initial material the applicant’s country of citizenship, disciplinary actions report and the ini- and any other country in which the ap- tial employer-conducted background plicant has received employment refer- check specified in paragraph (a) of this rals, or resided, for the past 20 years section, the employer must: prior to the date of application; and, (1) Submit an annual material dis- (iii) All information derived from the ciplinary actions report to update employer-conducted background check. whether there have been any material (3) The employer-conducted back- disciplinary actions related to the ap- ground check must be conducted to the plicant since the last material discipli- satisfaction of the Coast Guard for a nary actions report was submitted to merchant mariner’s document to be the Coast Guard. issued to the applicant. (i) The annual material disciplinary (b) If a merchant mariner’s document actions report must be submitted to is issued to the applicant, the report the satisfaction of the Coast Guard in accordance with the same criteria set and information required in paragraph forth in paragraph (a)(1) of this section, (a)(2) of this section must be securely except that the period of time exam- kept by the employer on the U.S.-flag ined for the material disciplinary ac- large passenger vessel, or U.S.-flag tions report need only extend back to large passenger vessels, on which the the date of the last material discipli- applicant is employed. The report and nary actions report; and information must remain on the last (ii) The annual material disciplinary U.S.-flag large passenger vessel on actions report must be submitted to which the applicant was employed the Coast Guard on or before the anni- until such time as the merchant mari- versary of the issuance date of the mer- ner’s document is returned to the chant mariner’s document. Coast Guard in accordance with para- (2) Conduct a background check each graph (d) of this section. year that the merchant mariner’s doc- (c) If a merchant mariner’s document ument is valid to search for any or a transportation worker identifica- changes that might have occurred tion credential (TWIC) is issued to the since the last employer-conducted applicant, each merchant mariner’s background check was performed: document and TWIC must be securely (i) The annual background check kept by the employer on the U.S.-flag must be conducted to the satisfaction large passenger vessel on which the ap- of the Coast Guard in accordance with plicant is employed. The employer the same criteria set forth in para- must maintain a detailed record of the graph (a)(2) of this section, except that seaman’s total service on all author- the period of time examined during the ized U.S.-flag large passenger vessels, annual background check need only ex- and must make that information avail- tend back to the date of the last back- able to the Coast Guard upon request, ground check; and to demonstrate that the limitations of (ii) All information derived from the § 12.40–13(c) have not been exceeded. annual background check must be sub- (d) In the event that the seaman’s mitted to the Coast Guard on or before merchant mariner’s document and/or the anniversary of the issuance date of TWIC expires, the seaman’s visa status the merchant mariner’s document. terminates, the seaman serves onboard (f) The employer is subject to the the U.S.-flag large passenger vessel(s) civil penalty provisions specified in 46 for 36 months in the aggregate as a U.S.C. 8103(f) for any violation of this nonimmigrant crewman, the employer section. terminates employment of the seaman or if the seaman otherwise ceases § 12.40–9 Basis for denial. working with the employer, the em- In addition to the requirements for a ployer must return the merchant mari- merchant mariner’s document estab- ner’s document to the Coast Guard and/ lished elsewhere in this subchapter, or the TWIC to the Transportation Se- and the basis for denial established in

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§ 12.02–4 of this part, an applicant for a of 1979 (50 U.S.C. App. 2405(j)) or section merchant mariner’s document issued 620A of the Foreign Assistance Act of pursuant to this subpart must: 1961 (22 U.S.C. 2371). (a) Have been employed, for a period of at least one year, on a foreign-flag § 12.40–13 Restrictions. passenger vessel, or foreign flag pas- (a) A merchant mariner’s document senger vessels, that are under the same issued to a non-resident alien under common ownership or control as the this subpart authorizes service only in U.S.-flag large passenger vessel, or the steward’s department of the U.S.- U.S.-flag large passenger vessels, on flag large passenger vessel(s), that is/ which the applicant will be employed are under the same common ownership upon issuance of a merchant mariner’s and control as the foreign-flag pas- document under this subpart. senger vessel(s), on which the non-resi- (b) Have no record of material dis- dent alien served to meet the require- ciplinary actions during the employment required under paragraph (a) of ments of § 12.40–9(a): this section, as verified in writing by (1) The merchant mariner’s document the owner or managing operator of the will be endorsed for service in the stew- U.S.-flag large passenger vessel, or ard’s department in accordance with U.S.-flag large passenger vessels, on § 12.25–10 of this part; which the applicant will be employed. (2) The merchant mariner’s document (c) Have successfully completed an may also be endorsed for service as a employer-conducted background check, food handler if the applicant meets the to the satisfaction of both the em- requirements of § 12.25–20 of this part; ployer and the Coast Guard. and (d) Meet the citizenship and identity (3) No other rating or endorsement is requirements of § 12.40–11. authorized, except lifeboatman, in which case all applicable requirements § 12.40–11 Citizenship and identity. of this subchapter and the STCW Con- (a) In lieu of the requirements of vention and STCW Code must be met. §§ 12.02–10, 12.02–12 and 12.02–14 of this (b) The following restrictions must part, a non-resident alien may apply be printed on the merchant mariner’s for a Coast Guard-issued merchant document, or listed in an accom- mariner’s document, endorsed and panying Coast Guard letter, or both: valid only for service in the steward’s (1) The name and official number of department of a U.S.-flag large pas- all U.S.-flag vessels on which the non- senger vessel as defined in this subpart, resident alien may serve. Service is not if he or she is employable in the United authorized on any other U.S.-flag ves- States under the Immigration and Na- sel; tionality Act (8 U.S.C. 1101, et seq.), in- (2) Upon issuance, the merchant cluding an alien crewman described in mariner’s document must remain in section 101 (a)(15)(D)(i) of that Act. the custody of the employer at all (b) To meet the citizenship and iden- times; tity requirements of this subpart, an applicant must present an unexpired (3) Upon termination of employment, passport issued by the government of the merchant mariner’s document the country of which the applicant is a must be returned to the Coast Guard citizen or subject; and either a valid within 10-days in accordance with U.S. C–1/D Crewman Visa or other valid § 12.40–7; U.S. visa or authority deemed accept- (4) A non-resident alien issued a mer- able by the Coast Guard. chant mariner’s document under this (c) Any non-resident alien applying subpart may not perform for a merchant mariner’s document watchstanding, engine room duty under this subpart may not be a citizen watch, or vessel navigation functions; of, or a temporary or permanent resi- and, dent of, a country designated by the (5) A non-resident alien issued a mer- Department of State as a ‘‘State Spon- chant mariner’s document under this sor of Terrorism’’ pursuant to section subpart may perform emergency-re- 6(j) of the Export Administration Act lated duties provided:

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(i) The emergency-related duties do in § 15.530 of this subchapter, to the sat- not require any other rating or en- isfaction of the Coast Guard. dorsement, except lifeboatman as specified in paragraph (a)(3) of this section; PART 13—CERTIFICATION OF (ii) The non-resident alien has com- TANKERMEN pleted familiarization and basic safety training, as required in § 15.1105 of this Subpart A—General subchapter; (iii) That if the non-resident alien Sec. 13.101 Purpose. serves as a lifeboatman, he or she must 13.103 Definitions. have the necessary lifeboatman’s en- 13.105 Paperwork approval. dorsement; and 13.107 Tankerman endorsement: General. (iv) The non-resident alien has com- 13.109 Tankerman endorsement: Authorized pleted the training for crewmembers on cargoes. 13.111 Restricted endorsement. passenger ships performing duties in- 13.113–13.117 [Reserved] volving safety or care for passengers, 13.119 Expiration of endorsement. as required in subpart 12.35 of this part. 13.120 Renewal of endorsement. (c) A non-resident alien may only 13.121 Courses for training tankerman. serve for an aggregate period of 36 13.123 Recency of service or experience for months actual service on all authorized original tankerman endorsement. 13.125 Physical requirements. U.S.-flag large passenger vessels com- 13.127 Service: General. bined under the provisions of this sub- 13.129 Quick-reference table for tankerman. part: (1) Once this 36-month limitation is Subpart B—Requirements for ‘‘Tankerman- reached, the merchant mariner’s docu- PIC’’ Endorsement ment becomes invalid and must be re- 13.201 Original application for ‘‘Tankerman- turned to the Coast Guard under § 12.40– PIC’’ endorsement. 7(d), and the non-resident alien is no 13.203 Eligibility: Experience. longer authorized serve in a position 13.205 Proof of service for ‘‘Tankerman- requiring a merchant mariner’s docu- PIC’’ endorsement. ment on any U.S.-flag large passenger 13.207 Eligibility: Firefighting course. vessel; and 13.209 Eligibility: Cargo course. (2) An individual who successfully ad- Subpart C—Requirements for ‘‘Tankerman- justs his or her immigration status to PIC (Barge)’’ Endorsement become either a alien lawfully admitted for permanent residence to the 13.301 Original application for ‘‘Tankerman- United States or citizen of the United PIC (Barge)’’ endorsement. 13.303 Eligibility: Experience. States may apply for a merchant mari- 13.305 Proof of service for ‘‘Tankerman-PIC ner’s document, subject to the require- (Barge)’’ endorsement. ments of §§ 12.02–10, 12.02–12 and 12.02–14 13.307 Eligibility: Firefighting course. of this part, without any restrictions 13.309 Eligibility: Cargo course. or limitations imposed by this subpart. Subpart D—Requirements for ‘‘Tankerman- § 12.40–15 Alternative means of compli- Assistant’’ Endorsement ance. 13.401 Original application for ‘‘Tankerman- (a) The owner or managing operator Assistant’’ endorsement. of a U.S.-flag large passenger vessel, or 13.403 Eligibility: Experience. U.S.-flag large passenger vessels, seek- 13.405 Proof of service for ‘‘Tankerman-As- ing to employ non-resident aliens sistant’’ endorsement. 13.407 Eligibility: Firefighting course. issued merchant mariner’s documents 13.409 Eligibility: Cargo course. under this subpart may submit a plan to the Coast Guard, which, if approved, Subpart E—Requirements for ‘‘Tankerman- will serve as an alternative means of Engineer’’ Endorsement complying with the requirements of this subpart. 13.501 Original application for ‘‘Tankerman- Engineer’’ endorsement. (b) The plan must address all of the 13.503 Eligibility: Experience. elements contained in this subpart, as 13.505 Proof of service for ‘‘Tankerman-En- well as the related elements contained gineer’’ endorsement.

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13.507 Eligibility: Firefighting course. tanks, except a liquid cargo carried in 13.509 Eligibility: Cargo course. a portable tank actually loaded and AUTHORITY: 46 U.S.C. 3703, 7317, 8105, 8703, discharged from a vessel with the con- 9102; Department of Homeland Security Dele- tents intact. gation No. 0170.1. Marine chemist means a person cer- SOURCE: CGD 79–116, 60 FR 17142, Apr. 4, tificated by the National Fire Protec- 1995, unless otherwise noted. tion Association. MMD means a merchant mariner’s Subpart A—General document issued by the Coast Guard. Officer in Charge, Marine Inspection § 13.101 Purpose. (OCMI) for the purposes of part 13 This part describes the various means the officer or individual so des- tankerman endorsements issued by the ignated at one of the Regional Exam- Coast Guard and prescribes the require- ination Centers, or any person so des- ments for obtaining an endorsement as ignated by the Commandant. a ‘‘Tankerman-PIC,’’ ‘‘Tankerman-PIC Participation, when used with regard (Barge),’’ ‘‘Tankerman-Assistant,’’ or to the service on transfers required for ‘‘Tankerman-Engineer’’ to a merchant tankerman by § 13.120, 13.203, or 13.303, mariner’s document. means either actual participation in the transfers or close observation of § 13.103 Definitions. how the transfers are conducted and As used in this part: supervised. Approved training means training PIC means a person in charge. that is approved by the Coast Guard or Regional examination center (REC) meets the requirements of § 10.309 of means an office of an OCMI that per- this chapter. forms licensing and certification. Cargo engineer means a licensed per- Restricted Tankerman endorsement son on a dangerous-liquid tankship or a means a valid tankerman endorsement liquefied-gas tankship whose primary on an MMD restricting its holder as responsibility is maintaining the cargo the OCMI deems appropriate—for in- system and cargo-handling equipment. stance, to one or a combination of the Competent person means a person des- following: A specific cargo or cargoes; ignated as such in accordance with 29 a specific vessel or vessels; a specific CFR 1915.7. facility or facilities; a specific em- Dangerous liquid means a liquid listed ployer or employers; a specific activity in 46 CFR 153.40 that is not a liquefied or activities (such as loading or un- gas as defined in this part. Liquid car- loading in a cargo transfer); or a par- goes in bulk listed in 46 CFR Part 153, ticular area of water. Table 2, are not dangerous-liquid car- Self-propelled tank vessel means a self- goes when carried by non-oceangoing propelled tank vessel other than a barges. tankship. Directly supervised means being in the Simulated transfer means a transfer direct line of sight of the person in practiced in a course meeting the re- charge, or maintaining direct, two-way quirements of § 13.121 that uses simula- communications by a convenient, reli- tion supplying part of the service on able means, such as a predetermined transfers required for tankerman by working frequency over a hand-held § 13.203 or 13.303. radio. Tank barge means a non-self-pro- DL means dangerous liquid. pelled tank vessel. IMO means the International Mari- Tankship means a self-propelled tank time Organization. vessel constructed or adapted pri- Liquefied gas means a cargo that has marily to carry oil or hazardous mate- a vapor pressure of 172 kPa (25 psia) or rial in bulk in the cargo spaces. more at 37.8 C (100 F). Tank vessel means a vessel that is LG means liquefied gas. constructed or adapted to carry, or Liquid cargo in bulk means a liquid or that carries, oil or hazardous material liquefied gas listed in 46 CFR 153.40 and in bulk as cargo or cargo residue, and carried as a liquid cargo or liquid-cargo that— residue in integral, fixed, or portable (a) Is a vessel of the United States;

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(b) Operates on the navigable waters § 13.107 Tankerman endorsement: Gen- of the United States; or eral. (c) Transfers oil or hazardous mate- (a) If an applicant meets the require- rial in a port or place subject to the ju- ments of subpart B of this part, the risdiction of the United States. OCMI at an REC may endorse his or Tankerman-Assistant means a person her MMD as ‘‘Tankerman-PIC’’ with holding a valid ‘‘Tankerman-Assist- the appropriate cargo classification or ant’’ endorsement to his or her MMD. classifications. A person holding this Tankerman-Engineer means a person endorsement and meeting the other re- holding a valid ‘‘Tankerman-Engineer’’ quirements of 33 CFR 155.710(a) may endorsement to his or her MMD. act as a PIC of a transfer of fuel oil, of Tankerman-PIC means a person hold- a transfer of liquid cargo in bulk, or of ing a valid ‘‘Tankerman-PIC’’ endorse- cargo-tank cleaning on any tank vessel. That person may also act as a ment to his or her MMD. Tankerman-Engineer, provided that he Tankerman-PIC (Barge) means a per- or she also holds an engineer’s license. son holding a valid ‘‘Tankerman-PIC (b) If an applicant meets the require- (Barge)’’ endorsement to his or her ments of subpart C of this part, the MMD. OCMI at an REC may endorse his or Tankship means any tank vessel con- her MMD as ‘‘Tankerman-PIC (Barge)’’ structed or adapted primarily to carry with the appropriate cargo classifica- oil or hazardous material in bulk as tion or classifications. A person hold- cargo or as cargo residue and propelled ing this endorsement and meeting the by power or sail. other requirements of 33 CFR 155.710(b) Transfer means any movement of may act as a PIC of a transfer of liquid dangerous liquid or liquefied gas as cargo in bulk only on a tank barge. cargo in bulk or as cargo residue to, (c) If an applicant meets the require- from, or within a vessel by means of ments of subpart D of this part, the pumping, gravitation, or displacement. OCMI at an REC may endorse his or Section 13.127 describes what qualifies her MMD as ‘‘Tankerman-Assistant’’ as participation in a creditable trans- with the appropriate cargo classifica- fer. tion or classifications. No person holding this endorsement may act as a PIC [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as of any transfer of fuel oil, of any trans- amended by CGD 79–116, 62 FR 25127, May 8, fer of liquid cargo in bulk, or of cargo- 1997; USCG–2006–25535, 71 FR 48483, Aug. 21, tank cleaning unless he or she also 2006] holds an endorsement authorizing service as PIC. He or she may, however, § 13.105 Paperwork approval. without being directly supervised by (a) This section lists the control the PIC, perform duties relative to numbers assigned by the Office of Man- cargo and cargo-handling equipment agement and Budget (OMB) under the assigned by the PIC of transfers of fuel Paperwork Reduction Act of 1980 [Pub. oil, of transfers of liquid cargo in bulk, L. 96–511] for the reporting and record- or of cargo-tank cleaning. When per- keeping requirements in this part. forming these duties, he or she shall (b) OMB has assigned the following maintain continuous two-way voice control numbers to the sections indi- communications with the PIC. cated: (d) If an applicant meets the require- (1) OMB 1625–0040—46 CFR 13.113, ments of subpart E of this part, the 13.115, 13.117, 13.201, 13.203, 13.205, 13.301, OCMI at an REC may endorse his or her MMD as Tankerman-Engineer. No 13.303, 13.305, 13.401, 13.403, 13.405, 13.501, person holding this endorsement may 13.503, 13.505. act as a PIC or ‘‘Tankerman-Assist- (2) OMB 1625–0028—46 CFR 13.121, ant’’ of any transfer of fuel oil, of any 13.207, 13.209, 13.307, 13.309, 13.407, 13.409, transfer of liquid cargo in bulk, or of 13.507, 13.509. cargo-tank cleaning unless he or she [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as also holds an endorsement authorizing amended by USCG-2004–18884, 69 FR 58343, such service. A person holding this en- Sept. 30, 2004] dorsement and acting in this capacity

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has the primary responsibility, on his for the other, the REC may issue a new or her self-propelled tank vessel car- MMD including the endorsement. rying DL or LG, for maintaining both [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as the cargo systems and equipment for amended by USCG–2008–0906, 73 FR 56508, transfer of liquids in bulk and the bun- Sept. 29, 2008] kering systems and equipment. No person licensed under part 10 of this chap- § 13.111 Restricted endorsement. ter may serve as a chief engineer, first (a) An applicant may apply at an assistant engineer, or cargo engineer REC listed in 46 CFR 10.105 for a aboard an inspected self-propelled tank tankerman endorsement restricted to vessel when liquid cargo in bulk or specific cargoes, specific vessels or cargo residue is carried unless he or groups of vessels (such as uninspected she holds this endorsement or equiva- towing vessels and Oil Spill Response lent. Vessels), specific facilities, specific em- (e) If an applicant meets the require- ployers, or otherwise as the OCMI deems appropriate. The OCMI will ments of § 13.111, the OCMI at an REC evaluate each application and may may place on his or her MMD an en- modify the applicable requirements for dorsement as a ‘‘Tankerman-PIC’’ re- the endorsement, allowing for special stricted according to the definitions of circumstances and for whichever re- ‘‘restricted Tankerman endorsement’’ strictions the endorsement will state. in § 13.103. (b) To qualify for a restricted (f) A tankerman wishing to obtain an ‘‘Tankerman-PIC’’ endorsement, an ap- endorsement that he or she does not plicant shall meet §§ 13.201, excluding hold shall apply at an REC referenced paragraph (f); 13.203; and 13.205. in § 10.105 of this chapter. If he or she (1) Twenty-five percent of the service meets all requirements for the new en- described in § 13.203(a) must have oc- dorsement, the REC may issue a new curred within the past five years. MMD including the endorsement. (2) Two of the transfers described in (g) This section does not apply to any § 13.203(b) must have occurred within person solely by reason of his or her in- the past five years. volvement in bunkering or fueling. (c) To qualify for a restricted ‘‘Tankerman-PIC (Barge)’’ endorse- [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as ment, an applicant shall meet §§ 13.301, amended by CGD 79–116, 62 FR 25127, May 8, excluding paragraph (f); and 13.305. 1997; USCG–2008–0906, 73 FR 56508, Sept. 29, (1) Twenty-five percent of the service 2008] described in § 13.303(a) must have occurred within the past five years. § 13.109 Tankerman endorsement: Au- (2) Two of the transfers described in thorized cargoes. § 13.303(b) must have occurred within (a) Each tankerman endorsement de- the past five 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)’’ endorse- fers involving one or both of the fol- ment restricted to a tank-cleaning and lowing cargo classifications: gas-freeing facility, an applicant (1) Dangerous liquid (DL). shall— (2) Liquefied gas (LG). (1) Be at least 18 years old; (b) No tankerman endorsement is (2) Apply on a Coast Guard form; (3) Present evidence of passing a necessary to transfer the liquid cargoes physical examination in accordance in bulk listed in Table 2 of Part 153 of with § 13.125; this chapter when those cargoes are (4) Present evidence in the form of a carried on barges not certified for letter on company letterhead from the ocean service. operator of the facility stating that (c) A tankerman having qualified in OSHA considers the applicant a ‘‘com- one cargo classification and wishing to petent person’’ for the facility and that qualify in another shall apply at an the applicant has the knowledge nec- REC referenced in § 10.105 of this chap- essary to supervise tank-cleaning and ter. If he or she meets all requirements gas-freeing; and

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(5) Be capable of speaking and under- receive a certificate, signed by the standing, in English, all instructions head of the school offering the course needed to commence, conduct, and or by a designated representative, indi- complete a transfer of cargo, and of cating the title of the course, the dura- reading the English found in the Dec- tion, and, if appropriate, credit allowed laration of Inspection, vessel response towards meeting the transfer require- plans, and Cargo Information Cards. ments of this part. (e) The restricted ‘‘Tankerman-PIC (c) A course that uses simulated (Barge)’’ endorsement restricted to a transfers to train students in loading tank-cleaning and gas-freeing facility and discharging tank vessels may re- is valid only while the applicant is em- place up to 2 loadings and 2 discharges, ployed by the operator of the facility 1 commencement and 1 completion of that provided the letter of service re- loading, and 1 commencement and 1 quired by paragraph (d)(4) of this sec- completion of discharge required for a tion, and this and any other appro- Tankerman-PIC or Tankerman-PIC priate restrictions will appear in the (Barge) endorsement. The request for endorsement. approval of the course must specify (f) Because the International Conven- those segments of a transfer that the tion on Standards of Training, Certifi- course will simulate. The letter from cation and Watchkeeping for Seafarers, the Coast Guard approving the course 1978 (STCW), does not recognize re- will state the number and kind of seg- stricted Tankerman-PIC endorsements, ments that the course will replace. persons may act under these only (d) The course in liquid cargo re- aboard vessels conducting business in- quired for an endorsement as— side the Boundary Line. (1) ‘‘Tankerman-PIC DL’’ is Tank- [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as ship: Dangerous Liquids; amended by CGD 79–116, 62 FR 25128, May 8, (2) ‘‘Tankerman-PIC (Barge) DL’’ is 1997] Tank Barge: Dangerous Liquids; (3) ‘‘Tankerman-PIC LG’’ is Tank- §§ 13.113–13.117 [Reserved] ship: Liquefied Gases; (4) ‘‘Tankerman-PIC (Barge) LG’’ is § 13.119 Expiration of endorsement. Tank Barge: Liquefied Gases; An endorsement as tankerman is (5) ‘‘Tankerman-Assistant DL’’ is Fa- valid for the duration of the MMD. miliarization with DL Tankship; and (6) ‘‘Tankerman-Assistant LG’’ is Fa- § 13.120 Renewal of endorsement. miliarization with LG Tankship. An applicant wishing to renew a (e) The course in firefighting re- tankerman’s endorsement shall meet quired for an endorsement as— the requirements of § 12.02–27 of this (1) ‘‘Tankerman-PIC (Barge)’’ is Tank chapter for renewing an MMD and Barge: Firefighting; and prove either participation in at least (2) ‘‘Tankerman-PIC’’, ‘‘Tankerman- two transfers within the last 5 years in Assistant’’, and ‘‘Tankerman-Engi- accordance with § 13.127(b) or comple- neer’’ is a firefighting course that tion of an approved course as described meets the basic firefighting section of in § 10.304. the IMO’s Resolution A.437 (XI), [CGD 79–116, 62 FR 25130, May 8, 1997] ‘‘Training of Crews in Fire Fighting’’. (f) No school may issue a certificate § 13.121 Courses for training unless the student has successfully tankerman. completed an approved course with the (a) This section prescribes the re- appropriate curriculum outlined in quirements, beyond those in §§ 10.203 Table 13.121(f) or § 13.121(h). and 10.303 of this chapter, applicable to (g) An organization with a course in schools offering courses required for a DL or LG or a course in tank-barge tankerman endorsement and courses firefighting taught before March 31, that are a substitute for experience 1996, that substantially covered the with transfers of liquid cargo in bulk material required by Table 13.121(f) for required for the endorsement. liquid cargoes, Table 13.121(g) for fire- (b) Upon satisfactory completion of fighting, or § 13.121(h) for familiariza- an approved course, each student shall tion with tankships, may seek approval

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under § 10.302 of this chapter from the (xii) Tank-cleaning procedures and Coast Guard for any course taught up precautions. to ten years before March 31, 1996. (xiii) Principles and procedures of (h) The Coast Guard will evaluate the vapor-control systems. curricula of courses for Familiariza- (xiv) Cargo-hazard-information sys- tion with DL and LG Tankships to en- tems. sure adequate coverage of the required (2) To ensure adequate coverage of subjects. Training may employ class- the required subjects, training may room instruction, demonstrations, or employ classroom instruction, dem- simulated or actual operations. onstrations, or simulated or actual op- (1) The curricula of courses for Fa- erations. The curricula of courses for miliarization with DL Tankships must Familiarization with LG Tankships consist of the following: must consist of the following: (i) General characteristics, compat- (i) General characteristics, compatibility, reaction, firefighting, and safe- ibility, reaction, firefighting, and safety precautions for bulk liquid cargoes ty precautions for cargoes defined as defined as DL in this part. LG in this part. (ii) Terminology of tankships car- (ii) Terminology of tankships carrying oil and other chemicals. rying LG. (iii) General arrangement and con- (iii) Physical properties of LG. struction of cargo tanks, vapor control, (iv) Potential hazards and safety pre- and venting. cautions of LG: (iv) Cargo-piping systems and valves. (A) Combustion characteristics. (v) General operation of cargo pumps. (B) Hot work. (vi) General discussion of the fol- (C) Results of release of LG to the at- lowing operations connected with the mosphere. loading and discharging of cargo: (D) Health hazards (skin contact, in- (A) Pre-transfer inspection and con- halation, and ingestion). ference and Declaration of Inspection. (E) Protective clothing and equip- (B) Lining up of the cargo and vapor- ment. control systems and starting of liquid (F) Tank-entry procedures and pre- flow. cautions. (G) Thermal stresses. (C) Connecting and disconnecting of (H) Precautions respecting electrical cargo hoses and loading arms. hazards, including hazards of static (D) Loading. electricity. (E) Ballasting and de-ballasting. (v) Cargo-containment systems. (F) Discharging. (vi) General arrangement and con- (G) Tank-gauging (open and closed). struction of cargo tanks. (vii) Rules of the Coast Guard gov- (vii) Cargo-piping systems and erning operations in general and pre- valves. vention of pollution in particular. (viii) Instrumentation: (viii) Prevention and control of pollu- (A) Cargo-level indicators. tion. (B) Gas-detecting systems. (ix) Emergency procedures. (C) Systems for monitoring tempera- (x) Safety precautions relative to: tures of hulls and cargoes. (A) Entering cargo tanks and pump (D) Automatic shut-down systems. room. (ix) Heating systems for cofferdams (B) Dangers of contact with skin. and ballast tanks. (C) Inhalation of vapors. (x) General discussion of the fol- (D) Protective clothing and equip- lowing operations connected with the ment. loading and discharging of cargo: (E) Hot work. (A) Pre-transfer inspection and con- (F) Precautions respecting electrical ference and Declaration of Inspection. hazards, including hazards of static (B) Lining up of the cargo and vapor- electricity. control systems and starting of liquid (xi) General principles and proce- flow. dures of Crude-Oil Washing (COW) Sys- (C) Connecting and disconnecting of tems and inert-gas systems. cargo hoses and loading arms.

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(D) Loading. (2) Design and equipment. (E) Ballasting and de-ballasting. (3) Cargo characteristics. (F) Discharging. (4) Ship operations. (xi) Disposal of boil-off. (5) Repair and maintenance. (xii) Emergency procedures. (6) Emergency procedures. (xiii) Rules of the Coast Guard gov- (j) A company that offers approved erning operations in general and pre- LG training for its employees shall en- vention of pollution in particular. sure discussion of the following topics (xiv) Principles and procedures of (further discussed in STCW Regulation IGSs. V, Section A-V/1, paragraphs 22 (xv) Tank-cleaning procedures and through 34): precautions. (1) Treaties and rules. (xvi) Principles and procedures of (2) Chemistry and physics. vapor-control systems. (xvii) Cargo-hazard-information sys- (3) Health hazards. tems. (4) Cargo containment. (i) A company that offers approved (5) Pollution. DL training for its employees shall en- (6) Cargo-handling systems. sure discussion of the following topics (7) Ship operations. (further discussed in STCW Regulation (8) Safety practices and equipment. V, Section A-V/1, paragraphs 9 through (9) Emergency procedures. 21): (10) General principles of cargo oper- (1) Treaties and rules. ations.

TABLE 13.121(F)

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 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 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

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TABLE 13.121(F)—Continued

Course topics 1 2 3 4

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 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: 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 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 Emergency procedures ...... x x x x Cargo-hazard-information systems ...... x x x x

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TABLE 13.121(F)—Continued

Course topics 1 2 3 4

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 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—Tankerman-PIC DL. Column 2—Tankerman-PIC (Barge) DL. Column 3—Tankerman-PIC LG. Column 4—Tankerman-PIC (Barge) LG.

TABLE 13.121(G) TABLE 13.121(G)—Continued

Course topics 1 2 Course topics 1 2

Elements of fire (Fire triangle): Fire prevention: Fuel ...... X X General ...... X X Source of ignition ...... X X Fire hazards of DL and LG X X Oxygen ...... X X Fire detection: Ignition sources (general): Fire- and smoke-detection Chemical ...... X systems ...... X Biological ...... X Automatic fire alarms ...... X Physical ...... X Firefighting equipment: Ignition sources applicable to Fire mains, hydrants ...... X barges ...... X ...... International shore-con- Definitions of flammability and com- nection ...... X bustibility: Smothering-installations, Flammability ...... X X carbon dioxide (CO2), Ignition point ...... X X foam...... X Halogenated hydrocarbons ...... X Burning temperature ...... X X Pressure-water spray sys- Burning speed ...... X tem in special-category Thermal value ...... X spaces ...... X Lower flammable limit ...... X X Automatic sprinkler system ...... X Upper flammable limit ...... X X Emergency fire pump, Flammable range ...... X X emergency generator ...... X Inerting ...... X Chemical-powder appli- Static electricity ...... X X cants ...... X Flash point ...... X X General outline of required Auto-ignition ...... X X and mobile apparatus ...... X Spread of fire: Fireman’s outfit, personal By radiation ...... X X equipment ...... X By convection ...... X X Breathing apparatus ...... X By conduction ...... X X Resuscitation apparatus ...... X Reactivity ...... X X Smoke helmet or mask ...... X Fire classifications and applicable Fireproof life-line and har- extinguishing agents ...... X X ness ...... X Main causes of fires: Fire hose, nozzles, con- Oil leakage ...... X X nections, and fire axes ...... X Smoking ...... X X Fire blankets ...... X Overheating pumps ...... X X Portable fire extinguishers X X Galley appliances ...... X Limitations of portable and Spontaneous ignition ...... X X semiportable extin- Hot work ...... X X guishers ...... X X Electrical apparatus ...... X Emergency procedures: Reaction, self-heating, and Arrangements: auto-ignition ...... X Escape routes ...... X X

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TABLE 13.121(G)—Continued [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79–116, 62 FR 25130, 25131, Course topics 1 2 25133, May 8, 1997]

Means of gas-freeing tanks ...... X X § 13.123 Recency of service or experi- Class A, B, and C divi- ence for original tankerman en- sions ...... X dorsement. Inert-gas system ...... X Ship firefighting organization: An applicant for an original General alarms ...... X tankerman endorsement in subpart B, Fire-control plans, muster C, D, or E of this part shall have ob- stations, and duties ...... X tained at least 25% of the qualifying Communications ...... X Periodic shipboard drills ...... X service and, if the endorsement re- Patrol system ...... X quires transfers, at least two of the Basic firefighting techniques: qualifying transfers, within five years Sounding alarm ...... X X Locating and isolating fires X X of the date of application. Stopping leakage of cargo X X Jettisoning ...... X § 13.125 Physical requirements. Inhibiting ...... X Cooling ...... X Each applicant for an original Smothering ...... X tankerman endorsement shall meet the Sizing up situation ...... X ...... physical requirements of § 10.205(d) of Locating information on cargo ...... X ...... this chapter, excluding paragraph (d)(2) Extinguishing ...... X X of that section. Extinguishing with portable units ...... X X § 13.127 Service: General. Setting reflash watch ...... X X Using additional personnel X X (a) A service letter must be signed by Firefighting extinguishing-agents: the owner, operator, master, or chief Water (solid jet, spray, fog, and flooding) ...... X engineer of the vessel and must speci- Foam (high, medium and fy— low expansion) ...... X (1) The classification of cargo (DL, Carbon dioxide (CO2) ...... X X Halon ...... X LG, or, for a restricted endorsement, a Aqueous-film-forming foam specific product) handled while the ap- (AFFF) ...... X plicant accumulated the service; Dry chemicals ...... X X (2) The dates, the number and kinds Use of extinguisher on: Flammable and combus- of transfers the applicant has partici- tible liquids ...... X X pated in, and the number of transfers Manifold-flange fire ...... X X that involved commencement or com- Drip-pan fire ...... X X Pump fire ...... X X pletion; and Drills for typical fires on barges ...... X ...... (3) That the applicant has dem- Field exercises: onstrated to the satisfaction of the Extinguish small fires using portable extinguishers: signer that he or she is fully capable of Electrical ...... X X supervising transfers of liquid cargo, Manifold-flange ...... X X including Drip-pan ...... X X (i) Pre-transfer inspection; Pump ...... X X Use self-contained breathing appa- (ii) Pre-transfer conference and exe- ratus ...... X cution of the Declaration of Inspection; Extinguish extensive fires with (iii) Connection of cargo hoses or water ...... X Extinguish fires with foam, or chem- loading-arms; ical ...... X (iv) Line-up of the cargo system for Fight fire in smoke-filled enclosed loading and discharge; space wearing SCBA ...... X Extinguish fire with water fog in an (v) Start of liquid flow during load- enclosed space with heavy ing; smoke ...... X (vi) Start of cargo pump and increase Extinguish oil fire with fog appli- of pressure to normal discharge pres- cator and spray nozzles, dry- chemical, or foam applicators ...... X sure; Effect a rescue in a smoke-filled (vii) Calculation of loading-rates; space while wearing breathing (viii) Monitoring; apparatus ...... X (ix) Topping-off of cargo tanks during (1) Course in tank-barge firefighting. (2) From the basic firefighting section of the IMO’s Resolu- loading; tion A.437 (XI), ‘‘Training of Crews in Fire Fighting’’. (x) Stripping of cargo tanks;

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(xi) Ballasting and deballasting, if Inspection, the connection of cargo appropriate; hoses or loading-arms, the line-up of (xii) Disconnection of the cargo hoses the cargo system for the loading, the or loading-arms; and start of liquid flow, and the calculation (xiii) Securing of cargo systems. of loading-rates, where applicable. (b) In determining the numbers and (7) Credit for a commencement of dis- kinds of transfers that the applicant charge accrues only if the applicant has participated in under paragraph participates in the pre-transfer inspec- (a)(2) of this section, the following tion, the pre-transfer conference in- rules apply: cluding execution of the Declaration of (1) A transfer must involve the load- Inspection, the connection of cargo ing or discharge from at least one of hoses or loading-arms, the line-up of the vessel’s cargo tanks to or from a the cargo system for the discharge, the shore facility or another vessel. A shift start of the cargo pump or pumps and of cargo from one tank to another tank increase of pressure to normal pressure is not a transfer for this purpose. for discharge, and the monitoring of (2) Regardless of how long the trans- discharge rates. fer lasts beyond four hours, it counts as (8) Credit for a completion of trans- only one transfer. fer, whether loading or discharge, ac- (3) A transfer must include both a crues only if the applicant participates commencement and a completion. in the topping-off at the loading port, (4) Regardless of how many tanks or or in the stripping of cargo tanks and products are being loaded or discharged the commencement of ballasting, if re- at the same time, a person may receive credit for only one transfer, one load- quired by the vessel’s transfer proce- ing, and one discharge a watch. dures, at the discharge port. (5) Credit for a transfer during a (9) Personnel desiring credit for watch of less than four hours accrues transfers during off-duty hours may only if the watch includes either the satisfy requirements of competence connection and the commencement of through incremental training periods transfer or the completion of transfer that include segments of transfers. The and the disconnection. cumulative number of transfers must (6) Credit for a commencement of equal the minimum specified in loading accrues only if the applicant § 13.203(b) or 13.303(b). participates in the pre-transfer inspec- [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as tion, the pre-transfer conference in- amended by CGD 79–116, 62 FR 25133, May 8, cluding execution of the Declaration of 1997]

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Subpart B—Requirements for (2) Two commencements of loading ‘‘Tankerman-PIC’’ Endorsement and two completions of loading; and (3) Two commencements of discharge § 13.201 Original application for and two completions of discharge. ‘‘Tankerman-PIC’’ endorsement. (c) Each applicant already holding an Each applicant for an original MMD endorsed ‘‘Tankerman-PIC’’ for ‘‘Tankerman-PIC’’ endorsement shall— DL and seeking an endorsement for (a) Be at least 18 years old; LG, or the converse, shall— (b) Apply on a Coast Guard form; (1) Provide evidence of at least half (c) Present evidence of passing a the service required by paragraph (a) of physical examination in accordance this section; and with § 13.125; (2) Comply with paragraph (b) of this (d) Present evidence of service on section, except that he or she need pro- tankships in accordance with § 13.203; vide evidence of only three loadings (e) Meet the requirement of a course and three discharges along with evi- on firefighting in § 13.207; dence of compliance with paragraphs (f) Meet the requirement of a course (b)(2) and (3) of this section. in DL or LG appropriate for the endorsement applied for in § 13.209; and [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as (g) Be capable of speaking and under- amended by CGD 79–116, 62 FR 25134, May 8, standing, in English, all instructions 1997] needed to commence, conduct, and complete a transfer of cargo, and be ca- § 13.205 Proof of service for pable of reading the English found in ‘‘Tankerman-PIC’’ endorsement. the Declaration of Inspection, vessel Service must be proved by a letter on response plans, and Cargo Information company letterhead from the owner, Cards. operator, or master of the vessel on which the applicant obtained the serv- § 13.203 Eligibility: Experience. ice. The letter must contain the infor- Each applicant for a ‘‘Tankerman- mation described in § 13.127(a). PIC’’ endorsement for DL or LG shall meet the requirements of either para- § 13.207 Eligibility: Firefighting graphs (a) and (b) or paragraph (c) of course. this section. Each applicant for an original (a) Each applicant shall present evi- ‘‘Tankerman-PIC’’ endorsement shall dence of— present a certificate of successful com- (1) At least 90 days of service as a li- pletion from a course in shipboard fire- censed deck officer or a licensed engi- fighting, approved by the Commandant neering officer on one or more tank- and meeting the basic firefighting sec- ships or self-propelled tank vessels cer- tion of the IMO’s Resolution A.437 (XI), tified to carry DL or LG appropriate to ‘‘Training of Crews in Fire Fighting’’, the endorsement applied for; completed within five years of the date (2) At least 90 days of unlicensed or of application for the endorsement, un- cadet service on deck or in the engine less he or she has previously submitted department on one or more tankships such a certificate for a license or a or self-propelled tank vessels certified tankerman endorsement. to carry DL or LG appropriate to the endorsement applied for; or § 13.209 Eligibility: Cargo course. (3) A combination of the service in Each applicant for an original paragraphs (a) (1) and (2) of this sec- ‘‘Tankerman-PIC’’ endorsement shall tion. present a certificate of completion (b) Each applicant shall present evi- from a course in DL or LG appropriate dence of participation, under the super- for tankships and for the endorsement vision of a ‘‘Tankerman-PIC,’’ in at applied for, and approved by the Com- least 10 transfers of liquid cargo in mandant. The date of the certificate bulk of the classification desired on may not be more than 5 years earlier tankships or self-propelled tank ves- than the date of application. sels, including at least— (1) Five loadings and five discharges; [CGD 79–116, 62 FR 25134, May 8, 1997]

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Subpart C—Requirements for (c) Each applicant already holding an ‘‘Tankerman-PIC (Barge)’’ En- MMD endorsed ‘‘Tankerman-PIC dorsement (Barge)’’ for DL and seeking an endorsement for LG, or the converse, § 13.301 Original application for shall— ‘‘Tankerman-PIC (Barge)’’ endorse- (1) Provide evidence of at least half ment. the service required by paragraph (a) of Each applicant for a ‘‘Tankerman- this section; and PIC (Barge)’’ endorsement shall— (2) Comply with paragraph (b) of this (a) Be at least 18 years old; section, except that he or she need pro- (b) Apply on a Coast Guard form; vide evidence of only three loadings (c) Present evidence of passing a and three discharges along with evi- physical examination in accordance dence of compliance with paragraphs with § 13.125; (b)(2) and (3) of this section. (d) Present evidence of service on tank vessels in accordance with § 13.303; [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79–116, 62 FR 25134, May 8, (e) Meet the requirement of a fire- 1997] fighting course in § 13.307; (f) Meet the requirement of a course § 13.305 Proof of service for in DL or LG appropriate for the en- ‘‘Tankerman-PIC (Barge)’’ endorse- dorsement applied for in § 13.309; and ment. (g) Be capable of speaking, and un- Service must be proved by a letter on derstanding, in English, all instruc- company letterhead from the owner or tions needed to commence, conduct, operator of a terminal; the owner or and complete a transfer of cargo, and operator of a tank barge; the owner, be capable of reading the English found operator, or master of a tank vessel; or in the Declaration of Inspection, vessel response plans, and Cargo Information the employer of shore-based Cards. tankermen. The letter must contain the information required by § 13.127(a), § 13.303 Eligibility: Experience. excluding paragraph (a)(3)(vii). Each applicant for a ‘‘Tankerman- [CGD 79–116, 62 FR 25134, May 8, 1997] PIC (Barge)’’ endorsement for DL or LG shall meet the requirements of ei- § 13.307 Eligibility: Firefighting ther paragraphs (a) and (b) or para- course. graph (c) of this section. Each applicant for a ‘‘Tankerman- (a) Each applicant shall present evi- PIC (Barge)’’ endorsement shall dence of— present a certificate of successful com- (1) At least 60 days of service, wheth- pletion from— er by shore-based or by vessel-based (a) A course in shipboard firefighting, personnel, on one or more tank vessels approved by the Commandant and certified to carry DL or LG appropriate meeting the basic firefighting section to the endorsement applied for; or of the IMO’s Resolution A.437(XI), (2) At least 6 months of closely re- ‘‘Training of Crews in Firefighting,’’ lated service directly involved with completed 5 years or less before the tank barges appropriate to the endorse- date of application for the endorsement applied for; and ment, unless he or she has previously (b) Participation, under the super- submitted such a certificate for a li- vision of a ‘‘Tankerman-PIC’’ or cense or a tankerman endorsement; or ‘‘Tankerman-PIC (Barge),’’ in at least 10 transfers of liquid cargo in bulk of (b) A course in tank-barge fire- the classification desired on any tank fighting, approved by the Commandant vessel, including at least— and meeting § 13.121, completed within (1) Five loadings and five discharges; five years of the date of application for (2) Two commencements of loading the endorsement. and two completions of loading; and [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as (3) Two commencements of discharge amended by CGD 79–116, 62 FR 25134, May 8, and two completions of discharge. 1997]

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§ 13.309 Eligibility: Cargo course. ant’’ for DL and seeking one for LG, or the converse, shall— Each applicant for an original ‘‘Tankerman-PIC (Barge)’’ endorse- (1) Provide evidence of at least half ment shall present a certificate of com- the service required in paragraph (a)(1) pletion from a course in DL or LG ap- of this section; or propriate for tank barges and for (2) Meet the requirement of a course Tankerman-PIC or Tankerman-PIC in DL or LG appropriate for the en- (Barge), and approved by the Com- dorsement applied for as prescribed in mandant. The date of the certificate § 13.409. may not be more than 5 years earlier [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as than the date of application. amended by CGD 79–116, 62 FR 25134, May 8, [CGD 79–116, 62 FR 25134, May 8, 1997] 1997] § 13.405 Proof of service for Subpart D—Requirements for ‘‘Tankerman-Assistant’’ endorse- ‘‘Tankerman-Assistant’’ En- ment. dorsement (a) Service must be proved by a letter on company letterhead from the owner, § 13.401 Original application for operator, or master of a tankship or ‘‘Tankerman-Assistant’’ endorsement. self-propelled tank vessel. The letter must specify— Each applicant for a ‘‘Tankerman-As- (1) The classification of cargo (DL or sistant’’ endorsement shall— LG) carried while the applicant accu- (a) Be at least 18 years old; mulated the service; (b) Apply on a Coast Guard form; (2) The number of days of deck serv- (c) Present evidence of passing a ice the applicant accumulated on the physical examination in accordance tankship or self-propelled tank vessel; with § 13.125; and (d) Meet the requirement of a firefighting course in § 13.407; (3) That the applicant has dem- (e) (1) Meet the requirement of a onstrated an understanding of cargo course in DL or LG appropriate for the transfer and a sense of responsibility endorsement applied for in § 13.409; or that, in the opinion of the signer, will (2) Present evidence of service on allow the applicant to safely carry out tankships or self-propelled tank vessels duties respecting cargo transfer and in accordance with § 13.403; and transfer equipment assigned by the PIC (f) Be capable of speaking and under- of the transfer without direct super- standing, in English, all instructions vision by the PIC; or needed to commence, conduct, and (b) Service must be proved by— complete a transfer of cargo. (1) Certificates of Discharge from tankships with the appropriate classi- [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as fication of cargo (DL, LG, or both); and amended by CGD 79–116, 62 FR 25134, May 8, 1997] (2) A letter on company letterhead from the owner, operator, or master of § 13.403 Eligibility: Experience. one of the tankships or self-propelled tank vessel stating that he or she has (a) Each applicant for a ‘‘Tankerman- demonstrated— Assistant’’ endorsement shall present— (1) Evidence of at least 90 days of (i) An understanding of cargo trans- deck service on tankships or self-pro- fer; and pelled tank vessels certified to carry (ii) A sense of responsibility that, in DL or LG appropriate to the endorse- the opinion of the signer, will allow ment applied for; or him or her to safely carry out duties (2) A certificate of completion from a respecting cargo and its equipment as- course in DL or LG appropriate for the signed by the PIC of the transfer with- endorsement applied for as prescribed out direct supervision by the PIC. in § 13.409. [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as (b) Each applicant already holding an amended by CGD 79–116, 62 FR 25134, May 8, MMD endorsed ‘‘Tankerman-Assist- 1997]

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§ 13.407 Eligibility: Firefighting needed to commence, conduct, and course. complete a transfer of cargo. Each applicant for a ‘‘Tankerman-As- [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as sistant’’ endorsement shall present a amended by CGD 79–116, 62 FR 25134, May 8, certificate of successful completion 1997] from a course in shipboard firefighting, approved by the Commandant and § 13.503 Eligibility: Experience. meeting the basic firefighting section (a) Each applicant for a ‘‘Tankerman- of the IMO’s Resolution A.437 (XI), Engineer’’ endorsement shall present ‘‘Training of Crews in Fire Fighting’’, evidence of at least— completed within five years of the date (1) 90 days of service as a licensed en- of application for the endorsement, un- gineering officer of tankships or self- less he or she has previously submitted propelled tank vessels certified to such a certificate from one of these carry DL or LG appropriate to the en- courses for a license or endorsement. dorsement applied for; (2) 90 days of unlicensed or cadet § 13.409 Eligibility: Cargo course. service in the engine department on Each applicant for an original tankships or self-propelled tank vessels ‘‘Tankerman-Assistant’’ endorsement certified to carry DL or LG appropriate who has not presented the required to the endorsement applied for; or service on tankships or self-propelled (3) A combination of the service in tank vessels shall present a certificate paragraphs (a) (1) and (2) of this sec- of completion from a course for Famil- tion. iarization with DL or LG Tankships or (b) Each applicant already holding an from a tanker-familiarization course MMD endorsed as Tankerman-Engineer appropriate to the endorsement applied for DL and seeking one for LG, or the for, and approved by the Commandant. converse, shall prove at least half the The date of the certificate may not be service required by paragraph (a) of more than 5 years earlier than the date this section. of application. [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as [CGD 79–116, 62 FR 25134, May 8, 1997] amended by CGD 79–116, 62 FR 25134, May 8, 1997] Subpart E—Requirements for ‘‘Tankerman-Engineer’’ En- § 13.505 Proof of service for dorsement ‘‘Tankerman-Engineer’’ endorsement. § 13.501 Original application for (a) Service must be proved by a letter ‘‘Tankerman-Engineer’’ endorse- on company letterhead from the owner, ment. operator, master, or chief engineer of a Each applicant for a ‘‘Tankerman- tankship or self-propelled tank vessel. Engineer’’ endorsement shall— The letter must specify— (a) Be at least 18 years old; (1) The classification of cargo (DL, (b) Apply on a Coast Guard form; LG, or both) carried while the appli- (c) Present evidence of passing a cant accumulated the service; and physical examination in accordance (2) The number of days of licensed with § 13.125; and unlicensed service in the engine (d) Present evidence of service on department on tankships or self-pro- tankships and self-propelled tank ves- pelled tank vessels; or sels in accordance with § 13.503; (b) Service must be proved by certifi- (e) Meet the requirement of a fire- cates of discharge from tankships or fighting course in § 13.507; self-propelled tank vessels with the ap- (f) Meet the requirement of a course propriate classification of cargo (DL, in DL or LG appropriate for the en- LG, or both). dorsement applied for in § 13.509; and [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as (g) Be capable of speaking and under- amended by CGD 79–116, 62 FR 25135, May 8, standing, in English, all instructions 1997]

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§ 13.507 Eligibility: Firefighting 14.305 Entries in continuous discharge book. course. 14.307 Entries on certificate of discharge. 14.309 Entries in shipping articles at end of Each applicant for a ‘‘Tankerman- voyage. Engineer’’ endorsement shall present a 14.311 Report of discharge of merchant mar- certificate of successful completion iner. from a course in shipboard firefighting, 14.313 Storage of shipping articles and of approved by the Commandant and certificates of discharge. meeting the basic firefighting section of the IMO’s Resolution A.437 (XI), Subpart D—Oceanographic Research ‘‘Training of Crews in Fire Fighting’’, Vessels completed within five years of the date 14.401 General. of application for the endorsement, un- 14.403 Exemptions. less he or she has previously submitted 14.405 Procedures. such a certificate for a license or 14.407 Reports.

tankerman endorsement. AUTHORITY: 5 U.S.C. 552; 46 U.S.C. Chapters 103 and 104. § 13.509 Eligibility: Cargo course. SOURCE: CGD 94–004, 61 FR 56637, Nov. 4, Each applicant for an original 1996, unless otherwise noted. ‘‘Tankerman-Engineer’’ endorsement shall present a certificate of completion from a course in DL or LG, appro- Subpart A—General priate for tankships and the endorse- § 14.101 Purpose of part. ment applied for, approved by the Com- mandant. The date of the certificate This part prescribes rules for the may not be more than 5 years earlier shipment and discharge of merchant than the date of application. mariners aboard certain vessels of the United States. [CGD 79–116, 62 FR 25135, May 8, 1997] § 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. 14.101 Purpose of part. (c) World wide web: http:// 14.103 Addresses of Coast Guard. www.uscg.mil/nmc. 14.105 Disclosure and privacy. [USCG–2008–0906, 73 FR 56508, Sept. 29, 2008]

Subpart B—Shipment of Merchant Mariners § 14.105 Disclosure and privacy. 14.201 Voyages upon which shipping articles The Coast Guard makes information are required. available to the public in accordance 14.203 Voyages upon which shipping articles with 49 CFR part 7, including appendix are not required. 14.205 Production of credentials by mer- B. chant mariner signing shipping articles. 14.207 Content and form of shipping articles. Subpart B—Shipment of Merchant 14.209 Preparation of shipping articles at Mariners beginning of voyage. 14.211 Posting of copy of shipping articles. § 14.201 Voyages upon which shipping 14.213 Report of shipment of merchant mar- articles are required. iner. (a) Before proceeding either upon a Subpart C—Discharge of Merchant foreign, intercoastal, or coastwise voy- Mariners age (including a voyage on the Great Lakes) listed in paragraph (b) of this 14.301 Paying off of merchant mariner during or after voyage upon which shipping section or with the engagement or re- articles are required. placement of a merchant mariner for 14.303 Discharge of merchant mariner in such a voyage, each master or indi- foreign port. vidual in charge of a vessel or seagoing

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barge of the United States shall exe- § 14.207 Content and form of shipping cute shipping articles however pre- articles. pared, manually or electronically. The (a)(1) The content and form of ship- master or individual in charge and ping articles for each vessel of the each mariner engaged or replaced shall United States of 100 gross tons or more sign the articles. upon a foreign or intercoastal voyage (b) Except as provided by § 14.203, ar- must conform to the present shipping ticles are required upon each voyage by articles, form CG-705A, which meets a vessel of the United States— the requirements of 46 U.S.C. 10302, (1) Of 100 gross tons or more, on a for- 10303, 10304, and 10305. The articles eign voyage, which is a voyage from a must identify the nature of the voyage port in the United States to any for- and specify at least the name, the num- eign port other than a port in— ber of the license or merchant mariner’s document, the capacity of serv- (i) Canada; ice, the time due on board to begin (ii) Mexico; or work, and the name and address of the (iii) The West Indies. next of kin of, and the wages due to (2) Of 75 gross tons or more on a voy- each merchant mariner, either who was age between a port of the United States discharged or whose services were oth- on the Atlantic Ocean and a port of the erwise terminated during the month. United States on the Pacific Coast; or (2) The content and form of articles (3) Of 50 gross tons or more on a voy- for each such vessel upon a coastwise age between a port in one State and a voyage (including a voyage on the port in another State other than an ad- Great Lakes) must also conform to the joining State. present shipping articles, form CG- 705A, which meet the requirements of § 14.203 Voyages upon which shipping 46 U.S.C. 10502. The articles must speci- articles are not required. fy at least the matter identified by paragraph (a)(1) of this section, except Although they may be used for the that they must not specify the wages voyage; shipping articles are not re- due to the mariner. The wages section quired for any voyage by— of the form shall be left blank for (a) A yacht; 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 Shipping Articles, chant mariners are by custom or agree- Form CG-705A, from any Officer in ment entitled to participate in the Charge, Marine Inspection (OCMI), of profits or results of a cruise or voyage; the Coast Guard. (d) A vessel employed exclusively in (c) Any company that electronically trade on the navigable rivers of the prepares the articles may, upon request United States; or submitted to either address in § 14.103, (e) A ferry, or a tug used in ferrying, obtain a copy of software developed by if the vessel is employed exclusively in the Coast Guard to produce articles in trade on the Great Lakes, other lakes, the proper format. Alternatively, a bays, sounds, bayous, canals, or har- company may develop its own software or buy it off the shelf; but, in either of bors. these cases, it must secure approval of § 14.205 Production of credentials by the software from the National Mari- merchant mariner signing shipping time Center at either address in articles. § 14.103. On engagement for a voyage upon § 14.209 Preparation of shipping arti- which shipping articles are required, cles at beginning of voyage. each merchant mariner shall present to Each master or individual in charge the master or individual in charge of of a vessel when shipping articles are the vessel every document, certificate, required shall prepare an original and or license required by law for the serv- two copies of the articles. The original ice the mariner would perform. and one copy must be signed by the

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master or individual in charge and by sounds, each master or individual in each merchant mariner; but the second charge shall, at least every 60 days, copy must not be signed by any of send articles, signed by the master and them. by each mariner, to the owner, charter, or managing operator. § 14.211 Posting of copy of shipping ar- (d) Any person who fails to comply ticles. with the requirements of this section is On commencement of a foreign, subject to a civil penalty of $5,000. intercoastal, or coastwise voyage (including a voyage on the Great Lakes), Subpart C—Discharge of each master or individual in charge of Merchant Mariners a vessel when shipping articles are required shall ensure that a legible copy § 14.301 Paying off of merchant mar- of the articles, unsigned by the mariner during or after voyage upon iner, and without the next of kin infor- which shipping articles are re- mation, is posted at a place accessible quired. to the crew. Each master or individual in charge of a vessel when shipping articles are § 14.213 Report of shipment of mer- required shall complete and sign, and chant mariner. each merchant mariner paid off during (a) When a vessel of the United or after such a voyage shall sign the States sails upon a foreign, inter- articles and otherwise comply with the coastal, or coastwise voyage (excluding requirements of this subpart. When a voyage on the Great Lakes), each signed by the master or individual in master or individual in charge shall, at charge and by the mariner, the articles the commencement of the voyage, send constitute a release from the duties to one copy of shipping articles, signed by which they bound their parties. the master and by each merchant mariner, to the owner, charterer, or man- § 14.303 Discharge of merchant mar- aging operator. The master shall keep iner in foreign port. the original throughout the voyage and Upon the discharge of any mariner in enter in it all charges made to the crew a foreign port, the master shall make during the voyage. the required entries on the ship’s arti- (b) (1) When a vessel of the United cles. Upon the request of the master or States sails exclusively on the Great a mariner, the consular officer shall Lakes, each master or individual in discharge the mariner in accordance charge shall, at the commencement of with the requirements of 46 U.S.C. the season, or once the vessel is put 10318. into service, whichever occurs earlier, send one copy of articles, signed by the § 14.305 Entries in continuous dis- master and by each mariner, to the charge book. owner, charterer, or managing oper- If the merchant mariner holds a con- ator. tinuous discharge book, the master or (2) The master or individual in individual in charge of the vessel shall charge shall every 60 days send supple- make the proper entries in it. mentary particulars of engagement covering each mariner engaged during § 14.307 Entries on certificate of dis- this period, signed by the master and charge. by each mariner, to the owner, (a) Each master or individual in charterer, or managing operator. charge of a vessel shall, for each mer- (3) The master of individual in charge chant mariner being discharged from shall, at the close of the season, or the vessel, prepare a certificate of dis- once the vessel is withdrawn from serv- charge and two copies; whether by ice, whichever occurs later, send arti- writing or typing them on the pre- cles, signed by the master and by each scribed form with permanent ink or mariner, to the owner, charterer, or generating them from computer in the managing operator. prescribed format; and shall sign them (c) When a vessel of the United with permanent ink. The prescribed States sales exclusively on bays or format for a certificate of discharge is

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the same as the present form CG-718A Great Lakes, or once the vessel is with- (Rev. 3–85). The left portion of the form drawn from service there, whichever has the mariner’s printed name, signa- occurs later), the shipping company ture, citizenship, and merchant mari- shall electronically transmit the data ner’s document number; the certifi- from the certificates of discharge to an cation statement, date and the mas- electronic address which the shipping ter’s signature. The right portion of company may request from the Na- the form contains the rate/rank the tional Maritime Center. mariner is serving on the voyage, date (b) If the data is submitted manually, and place of shipment, date and place the shipping companies shall provide of discharge, name of the vessel, name the data for foreign and intercoastal of the operating company, official voyages at the end of each voyage. For number of the vessel, class of the vessel, and the nature of the voyage. coastwise voyages or of each voyage by (b) Each mariner being discharged such a vessel that sails exclusively on shall sign the certificate and both cop- bays or sounds (or by such a vessel at ies with permanent ink. the close of the season of the Great (c) When the mariner leaves the ves- Lakes, or once the vessel is withdrawn sel, the master or individual in charge from service there, whichever occurs shall give the original certificate to later), the shipping companies shall the mariner. submit a copy of each certificate of dis- (d) Except as directed by § 14.313, the charge to the address in § 14.103(a) at shipping company shall keep both cop- least once per calendar month. ies of the certificate. (e) The company shall provide copies [CGD 94–004, 61 FR 56637, Nov. 4, 1996, as of certificates of discharge to the mar- amended by USCG–2007–29018, 72 FR 53964, Sept. 21, 2007] iner and the Coast Guard upon request. [CGD 94–004, 61 FR 56637, Nov. 4, 1996, as § 14.313 Storage of shipping articles amended by USCG-2002–13058, 67 FR 61278, and of certificates of discharge. Sept. 30, 2002] (a) Each shipping company shall keep § 14.309 Entries in shipping articles at all original shipping articles and copies end of voyage. of all certificates of discharge for 3 (a) At the end of each voyage upon years. After 3 years the shipping com- which shipping articles are required, panies shall prepare the original ship- the master or individual in charge of ping articles in alphabetical order by the vessel shall— vessel name and send to the address in (1) Complete the articles, conforming § 14.103(a) for storage at the Federal the pertinent entries in them to those Records Center at Suitland, Maryland. on the certificate of discharge and its The company may dispose of the copies copies; of certificates of discharge. The Coast (2) Note in the articles the execution Guard will dispose of copies of certifi- of each Mutual Release; cates submitted manually, once the (3) Attach to the articles each Mu- data are entered into its sea-service tual Release and a copy of each certifi- database and are validated. cate; and (b) Each shipping company that goes (4) Pay to each merchant mariner all out of business or merges with another wages due. company shall send all original articles (b) When paid off, each mariner shall to the address in § 14.103(a) within 30 sign the articles. days of the transaction. § 14.311 Report of discharge of mer- (c) The shipping company must pro- chant mariner. vide copies of shipping articles and cer- (a) At the end of each foreign, inter- tificates of discharge to the mariner coastal, and coastwise voyage by a ves- and the Coast Guard upon request. sel of the United States, or of each voyage by such a vessel that sails exclusively on bays or sounds (or by such a vessel at the close of the season on the

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Subpart D—Oceanographic (7) 46 U.S.C. 10314 and 10505, Ad- Research Vessels vances; (8) 46 U.S.C. 10315, Allotments; § 14.401 General. (9) 46 U.S.C. 10316 and 10506, Trusts; (10) 46 U.S.C. 10321 and 10508, General Unless otherwise provided by Title 46 penalties; United States Code, by any act amend- (11) 46 U.S.C. 10502, Shipping articles ing or supplementing that Title, or by (for coastwise voyages); and this subpart, that Title as far as it gov- (12) 46 U.S.C. 10509, Penalty for fail- erns the employment of merchant ure to begin coastwise voyages. mariners remains, and any act amending or supplementing that title be- § 14.405 Procedures. comes, applicable to oceanographic research vessels. (a) Upon written request for the owner, charterer, managing operator, § 14.403 Exemptions. master, or individual in charge of the (a) Certain requirements of Title 46, vessel to the OCMI of the Coast Guard United States Code do not apply to the in whose zone the vessel is located, the employment of merchant mariners on Commandant may grant an exemption oceanographic research vessels. These of any oceanographic research vessel requirements are those concerned with, designated by 46 U.S.C. 2113(2) from any among other things, the shipment and requirement of any section listed by discharge of mariners, their pay and al- § 14.403(b). lotments, and the adequacy of their (b) The request must state— clothing. 46 U.S.C. 2113(2) allows ex- (1) Any requirement of any section emptions of oceanographic research listed in § 14.403(b) from which the ap- vessels from certain requirements of plicant wishes an exemption; and parts B, C, F, or G of subtitle II of 46 (2) What business practices regard- U.S.C., upon such terms as the Sec- ing, among other things, the shipment retary of the Department of Transpor- and discharge of merchant mariners, tation deems suitable. The exemptions their pay and allotments, and the ade- available under this subpart are sub- quacy of their clothing would justify ject to the following terms: the exemption. (1) No use of any exemption relieves (c) The OCMI will forward the re- the owner, charterer, managing oper- quest, along with his or her rec- ator, master, or individual in charge of ommendation, to the Commandant, the vessel of other statutory respon- who will determine whether to grant sibilities for the protection of every any exemption of any vessel from any mariner under his or her command. requirement. The OCMI will issue a let- (2) If it is presented at a reasonable ter indicating any exemption granted. time and in a reasonable manner, the The master or individual in charge of master or individual in charge shall re- the vessel shall keep the letter aboard ceive, consider, and appropriately ad- the vessel. dress the legitimate complaint of any (d) If operating conditions change, mariner. the owner, charterer, managing oper- (b) For any oceanographic research ator, master, or individual in charge of vessel sailing with any mariner em- the vessel shall so advise the OCMI. ployed by any firm, association, cor- The OCMI will forward pertinent infor- poration, or educational or govern- mation on how the conditions have mental body or agency, the Com- changed, along with his or her rec- mandant may grant exemptions from— ommendation, to the Commandant, (1) 46 U.S.C. 10301, Application; who will determine whether any ex- (2) 46 U.S.C. 10302, Shipping articles emption should remain granted. (for foreign and intercoastal voyages); (3) 46 U.S.C. 10307, Posting of articles; § 14.407 Reports. (4) 46 U.S.C. 10308, Foreign engage- (a) The owner, charterer, managing ments; operator, master, or individual in (5) 46 U.S.C. 10311, Certificates of discharge of each oceanographic research charge; vessel of 100 gross tons or more shall (6) 46 U.S.C. 10313 and 10504, Wages; maintain a record of the employment,

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discharge, or termination of service of Subpart D—Manning Requirements; every merchant mariner in the crew. Inspected Vessels At least every 6 months, the person 15.501 Certificate of inspection. maintaining this record shall transmit 15.505 Changes in the certificate of inspec- it to the Coast Guard, either manually, tion. in the form of a copy of a certificate of 15.510 Right of appeal. discharge, or electronically. 15.515 Compliance with certificate of inspec- (b) The owner, charterer, managing tion. operator, master, or individual in 15.520 Mobile offshore drilling units. charge of the vessel shall keep original 15.525 Reference to other parts. shipping articles and a copy of each 15.530 Large passenger vessels. certificate ready for review by the Subpart E—Manning Requirements; Coast Guard or the concerned mariner Uninspected Vessels upon request. After January 3, 1997, the Coast Guard will no longer keep either 15.601 General. original articles or copies of certifi- 15.605 Licensed operators for uninspected cates; it will keep only electronic passenger vessels. records of employment. 15.610 Master and mate (pilot) of towing vessels. (c) The master or individual in charge of the vessel shall ensure that Subpart F—Limitations and Qualifying every entry made in the articles agrees Factors with the corresponding entry made in a continuous discharge book, on a cer- 15.701 Officers Competency Certificates tificate, or in any other proof of sea Convention, 1936. 15.705 Watches. service furnished to the mariner. 15.710 Working hours. (d) Each oceanographic company 15.715 Automated vessels. shall keep all original articles and cop- 15.720 Use of non-U.S. licensed and/or docu- ies of all certificates for 3 years. After mented personnel. that each such company shall send all 15.725 Sailing short. articles to the address in § 14.103(a). 15.730 Language requirements. (e) Each oceanographic company that goes out of business or merges with an- Subpart G—Computations other company shall send all original 15.801 General. articles to the address in § 14.103(a) 15.805 Master. within 30 days of the transaction. 15.810 Mates. 15.812 Pilots. 15.815 Radar observers. PART 15—MANNING 15.820 Chief engineer. REQUIREMENTS 15.825 Engineers. 15.830 Radio officers. Subpart A—Purpose and Applicability 15.835 Staff officers. 15.840 Able seamen. Sec. 15.845 Lifeboatmen. 15.101 Purpose of regulations. 15.850 Lookouts. 15.102 Paperwork approval. 15.855 Cabin watchmen and fire patrolmen. 15.103 General. 15.860 Tankerman. 15.105 Incorporation by reference. Subpart H—Equivalents Subpart B—Definition of Terms 15.901 Inspected vessels of less than 100 15.301 Definitions of terms used in this part. gross tons. 15.905 Uninspected passenger vessels. Subpart C—Manning Requirements; All 15.910 Towing vessels. Vessels 15.915 Engineer licenses.

15.401 Employment and service within re- Subpart I—Vessels in Foreign Trade strictions of license or document. 15.405 Familiarity with vessel characteris- 15.1001 General. tics. 15.1010 California. 15.410 Licensed individuals for assistance 15.1020 Hawaii. towing vessels. 15.1030 New York and New Jersey. 15.415 Transportation Worker Identification 15.1040 Massachusetts. Credential. 15.1050 North Carolina.

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Subpart J—Vessels Subject to (2) [Reserved] Requirements of STCW [CGD 95–62, 62 FR 34538, June 26, 1997, as 15.1101 General. amended by USCG-2004–18884, 69 FR 58343, 15.1103 Employment and service within re- Sept. 30, 2004] strictions of a license, document, and STCW endorsement or of a certificate of § 15.103 General. training. 15.1105 Familiarization and basic safety- (a) The regulations in this part apply training. to all vessels which are subject to the 15.1107 Maintenance of merchant mariners’ manning requirements contained in the records by owner or operator. navigation and shipping laws of the 15.1109 Watches. United States, including uninspected 15.1111 Work hours and rest periods. vessels (46 U.S.C. 7101–9308). 15.1113 Vessel Security Officer (VSO). (b) The navigation and shipping laws AUTHORITY: 46 U.S.C. 2101, 2103, 3306, 3703, state that a vessel may not be operated 8101, 8102, 8104, 8105, 8301, 8304, 8502, 8503, 8701, 8702, 8901, 8902, 8903, 8904, 8905(b), 8906, 9102, unless certain manning requirements and 8103; and Department of Homeland Secu- are met. In addition to establishing a rity Delegation No. 0170.1. minimum of licensed individuals and members of the crew to be carried on EFFECTIVE DATE NOTE: At 73 FR 52795, Sept. 11, 2008, the authority citation to part board certain vessels, they establish 15 was revised, effective Oct. 14, 2008. For the minimum qualifications concerning li- convenience of the user, the revised text is censes, citizenship, and conditions of set forth as follows: employment. It is the responsibility of AUTHORITY: 46 U.S.C. 2101, 2103, 3306, 3703, the owner, charterer, managing oper- 8101, 8102, 8103, 8104, 8105, 8301, 8304, 8502, 8503, ator, master, or person in charge or 8701, 8702, 8901, 8902, 8903, 8904, 8905(b), 8906 and 9102; and Department of Homeland Secu- command of the vessel to ensure that rity Delegation No. 0170.1. appropriate personnel are carried to meet the requirements of the applica- SOURCE: CGD 81–059, 52 FR 38652, Oct. 16, 1987, unless otherwise noted. ble navigation and shipping laws and regulations. Subpart A—Purpose and (c) Inspected vessels are issued a certificate of inspection which indicates Applicability the minimum complement of licensed § 15.101 Purpose of regulations. individuals and crew (including lifeboatmen) considered necessary for The purpose of the regulations in this safe operation. The certificate of in- part is to set forth uniform minimum spection complements the statutory re- requirements for the manning of ves- quirements but does not supersede sels. In general, they implement, inter- them. pret, or apply the specific statutory manning requirements in title 46, (d) The regulations in subpart J of U.S.C., parts E & F, implement various this part apply to seagoing vessels sub- international conventions which affect ject to the International Convention on merchant marine personnel, and pro- Standards of Training, Certification vide the means for establishing the and watchkeeping for Seafarers as complement necessary for safe oper- amended (STCW). ation of vessels. (e) Neither any person serving on any of the following vessels, nor any owner § 15.102 Paperwork approval. or operator of any of these vessels, (a) This section lists the control need meet the requirements of subpart numbers assigned by the Office of Man- J, because the vessels are exempt from agement and Budget under the Paper application of STCW: Reduction Act of 1980 (Pub. L. 96–511) (1) Uninspected passenger vessels as for the reporting and recordkeeping re- defined in 46 U.S.C. 2101(42). quirements in this part. (2) Fishing vessels as defined in 46 (b) The following control numbers U.S.C. 2101(11)(a). have been assigned to the sections indi- (3) Fishing vessels used as fish-tender cated: vessels as defined in 46 U.S.C. (1) OMB 1625–0079—46 CFR 15.1107. 2101(11)(c).

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(4) Barges as defined in 46 U.S.C. federallregister/ 2101(2), including non-self-propelled codeloflfederallregulations/ mobile offshore-drilling units. ibrllocations.html. All material is (5) Vessels operating exclusively on available from the sources indicated in the Great Lakes. paragraph (b) of this section. (f) Personnel serving on the following (b) The material approved for incor- vessels, and the owners and operators poration by reference in this part and of these vessels, are in compliance with the sections affected are as follows: subpart J and are not subject to fur- International Maritime Organization ther obligation for the purposes of (IMO) STCW, on account of the vessels’ spe- 4 Albert Embankment, London, SE1 cial operating conditions as small ves- 7SR, England sels engaged in domestic voyages: (1) Small passenger vessels subject to STCW—The International Conven- subchapter T or K of title 46, CFR. tion on Standards of Training, Certifi- (2) Vessels of less than 200 GRT cation and Watchkeeping for Seafarers, (other than passenger vessels subject 1978, as amended, (STCW Convention), to subchapter H of title 46 CFR). and Seafarer’s Training, Certification (g) Licensed personnel serving on ves- and Watchkeeping Code (STCW Code)— sels identified in paragraphs (e)(5), 15.103; 15.1101; 15.1103; 15.1105; 15.1109. (f)(1), and (f)(2) of this section will be [CGD 95–062, 62 FR 34539, June 26, 1997, as issued, without additional proof of amended by USCG-1999–6216, 64 FR 53223, Oct. qualification, an appropriate STCW 1, 1999; USCG-2004–18884, 69 FR 58343, Sept. 30, certificate or endorsement when the 2004] Officer in Charge, Marine Inspection determines that such an endorsement Subpart B—Definition of Terms is necessary to enable the vessel to engage in an international voyage. The § 15.301 Definitions of terms used in STCW certificate or endorsement will this part. be expressly limited to service on the (a) The following terms defined in vessel or the class of vessels and will this subpart apply only to the manning not establish qualification for any of vessels subject to the manning pro- other purpose. visions in the navigation and shipping [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as laws of the United States: amended by CGD 95–062, 62 FR 34538, June 26, Assistance Towing means towing a dis- 1997; USCG-2004–18884, 69 FR 58343, Sept. 30, abled vessel for consideration. 2004] Coastwise seagoing vessel means a vessel that is authorized by its Certificate § 15.105 Incorporation by reference. of Inspection to proceed beyond the (a) Certain material is incorporated Boundary Line established in part 7 of by reference into this part with the ap- this chapter. proval of the Director of the Federal Deck crew (excluding licensed individ- Register under 5 U.S.C. 552(a) and 1 uals) means, as used in 46 U.S.C. 8702, CFR part 51. To enforce any edition only the following members of the deck other than that specified in paragraph department below the grade of licensed (b) of this section, the Coast Guard individual: Able seamen and ordinary must publish notice of change in the seamen. FEDERAL REGISTER and must ensure Designated areas means those areas that the material is available to the within pilotage waters for which first public. All approved material is avail- class pilot’s licenses or endorsements able for inspection at the U.S. Coast are issued under part 10, subpart G, of Guard, Office of Operating and Envi- this Chapter, by the Officer in Charge, ronmental Standards, 2100 Second Marine Inspection (OCMI). The areas Street SW., Washington, DC 20593–0001, for which first class pilot’s licenses or or at the National Archives and endorsements are issued within a par- Records Administration (NARA). For ticular Marine Inspection Zone and the information on the availability of this specific requirements to obtain them material at NARA, call 202–741–6030, or may be obtained from the OCMI con- go to: http://www.archives.gov/ cerned.

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Directly supervised means being in the Underway means that a vessel is not direct line of sight of the person in at anchor, made fast to the shore, or charge or maintaining direct, two-way aground. communications by a convenient, reli- (b) The following categories of liable means, such as a predetermined censed individuals are established in working frequency over a hand-held part 10 of this chapter. When used in radio. this part, the following terms mean an Disabled vessel means a vessel that individual holding a valid license and/ needs assistance, whether docked, or endorsement to serve in that capac- moored, anchored, aground, adrift, or ity issued under part 10 of this chapter. under way; but does not mean a barge (1) Master; or any other vessel not regularly oper- (2) Mate; ated under its own power. (3) Pilot; Officer in Charge, Marine Inspection (4) Engineer; (OCMI) for the purposes of part 15 (5) Radio officer; means any person designated as such (6) Operator of uninspected passenger by the Commandant and who under the vessels; Coast Guard District Commander is in (7) Offshore installation manager charge of an inspection zone. (OIM); Operate, operating, or operation, as ap- (8) Barge supervisor (BS); plied to vessels, refers to a vessel any- (9) Ballast control operator (BCO); time passengers are embarked whether and the vessel is underway, at anchor, (10) GMDSS radio operator; and made fast to shore, or aground. (11) Vessel Security Officer. Pilotage waters means the navigable (c) The following ratings are estab- waters of the United States, including lished in part 12 of this chapter. When all inland waters and offshore waters used in this part, terms for the ratings to a distance of three nautical miles identify persons holding valid mer- from the baseline from which the Ter- chant mariners’ documents for service ritorial Sea is measured. in the ratings issued under that part: Staff officer means a person who holds (1) Able seaman. a certificate of registry in the staff de- (2) Ordinary seaman. partment such as a purser, a medical (3) Qualified member of the engine doctor or professional nurse, which is department. issued by the Coast Guard. (4) Lifeboatman. Self-Propelled has the same meaning (5) Wiper. as the terms propelled by machinery (6) Steward’s department (F.H.). and mechanically propelled. This term (7) GMDSS At-sea Maintainer. would also include vessels fitted with (d) The following ratings are estab- both sails and mechanical propulsion. lished in part 13 of this chapter. When Tank barge means a non-self-pro- used in this part, the terms for the rat- pelled tank vessel. ings identify persons holding valid Tank vessel means a vessel that is merchant mariners’ documents for constructed or adapted to carry, or service in the ratings issued under that that carries, oil or hazardous material part: in bulk as cargo or cargo residue. (1) Tankerman-PIC. Tankship means any tank vessel con- (2) Tankerman-PIC (Barge). structed or adapted primarily to carry (3) Restricted Tankerman-PIC. oil or hazardous material in bulk as (4) Restricted Tankerman-PIC cargo or cargo residue and propelled by (Barge). power or sail. (5) Tankerman-Assistant. Transfer means any movement of (6) Tankerman-Engineer. dangerous liquid or liquefied gas as [CGD 81–059 and CGD 81–059a, 52 FR 38623 and cargo in bulk or as cargo residue to, 38670, Oct. 16, 1987] from, or within a vessel by means of EDITORIAL NOTE: For FEDERAL REGISTER ci- pumping, gravitation, or displacement. tations affecting § 15.301, see the List of CFR Section 13.127 of this chapter describes Sections Affected, which appears in the what qualifies as participation in a Finding Aids section of the printed volume creditable transfer. and on GPO Access.

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Subpart C—Manning (MMD), Certificate of Registry (COR), Requirements; All Vessels or STCW endorsement, unless the individual holds a valid Transportation § 15.401 Employment and service with- Worker Identification Credential in restrictions of license or docu- (TWIC). All mariners holding an active ment. License, MMD, COR or STCW endorse- A person may not employ or engage ment issued by the Coast Guard must an individual, and an individual may hold a valid TWIC issued by the Trans- not serve, in a position in which an in- portation Security Administration dividual is required by law or regula- under 49 CFR part 1572. tion to hold a license, certificate of [CG–2006–24196, 72 FR 3588, Jan. 25, 2007, as registry, or merchant mariner’s docu- amended at 73 FR 25566, May 7, 2008] ment, unless the individual holds a valid license, certificate of registry, or merchant mariner’s document, as ap- Subpart D—Manning propriate, authorizing service in the Requirements; Inspected Vessels capacity in which the individual is engaged or employed and the individual § 15.501 Certificate of inspection. serves within any restrictions placed (a) The certificate of inspection (COI) on the license, certificate of registry, issued by an Officer in Charge, Marine or merchant mariner’s document. Inspection (OCMI), to a vessel required to be inspected under 46 U.S.C. 3301 [CGD 81–059, 54 FR 149, Jan. 4, 1989] specifies the minimum complement of § 15.405 Familiarity with vessel char- officers and crew necessary for the safe acteristics. operation of the vessel. Each licensed, registered, or certifi- (b) The manning requirements for a cated individual must become familiar particular vessel are determined by the with the relevant characteristics of the OCMI after consideration of the appli- vessel on which engaged prior to as- cable laws, the regulations in this part, suming his or her duties. As appro- and all other factors involved, such as: priate, these include but are not lim- Emergency situations, size and type of ited to: general arrangement of the vessel, installed equipment, proposed vessel; maneuvering characteristics; routes of operation including frequency proper operation of the installed navi- of port calls, cargo carried, type of gation equipment; firefighting and life- service in which employed, degree of saving equipment; stability and load- automation, use of labor saving de- ing characteristics; emergency duties; vices, and the organizational structure and main propulsion and auxiliary ma- of the vessel. chinery, including steering gear sys- [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as tems and controls. amended at CGD 81–059, 54 FR 149, Jan. 4, 1989] § 15.410 Licensed individuals for assistance towing vessels. § 15.505 Changes in the certificate of Every assistance towing vessel must inspection. be under the direction and control of a All requests for changes in manning licensed individual authorized to en- as indicated on the certificate of in- gage in assistance towing under the spection must be made to the OCMI provisions of 46 CFR 10.482. who last issued the certificate of in- [CGD 87–017, 53 FR 18562, May 24, 1988] spection, unless the request is made in conjunction with an inspection for cer- § 15.415 Transportation Worker Identi- tification, in which case the request fication Credential. should be addressed to the OCMI con- By April 15, 2009 a person may not ducting the inspection. employ or engage an individual, and an individual may not serve in a position § 15.510 Right of appeal. in which an individual is required by Any person directly affected by a de- law or regulation to hold an active Li- cision or action taken under this part, cense, Merchant Mariner Document by or on behalf of the Coast Guard,

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may appeal therefrom in accordance must hold a license as master endorsed with subpart 1.03 of this chapter. as OIM. (f) A non-self-propelled MODU must [CGD 88–033, 54 FR 50380, Dec. 6, 1989] be under the command of an individual who holds a license or endorsement as § 15.515 Compliance with certificate of inspection. OIM. (g) An individual serving as mate on (a) Except as provided by § 15.725, no a self-propelled surface unit other than vessel may be operated unless it has in a drillship must hold an appropriate li- its service and on board, the com- cense as mate and an endorsement as plement required by the certificate of BS or BCO. An individual holding a li- inspection. cense or endorsement as barge super- (b) Any vessel subject to inspection visor or ballast control operator may under 46 U.S.C. 3301 must, while on a be substituted for a required mate voyage, be under the direction and con- when a self-propelled surface unit other trol of an individual who holds an ap- than a drillship is on location or under propriate license issued by the Coast tow, under certain circumstances as Guard. For the purposes of this para- determined by the cognizant OCMI. graph: (h) An individual holding a license or (1) A voyage is the period of time endorsement as barge supervisor is re- necessary to transit from the port of quired on a non-self-propelled surface departure to the final port of arrival. unit other than a drillship. (2) A port does not include an Outer (i) An individual holding a license or Continental Shelf (OCS) facility as de- endorsement as barge supervisor may fined in 33 CFR part 140. serve as ballast control operator. (j) The OCMI issuing the MODU’s cer- [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as tificate of inspection may authorize amended at USCG-2004–18884, 69 FR 58343, the substitution of chief or assistant Sept. 30, 2004] engineer (MODU) for chief or assistant engineer, respectively, on self-pro- § 15.520 Mobile offshore drilling units. pelled or propulsion assisted surface (a) The requirements in this section units, except drillships. The OCMI may for mobile offshore drilling units also authorize the substitution of as- (MODUs) supplement other require- sistant engineer (MODU) for assistant ments in this part. engineer on drillships. (b) The OCMI determines the min- (k) Requirements in this part con- imum number of licensed individuals cerning radar observers do not apply to and crew (including lifeboatmen) re- non-self-propelled MODUs. quired for the safe operation of in- (l) A surface mobile offshore drilling spected MODUs. In addition to other unit underway or on location, when factors listed in this part, the special- afloat and equipped with a ballast con- ized nature of the MODU is considered trol room, must have that ballast con- in determining the specific manning trol room manned by an individual levels. holding a license or endorsement au- (c) A license as offshore installation thorizing service as ballast control op- manager (OIM), barge supervisor (BS), erator. or ballast control operator (BCO) au- [CGD 81–059a, 55 FR 14805, Apr. 18, 1990] thorizes service only on MODUs. A license or endorsement as OIM is re- § 15.525 Reference to other parts. stricted to the MODU type and mode of Parts 31 and 35 of this chapter con- operation specified on the license. tain additional manning requirements (d) A self-propelled MODU other than applicable to tank vessels. a drillship must be under the command of an individual who holds a license as § 15.530 Large passenger vessels. master endorsed as OIM. (a) The definition of terms used in (e) A drillship must be under the this section is the same as § 12.40–3 of command of an individual who holds a this subchapter. license as master. When a drillship is (b) The owner or operator of a U.S.- on location, the individual in command flag large passenger vessel must ensure

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that any non-resident alien holding a (e) The owner or operator of a U.S.- Coast Guard-issued merchant mariner’s flag large passenger vessel employing document described in subpart 12.40 of non-resident aliens holding Coast this subchapter is provided the rights, Guard-issued merchant mariner’s docu- protections, and benefits of the Inter- ments described in subpart 12.40 of this national Labor Organization’s Mer- subchapter must: chant Shipping (Minimum Standards) (1) Retain custody of all non-resident Convention of 1976. alien merchant mariner’s documents (c) On U.S.-flag large passenger ves- for the duration of employment, under sels, non-resident aliens holding a § 12.40–13(b)(2) of this subchapter; and Coast-Guard issued merchant mariner’s (2) Return all non-resident alien mer- document described in subpart 12.40 of chant mariner’s documents to the this subchapter: Coast Guard upon termination of em- (1) May only be employed in the ployment, under § 12.40–13(b)(3) of this steward’s department on the vessel(s) subchapter. specified on the merchant mariner’s (f) The owner or operator of a U.S.- document or accompanying Coast flag large passenger vessel employing Guard letter under § 12.40–13(b)(1) of this subchapter; non-resident aliens holding Coast Guard-issued merchant mariner’s docu- (2) May only be employed for an aggregate period of 36 months actual ments described in subpart 12.40 of this service on all authorized U.S.-flag subchapter is subject to the civil pen- large passenger vessels combined, alty provisions specified in 46 U.S.C. under § 12.40–13(c) of this subchapter; 8103(f), for any violation of this section. (3) May not perform watchstanding, [USCG–2007–27761, 72 FR 20286, Apr. 24, 2007] engine room duty watch, or vessel navigation functions, under § 12.40– 13(b)(4) of this subchapter; and Subpart E—Manning Require- (4) May perform emergency-related ments; Uninspected Vessels duties only if, under § 12.40–13(b)(5) of § 15.601 General. this subchapter: (i) The emergency-related duties do The following sections of subparts F, not require any other rating or en- G, and H of this part contain provisions dorsement, except lifeboatman as spec- concerning manning of uninspected ified in § 12.40–13(a)(3) of this sub- vessels; §§ 15.701, 15.705, 15.710, 15.720, chapter; 15.730, 15.801, 15.805, 15.810, 15.820, 15.825, (ii) The non-resident alien has com- 15.840, 15.850, 15.855, 15.905, 15.910, and pleted familiarization and basic safety 15.915. training, as required in § 15.1105 of this part; § 15.605 Licensed operators for (iii) That if the non-resident alien uninspected passenger vessels. serves as a lifeboatman, he or she must Each uninspected passenger vessel have the necessary lifeboatman’s en- must be under the direction and con- dorsement; and trol of an individual licensed by the (iv) The non-resident alien has com- Coast Guard as follows: pleted the training for crewmembers on (a) Every self-propelled, uninspected passenger ships performing duties in- vessel as defined by 46 U.S.C. volving safety or care for passengers, 2101(42)(B), carrying not more than six as required in subpart 12.35 of this sub- passengers, must be under the direc- chapter. tion and control of an individual hold- (d) No more than 25 percent of the ing a license as operator. total number of unlicensed seamen on (b) Every uninspected passenger ves- a U.S.-flag large passenger vessel may sel of 100 gross tons or more, as defined be aliens, whether admitted to the by 46 U.S.C. 2101(42)(A), must be under United States for permanent residence the direction and control of a licensed or otherwise allowed to be employed in master, pilot, or mate as appropriate. the United States as non-resident aliens. [USCG-1999–5040, 67 FR 34767, May 15, 2002]

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§ 15.610 Master and mate (pilot) of (c) Any towing vessel operating in towing vessels. the pilotage waters of the Lower Mis- (a) Except as provided in this para- sissippi River must be under the con- graph, every towing vessel of at least 8 trol of an officer who holds a first-class meters (at least 26 feet) in length, pilot’s license or endorsement for that route, or meets the requirements of ei- measured from end to end over the ther paragraph (c)(1) or paragraph (c)(2) deck (excluding sheer), must be under of this section as applicable: the direction and control of a person li- (1) To operate a towing vessel with censed as master or mate (pilot) of tank barges, or a tow of barges car- towing vessels or as master or mate of rying hazardous materials regulated vessels of greater than 200 gross reg- under part N or O of this subchapter, ister tons holding either an endorse- an officer in charge of the towing ves- ment on his or her license for towing sel must have completed 12 round trips vessels or a completed Towing Officer’s over this route as an observer, with at Assessment Record (TOAR) signed by a least 3 of those trips during hours of designated examiner indicating that darkness, and at least 1 round trip of the officer is proficient in the oper- the 12 within the last 5 years. ation of towing vessels. This does not (2) To operate a towing vessel with- apply to any vessel engaged in assist- out barges, or a tow of uninspected ance towing, or to any towing vessel of barges, an officer in charge of the tow- less than 200 gross register tons en- ing vessel must have completed at gaged in exploiting offshore minerals least four round trips over this route as or oil if the vessel has sites or equip- an observer, with at least one of those ment so engaged as its place of depar- trips during hours of darkness, and at ture or ultimate destination. least one round trip of the 12 within (b) An officer may continue to oper- the last 5 years. ate towing vessels within any restrictions of his or her license from May 21, [USCG–1999–6224, 66 FR 20944, Apr. 26, 2001, as 2001, until the first renewal or upgrade amended at 68 FR 35818, June 17, 2003; USCG– 2008–0906, 73 FR 56508, Sept. 29, 2008] of that license, but not later than May 21, 2006. Every towing vessel covered by paragraph (a) of this section must Subpart F—Limitations and carry at least the following personnel: Qualifying Factors (1) An officer designated Master and § 15.701 Officers Competency Certifi- holding a license as— cates Convention, 1936. (i) Master of towing vessels; (a) This section implements the Offi- (ii) Master of towing vessels (Lim- cers Competency Certificates Conven- ited) when operating solely within a tion, 1936, and applies to each vessel limited local area; documented under the laws of the (iii) Operator of uninspected towing United States navigating seaward of vessels; the Boundary Lines in part 7 of this (iv) Master of inspected, self-pro- chapter, except: pelled vessels within any restrictions (1) A public vessel; on the license; or (2) A wooden vessel of primitive (v) Mate or first-class pilot of in- build, such as a dhow or junk; spected, self-propelled vessels with a li- (3) A barge; and, cense for service in vessels of greater (4) A vessel of less than 200 gross than 200 gross register tons (Domestic tons. service only). (b) The master, mates and engineers (2) Another officer, if the vessel is op- on any vessel to which this section ap- erating more than 12 hours in any 24- plies must hold a license to serve in hour period, holding a license— that capacity issued by the Coast (i) Listed in 46 CFR 15.610(b)(1); Guard under part 10 of this chapter. (ii) As mate (pilot) of towing vessels; (c) A vessel to which this section ap- (iii) As second-class OUTV; or plies, or a foreign flag vessel to which (iv) As mate of inspected, self-pro- the Convention applies, may be de- pelled vessels within any restrictions tained by a designated official until on the license. that official is satisfied that the vessel

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is in compliance with the Convention. (c) Subject to exceptions, 46 U.S.C. Designated official includes Coast Guard 8104(g) permits the licensed individuals officers, Coast Guard petty officers and and crew members (except the coal officers or employees of the Customs passers, firemen, oilers, and Service. watertenders) to be divided into two (d) Whenever a vessel is detained, the watches when at sea and engaged on a owner, charterer, managing operator, voyage of less than 600 miles on the fol- agent, master, or individual in charge lowing categories of vessels: may appeal the detention within five (1) Towing vessel; days under the provisions of § 2.01–70 of (2) Offshore supply vessel; or, this chapter. (3) Barge. (d) Subject to exceptions, 46 U.S.C. § 15.705 Watches. 8104(h) permits a licensed master or (a) Title 46 U.S.C. 8104 is the law ap- mate (pilot) operating a towing vessel plicable to the establishment of watch- that is at least 26 feet in length meas- es aboard certain U.S. vessels. The es- ured from end to end over the deck (ex- tablishment of adequate watches is the cluding sheer) to work not more than responsibility of the vessel’s master. 12 hours in a consecutive 24 hour period The Coast Guard interprets the term except in an emergency. The Coast watch to be the direct performance of Guard interprets this, in conjunction vessel operations, whether deck or en- with other provisions of the law, to gine, where such operations would rou- permit licensed masters or mates (pi- tinely be controlled and performed in a lots) serving as operators of towing scheduled and fixed rotation. The per- vessels that are not subject to the pro- formance of maintenance or work nec- visions of the Officers’ Competency essary to the vessel’s safe operation on Certificates Convention, 1936, to be di- a daily basis does not in itself con- vided into two watches regardless of stitute the establishment of a watch. the length of the voyage. The minimum safe manning levels (e) Fish processing vessels are subject specified in a vessel’s certificate of in- to various provisions of 46 U.S.C. 8104 spection take into consideration rou- concerning watches. tine maintenance requirements and (1) For fish processing vessels that ability of the crew to perform all oper- entered into service before January 1, ational evolutions, including emer- 1988, the following watch requirements gencies, as well as those functions apply to the licensed officers and deck which may be assigned to persons in crew: watches. (i) If over 5000 gross tons—three (b) Subject to exceptions, 46 U.S.C. watches. 8104 requires that when a master of a seagoing vessel of more than 100 gross (ii) If more than 1600 gross tons and tons establishes watches for the li- not more than 5000 gross tons—two censed individuals, sailors, coal pass- watches. ers, firemen, oilers and watertenders, (iii) If not more than 1600 gross the personnel shall be divided, when at tons—no watch division specified. sea, into at least three watches and shall (2) For fish Processing vessels which be kept on duty successively to perform enter into service after December 31, ordinary work incident to the operation 1987, the following watch requirements and management of the vessel. The Coast apply to the licensed officers and deck Guard interprets sailors to mean those crew: members of the deck department other (i) If over 5000 gross tons—three than licensed officers, whose duties in- watches. volve the mechanics of conducting the (ii) If not more than 5000 gross tons ship on its voyage, such as helmsman and having more than 16 individuals on (wheelsman), lookout, etc., and which board primarily employed in the prepa- are necessary to the maintenance of a ration of fish or fish products—two continuous watch. Sailors is not inter- watches. preted to include able seamen and ordi- (iii) If not more than 5000 gross tons nary seamen not performing these du- and having not more than 16 individ- ties. uals on board primarily employed in

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the preparation of fish or fish prod- demonstrated and continuing reli- ucts—no watch division specified. ability, and a planned maintenance (f) Properly manned uninspected pas- program that ensures continued safe senger vessels of at least 100 gross operation of the vessel. tons— (b) The OCMI considers the capabili- (1) Which are underway for no more ties of an automated system in estab- than 12 hours in any 24-hour period, lishing initial manning levels; how- and which are adequately moored, an- ever, until the system is proven reli- chored, or otherwise secured in a har- able, a manning level adequate to oper- bor of safe refuge for the remainder of ate in a continuously attended mode that 24-hour period may operate with will be specified on a vessel’s COI. It one navigational watch; remains the responsibility of the ves- (2) Which are underway more than 12 sel’s master to determine when a con- hours in any 24-hour period must pro- tinuous watch is necessary. vide a minimum of a two-watch system; § 15.720 Use of non-U.S. licensed and/ (3) In no case may the crew of any or documented personnel. watch work more than 12 hours in any (a) United States vessels which need 24-hour period, except in an emergency. to replace one or more persons while on [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as a foreign voyage and outside the juris- amended by USCG-1999–6224, 64 FR 63235, diction of the United States, in order Nov. 19, 1999; USCG-1999–5040, May 15, 2002; to meet manning requirements, may USCG-2004–18884, 69 FR 58343, Sept. 30, 2004] utilize non-U.S. licensed and documented personnel, except for the posi- § 15.710 Working hours. tions of master and radio officer, until In addition to prescribing watch re- the vessel returns to a port at which in quirements, 46 U.S.C. 8104 sets limita- the most expeditious manner replace- tions on the working hours of licensed ments who are citizens of the United individuals and crew members, pre- States can be obtained. scribes certain rest periods, and pro- (b) The citizenship requirements of 46 hibits unnecessary work on Sundays U.S.C. 8103 (a) and (b) are waived, ex- and certain holidays when the vessel is cept for the requirement that the mas- in a safe harbor. It is the responsibility ter must be a U.S. citizen, with respect of the master or person in charge to en- to the following vessels: sure that these limitations are met. (1) A U.S.-documented offshore sup- However, under 46 U.S.C. 8104(f), the ply vessel (OSV) (as that term is de- master or other licensed individual can fined in 46 U.S.C. 2101(19)) that is oper- require any part of the crew to work ating from a foreign port; and when, in his or her judgment, they are (2) A U.S.-documented mobile off- needed for: shore drilling unit (MODU) (as that (a) Maneuvering, shifting berth, term is defined in 46 U.S.C. 2101(15a)) mooring, unmooring; that is operating beyond the water (b) Performing work necessary for above the U.S. Outer Continental the safety of the vessel, or the vessel’s Shelf. passengers, crew, or cargo; (c) The waiver provided in paragraph (c) Saving of life on board another (b) of this section does not apply to any vessel in jeopardy; or, vessel operating in water above the (d) Performing fire, lifeboat, or other U.S. Outer Continental Shelf (as that drills in port or at sea. term is defined in 43 U.S.C. 1331(a)). [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as (d) The master shall assure that any amended by USCG-2004–18884, 69 FR 58343, replacements of crewmembers by non- Sept. 30, 2004] U.S. citizens made in accordance with this section will be with an individual § 15.715 Automated vessels. who holds a license or document which (a) Coast Guard acceptance of auto- is equivalent in experience, training, mated systems to replace specific per- and other qualifications to the U.S. li- sonnel or to reduce overall crew re- cense or document required for the po- quirements is predicated upon the ca- sition and that the person possesses or pabilities of the system, the system’s will possess the training required to

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communicate to the extent required by ployed in the preparation of fish or fish § 15.730. products or in a support position not [CGD 89–061, 55 FR 1212, Jan. 12, 1990] related to navigation. (b) 46 U.S.C. 8702(b) requires that on § 15.725 Sailing short. board vessels departing U.S. ports 75 Whenever a vessel is deprived of the percent of the crew in each department on service of a member of its complement, board is able to understand any order spo- and the master or person in charge is ken by the officers. unable to find appropriate licensed or (c) The words able to understand any documented personnel to man the ves- order spoken by the officers relates to sel, the master or person in charge may any order to a member of the crew proceed on the voyage, having deter- when directing the performance of that mined the vessel is sufficiently manned person’s duties and orders relating to for the voyage. A report of sailing emergency situations such as used for short must be filed in writing with the response to a fire or in using lifesaving Officer in Charge, Marine Inspection equipment. It is not expected that a (OCMI) having cognizance for inspec- member of the deck department under- tion in the area in which the vessel is stand terminology normally used only operating, or the OCMI within whose in the engineroom or vice versa. jurisdiction the voyage is completed. (d) Whenever information is pre- The report must explain the cause of sented to the Coast Guard that a vessel each deficiency and be submitted with- fails to comply with the specified lan- in twelve hours after arrival at the guage requirements the Coast Guard next port. The actions of the master or investigates the allegation to deter- person in charge in such instances are mine its validity. In determining if an subject to review and it must be shown allegation is factual, the Coast Guard the vacancy was not due to the con- may require a demonstration by the li- sent, fault or collusion of the master or censed individuals and crew that appro- other individuals specified in 46 U.S.C. priate orders are understood. The dem- 8101(e). A civil penalty may be assessed onstration will require that orders be against the master or person in charge spoken to the individual members of for failure to submit the report. the crew by the licensed individuals in the language ordinarily and custom- § 15.730 Language requirements. arily used by the licensed individuals. (a) The provisions of 46 U.S.C. 8702 re- The orders must be spoken directly by lating to language apply generally to the licensed individual to the crew vessels of at least 100 gross tons except: member and not through an inter- (1) Vessels operating on rivers and preter. Signs, gestures, or signals may lakes (except the Great Lakes); not be used in the test. The Coast (2) A manned barge (except a sea- Guard representative will specify the going barge or a barge to which chap- orders to be given and will include not ter 37 of 46 U.S.C. applies); only daily routine but orders involving (3) A fishing vessel, fish tender ves- emergencies, either of a departmental sel, whaling vessel, or yacht; or of a general nature. This test will be (4) A sailing school vessel with re- conducted, if possible, at a time rea- spect to sailing school instructors and sonably in advance of the vessel’s de- sailing school students; parture, to avoid delays. (5) An oceanographic research vessel with respect to scientific personnel; (6) A fish processing vessel which en- Subpart G—Computations tered into service before January 1, 1988, and is not more than 1600 gross § 15.801 General. tons or which enters into service after The OCMI will determine the specific December 31, 1987, and has not more manning levels for vessels required to than 16 individuals on board primarily have certificates of inspection by part employed in the preparation of fish or B of subtitle II of title 46 U.S.C. The fish products; and, masters or individuals in command of (7) All fish processing vessels with re- all vessels, whether required to be inspect to those personnel primarily em- spected under 46 U.S.C. 3301 or not, are

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responsible for properly manning ves- cept when reductions are authorized sels in accordance with the applicable under paragraph (e) of this section: laws, regulations, and international (1) Vessels of 1000 gross tons or more conventions. (except MODUs)—three licensed mates [CGD 81–059, 54 FR 149, Jan. 4, 1989] (except when on a voyage of less than 400 miles from port of departure to port § 15.805 Master. of final destination—two licensed mates). (a) There must be an individual hold- (2) MODUs of 1000 gross tons or more: ing an appropriate license as master in command of each of the following ves- (i) Three licensed mates when on a sels: voyage of more than 72 hours. (1) Every self-propelled, seagoing doc- (ii) Two licensed mates when on a umented vessel of 200 gross tons and voyage of more than 16 but not more over. than 72 hours. (2) Every self-propelled inspected ves- (iii) One licensed mate when on a sel. voyage of not more than 16 hours. (3) Every inspected passenger vessel. (3) Vessels of 100 or more gross tons (4) Every inspected small passenger but less than 1000 gross tons—two li- vessel. censed mates (except vessels of at least (5) Every towing vessel of at least 8 100 but less than 200 gross tons on voy- meters (at least 26 feet) or more in ages which do not exceed 24 hours in length must be under the command of duration—one licensed mate). a master of towing vessels, or a mar- (4) All offshore supply vessels of 100 iner licensed as master of inspected, gross tons or more—two licensed mates self-propelled vessels greater than 200 (except when on a voyage of less than gross register tons (GRT) holding ei- 600 miles—one licensed mate). A voy- ther— age includes the accrued distance from (i) A completed Towing Officer’s As- port of departure to port of arrival and sessment Record (TOAR), bearing the does not include stops at offshore signature of a Designated Examiner points. and stating that the Examiner found (5) All vessels of less than 100 gross the candidate proficient; or tons—one licensed mate (except vessels (ii) A license endorsed for towing ves- on voyages not exceeding 12 hours in sels. duration may, if the OCMI determines (6) Every uninspected passenger ves- it to be safe, be operated without li- sel of at least 100 gross tons. censed mates). (b) Every vessel documented under (c) An individual in charge of the the laws of the United States, other navigation or maneuvering of a self- than a vessel with only a recreational propelled, uninspected, documented, endorsement, must be under the com- seagoing vessel of 200 gross tons or over mand of a U.S. citizen. must hold an appropriate license authorizing service as mate. [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 81–059, 54 FR 149, Jan. 4, (d) Each person in charge of the navi- 1989; USCG-1999–6216, 64 FR 53223, Oct. 1, 1999; gation or maneuvering of a towing ves- USCG-1999–6224, 64 FR 63235, Nov. 19, 1999; 66 sel of at least 8 meters (at least 26 feet) FR 20944, Apr. 26, 2001; USCG-1999–5040, 67 FR in length must hold a license author- 34767, May 15, 2002] izing service as either— (1) Mate (pilot) of towing vessels; or § 15.810 Mates. (2) Mate of inspected self-propelled (a) The OCMI determines the min- vessels greater than 200 GRT within imum number of licensed mates re- any other restrictions on the officer’s quired for the safe operation of in- license, holding either— spected vessels. (i) A completed Towing Officer’s As- (b) The minimum number of licensed sessment Record (TOAR) bearing the mates required to be carried on every signature from a Designated Examiner inspected, self-propelled, seagoing and and stating that the Examiner found Great Lakes vessel, and every in- the candidate proficient; or spected, seagoing, passenger vessel (ii) A license endorsed for towing ves- must not be less than the following, ex- sels.

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(e) The OCMI may increase the min- (2) An individual holding a valid li- imum number of mates indicated in cense issued by the Coast Guard as paragraph (b) of this section where he master or mate, employed aboard a or she determines that the vessel’s vessel within the restrictions of his or characteristics, route, or other oper- her license, may serve as pilot on a ves- ating conditions create special cir- sel of not more than 1,600 gross tons cumstances warranting an increase. propelled by machinery, described in (f) The Commandant will consider re- paragraphs (a)(1) and (a)(3) of this sec- ductions to the number of mates re- tion, provided he or she: quired by this section when special cir- (i) Is at least 21 years old; cumstances allowing a vessel to be (ii) Complies with the currency of safely operated can be demonstrated. knowledge provisions of § 10.713 of this chapter; and [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as (iii) Has completed a minimum of amended by CGD 81–059, 54 FR 149, Jan. 4, four round trips over the route to be 1989; CGD 81–059a, 55 FR 14805, Apr. 18, 1990; USCG-1999–6224, 64 FR 63235, Nov. 19, 1999; 66 traversed while in the wheelhouse as FR 20944, Apr. 26, 2001] watchstander or observer. At least one of the round trips must be made during § 15.812 Pilots. the hours of darkness if the route is to be traversed during darkness. (a) Except as specified in paragraph (3) An individual holding a valid li- (f) of this section, the following ves- cense issued by the Coast Guard as sels, not sailing on register, when un- master, mate, or operator employed derway on the navigable waters of the aboard a vessel within the restrictions United States, must be under the direc- of his or her license, may serve as pilot tion and control of an individual quali- on a tank barge or tank barges total- fied to serve as pilot under paragraph ling not more than 10,000 gross tons, (b) or (c) of this section as appropriate: described in paragraphs (a)(1) and (a)(3) (1) Coastwise seagoing vessels proof this section, provided he or she: pelled by machinery and subject to in- (i) Is at least 21 years old; spection under 46 U.S.C. Chapter 33, (ii) Complies with the currency of and coastwise seagoing tank barges knowledge provisions of § 10.713 of this subject to inspection under 46 U.S.C. chapter; Chapter 37; (iii) Has a current physical examina- (2) Vessels that are not authorized by tion in accordance with the provisions their Certificate of Inspection to proof § 10.709 of this chapter; ceed beyond the Boundary Line estab- (iv) Has at least six months service in lished in part 7 of this Chapter which the deck department on towing vessels are in excess of 1,600 gross tons, pro- engaged in towing operations; and pelled by machinery, and subject to in- (v) Has completed a minimum of spection under 46 U.S.C. chapter 33; and twelve round trips over the route to be (3) Vessels operating on the Great traversed, as an observer or under in- Lakes that are propelled by machinery struction in the wheelhouse. At least and subject to inspection under 46 three of the round trips must be made U.S.C. chapter 33, or are tank barges during the hours of darkness if the subject to inspection under 46 U.S.C. route is to be traversed during dark- chapter 37. ness. (b) The following individuals may (c) An individual holding a valid li- serve as a pilot for a vessel subject to cense issued by the Coast Guard as paragraph (a) of this section, when un- master, mate, or operator, employed derway on the navigable waters of the aboard a vessel within the restrictions United States that are designated of his or her license, may serve as a areas. pilot for a vessel subject to paragraph (1) An individual holding a valid first (a)(1) and (a)(2) of this section, when class pilot’s license issued by the Coast underway on the navigable waters of Guard, operating within the restric- the United States that are not des- tions of his or her license, may serve as ignated areas of pilotage waters, pro- pilot on any vessel to which this sec- vided he or she: tion applies. (1) Is at least 21 years old;

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(2) Complies with the currency of provide the Coast Guard with docu- knowledge provisions of § 10.713 of this mentation proving compliance with chapter; and the applicable portion(s) of paragraphs (3) Has a current physical examina- (b) and (c) of this section. tion in accordance with the provisions (e) Federal pilotage requirements of § 10.709 of this chapter. contained in paragraphs (a) through (d) (d) In any instance when the quali- of this section are summarized in two fications of a person satisfying the re- quick reference tables. quirements for pilotage through the (1) Table 15.812(e)(1) provides a guide provisions of this Subpart are ques- tioned by the Coast Guard, the indi- to the pilotage requirements for in- vidual shall, within a reasonable time, spected, self-propelled vessels.

TABLE 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 Nondesignated areas of pilotage waters (routes for which First Class Pilot’s li- (between the three mile line and the start censes are issued) of traditional pilotage routes)

Inspected self-propelled vessels greater First Class Pilot ...... Master or Mate may serve as pilot if the than 1,600 GT, authorized by their individual: Certificate of Inspection (COI) to pro- 1. Is at least 21 years old. ceed beyond the Boundary Line, or op- 2. Has an annual physical exam. erating on the Great Lakes. 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 the than 1,600 GT, authorized by their serve as pilot if the individual: individual: Certificate of Inspection to proceed be- 1. Is at least 21 years old...... 1. Is at least 21 years old. yond the Boundary Line, or operating 2. Maintains current knowledge of the 2. Maintains current knowledge of the on the Great Lakes. waters to be navigated.1 waters to be navigated.1 3. Has 4 round trips over the route.2 Inspected self-propelled vessels greater First Class Pilot ...... Master or Mate may serve as pilot if the than 1,600 GT, not authorized by their individual: 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. 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 GT, not authorized by their COI to proceed beyond the Boundary Line (Inland route vessels); other than vessels operating on the Great Lakes.

1 One round trip within the past 60 months. 2 If the route is to be traversed during darkness, 1 of the 4 round trips must be made during darkness. (2) Table 15.812(e)(2) provides a guide to the pilotage requirements for tank barges.

TABLE 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 GT, au- First Class Pilot ...... Master, Mate, or Operator may serve as thorized by their Certificate of Inspec- pilot if the individual: tion 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.1 3. Maintains current knowledge of the waters to be navigated.2 4. Has at least 6 months’ service in the deck department on towing vessels engaged in towing.

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

Tank Barges 10,000 GT or less, author- First Class Pilot, or Master, Mate, or Op- Master, Mate, or Operator may serve as ized by their Certificate of Inspection to erator may serve as pilot if the indi- pilot if the individual: proceed beyond the Boundary Line, or vidual: 1. Is at least 21 years old. operating on the Great Lakes. 1. Is at least 21 years old ...... 2. Has an annual physical exam.1 2. Has an annual physical exam.1 3. Maintains current knowledge of the 3. Maintains current knowledge of the waters to be navigated.2 waters to be navigated.2 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 operations. 5. Has 12 round trips over the route.3 Tank Barges authorized by their Certifi- No pilotage requirement ...... No pilotage requirement. cate of Inspection for Inland routes only (Lakes, Bays, and Sounds/Riv- ers); other than vessels operating on the Great Lakes. 1 Annual physical exam does not apply to an individual who will serve as a pilot of a Tank Barge of less than 1,600 gross tons. 2 One round trip within the past 60 months. 3 If the route is to be traversed during darkness, 3 of the 12 round trips must be made during darkness.

(f) In Prince William Sound, Alaska, § 15.815 Radar observers. coastwise seagoing vessels over 1,600 (a) Each person in the required com- gross tons and propelled by machinery and subject to inspection under 46 plement of licensed deck individuals, U.S.C. Chapter 37 must: including the master, on inspected ves- (1) When operating from 60°49′ North sels of 300 gross tons or over which are latitude to the Port of Valdez be under radar equipped, shall hold a valid en- the direction and control of a federally dorsement as radar observer. licensed pilot who: (b) Each person who is employed or (i) Is operating under the Federal li- serves as pilot in accordance with Fed- cense; eral law on board vessels of 300 gross (ii) Holds a license issued by the tons or over which are radar equipped, State of Alaska; and shall hold a valid endorsement as radar (iii) Is not a member of the crew of observer. the vessel. (c) Each person having to be licensed (2) Navigate with either two licensed under 46 U.S.C. 8904(a) for employment deck officers on the bridge or a feder- or service as master, mate, or operator ally licensed pilot when operating on board an uninspected towing vessel South of 60°49′ North latitude and in of 8 meters (approximately 26 feet) or the approaches through Hinchinbrook more in length must, if the vessel is Entrance and in the area bounded: equipped with radar, hold a valid en- (i) On the West by a line one mile dorsement as radar observer. west of the western boundary of the Traffic Separation Scheme; [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as (ii) On the East by 146°00′ West lon- amended by CGD 94–041, 60 FR 8309, Feb. 14, gitude; 1995; CGD 95–028, 62 FR 51196, Sept. 30, 1997; USCG-2004–18884, 69 FR 58343, Sept. 30, 2004] (iii) On the North by 60°49′ North latitude; and EFFECTIVE DATE NOTE: By USCG–2006– (iv) On the South by that area of 26202, 73 FR 52795, Sept. 11, 2008, § 15.815 was Hinchinbrook Entrance within the ter- amended in paragraphs (a), (b), and (c), by re- ritorial sea bounded by 60° 07′ North moving the words ‘‘a valid endorsement’’ and latitude and 146°31.5′ West longitude. adding, in their place, the words ‘‘an endorsement’’; and by adding new paragraphs [CGD 84–060, 59 FR 4842, Feb. 2, 1994, as (d) and (e), effective Oct. 14, 2008. For the amended by CGD 84–060, 60 FR 20652, 20653, convenience of the user, the added text is set Apr. 27, 1995; USCG-2004–18884, 69 FR 58343, forth as follows: Sept. 30, 2004]

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§ 15.815 Radar observers. Communications Commission requirements. * * * * * § 15.835 Staff officers. (d) Each person who is required to hold a radar endorsement must have their certifi- Staff officers, when carried, must be cate of training readily available to dem- registered as specified in part 10 of this onstrate that the endorsement is still valid. chapter. (e) For the purposes of this section, ‘‘readily available’’ means that the mariner must § 15.840 Able seamen. carry the original certificate of training or a notarized copy thereof onboard. Alter- (a) With certain exceptions, 46 U.S.C. natively, the mariner must provide a copy of 8702 applies to all vessels of at least 100 the certificate of training to the requesting gross tons. At 1east 65 percent of the entity within 48 hours. The requested mate- deck crew of these vessels, excluding li- rial may be delivered either physically, electronically, or by facsimile. censed individuals, must be able seamen. For vessels permitted to maintain § 15.820 Chief engineer. a two watch system, the percentage of (a) There must be an individual hold- able seamen may be reduced to 50 per- ing an appropriate license as chief en- cent. gineer or a license authorizing service (b) Able seamen are rated as: unlim- as chief engineer employed on board ited, limited, special, offshore supply the following inspected mechanically vessel, sail, and fishing industry, under propelled vessels: the provisions of part 12 of this chap- (1) Seagoing or Great Lakes vessels ter. 46 U.S.C. 7312 specifies the cat- of 200 gross tons and over. egories of able seamen (i.e., unlimited, (2) Offshore supply vessels of more limited, etc.) necessary to meet the re- than 200 gross tons. quirements of 46 U.S.C. 8702. (3) Inland (other than Great Lakes) (c) It is the responsibility of the mas- vessels of 300 gross tons and over, if the ter or person in charge to ensure that OCMI determines that a licensed indi- the able seamen in the service of the vidual responsible for the vessel’s me- vessel meet the requirements of 46 chanical propulsion is necessary. U.S.C. 7312 and 8702. (b) An individual engaged or employed to perform the duties of chief § 15.845 Lifeboatmen. engineer on a mechanically propelled, The number of lifeboatmen required uninspected, seagoing, documented for a vessel are specified in the parts of vessel of 200 gross tons or over must the regulations dealing with the in- hold an appropriate license authorizing spection of that specific type of vessel. service as a chief engineer. § 15.850 Lookouts. § 15.825 Engineers. The requirements for the mainte- (a) An individual in charge of an en- nance of a proper lookout are specified gineering watch on a mechanically pro- in Rule 5 of the International Regula- pelled, seagoing, documented vessel of tions for Preventing Collisions at Sea, 200 gross tons or over, other than an in- 1972 (33 U.S.C. 1602(c)), and Rule 5 of the dividual described in § 15.820, must hold Inland Navigational Rules Act of 1980 an appropriate license authorizing (33 U.S.C. 2005). Lookout is a function service as an assistant engineer. to be performed by a member of a navi- (b) The Officer in Charge, Marine In- gational watch. spection determines the minimum number of licensed engineers required [USCG–2007–29018, 72 FR 53964, Sept. 21, 2007] for the safe operation of inspected vessels. § 15.855 Cabin watchmen and fire patrolmen. § 15.830 Radio officers. (a) On vessels carrying passengers at Radio officers are required on certain night, the master or person in charge merchant vessels of the United States. shall ensure that a suitable number of The determination of when a radio offi- watchmen are in the vicinity of the cer is required is based on the Federal cabins or staterooms and on each deck,

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to guard against and give alarm in case § 15.860 Tankerman. of fire or other danger. (a) The Officer in Charge, Marine In- (b) On a fish processing vessel of spection, enters on the Certificate of more than 100 gross tons, there must be Inspection issued to each manned tank a suitable number of watchmen trained vessel subject to the regulations in this in firefighting on board when hot work chapter the number of crewmembers is being done, to guard against and give required to hold valid merchant mari- alarm in case of a fire. ners’ documents with the proper (c) For the watchmen described in tankerman endorsement. Table paragraph (a) of this section, the owner 15.860(a)(1) provides the minimal re- or operator of an uninspected pas- quirements for tankermen aboard senger vessel not more than 300 gross manned tank vessels; Table 15.860(a)(2) tons may substitute the use of fire de- provides the tankerman endorsements tectors, heat detectors, smoke detec- required for personnel aboard tank- tors, and high-water alarms with ships. audible- and visual-warning indicators, (b) For each tankship of more than in addition to other required safety 5,000 gross tons certified for voyages alarms, only when each of the fol- beyond the Boundary Line: lowing conditions are met: (1) The number of ‘‘Tankerman-PICs’’ (1) Fire detectors are located in each or restricted ‘‘Tankerman-PICs’’ car- space containing machinery or fuel ried must be not fewer than two. tanks per § 181.400(c) of this chapter. (2) The number of ‘‘Tankerman-As- (2) All grills, broilers, and deep-fat sistants’’ carried must be not fewer fryers are fitted with a grease extrac- than three. tion hood per § 181.425 of this chapter. (3) The number of ‘‘Tankerman-Engi- (3) Heat and/or smoke detectors are neers’’ carried must be not fewer than located in each galley, public accom- two. modation space, enclosed passageway, (c) For each tankship of 5,000 gross berthing space, and all crew spaces. tons or less certified for voyages be- (4) High-water alarms are located in yond the Boundary Line: each space with a through hull fitting (1) The number of ‘‘Tankerman-PICs’’ below the deepest load waterline, a ma- or restricted ‘‘Tankerman-PICs’’ car- chinery space bilge, bilge well, shaft ried must be not fewer than two. alley bilge, or other space subject to (2) The number of ‘‘Tankerman-Engi- flooding from sea water piping within neers’’ carried must be not fewer than the space, and a space below the water- two, unless only one engineer is re- line with non-watertight closure such quired, in which case the number of as a space with a non-watertight hatch ‘‘Tankerman-Engineers’’ carried may on the main deck. be just one. (5) Each alarm has an audible- and (d) For each tankship not certified visual-alarm indicator located at the for voyages beyond the Boundary Line, normal operating station and, if the if the total crew complement is: normal operating position is not con- (1) One or two, the number of tinually manned and not navigating ‘‘Tankerman-PICs’’ or restricted underway, in an alternate location ‘‘Tankerman-PICs’’ carried may be just that must provide the crew, and may one. at all times provide the passengers, im- (2) More than two, the number of mediate warning of a hazardous condi- ‘‘Tankerman-PICs’’ or restricted tion. ‘‘Tankerman-PICs’’ carried must be (6) The vessel is underway for no not fewer than two. more than 12 hours in any 24-hour pe- (e) For each tank barge manned riod, and the master of the vessel has under § 31.15–5 of this chapter, if the chosen to operate with less than a total crew complement is: three-watch system in accordance with (1) One or two, the number of § 15.705. ‘‘Tankerman-PICs’’, restricted [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as ‘‘Tankerman-PICs’’, ‘‘Tankerman-PICs amended by USCG-1999–5040, 67 FR 34767, May (Barge)’’, or restricted ‘‘Tankerman- 15, 2002] PICs (Barge)’’ carried may be just one.

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(2) More than two, the number of shall hold a ‘‘Tankerman-PIC’’ or re- ‘‘Tankerman-PICs’’, restricted stricted ‘‘Tankerman-PIC’’ endorse- ‘‘Tankerman-PICs’’, ‘‘Tankerman-PICs ment. (Barge)’’, or restricted ‘‘Tankerman- (4) Each licensed or unlicensed per- PICs (Barge)’’ carried must be not son, who is assigned by the PIC duties fewer than two. and responsibilities related to the (f) The following personnel aboard cargo or cargo-handling equipment each tankship certified for voyages be- during a transfer of liquid cargo in yond the Boundary Line shall hold bulk but is not directly supervised by valid merchant mariners’ documents, the PIC, shall hold a ‘‘Tankerman-As- endorsed as follows: sistant’’ endorsement. (1) The master and chief mate shall each hold a ‘‘Tankerman-PIC’’ or re- (g) The endorsements required by stricted ‘‘Tankerman-PIC’’ endorse- this section must be for the classifica- ment. tion of the liquid cargo in bulk or of (2) The chief, first assistant, and the cargo residue being carried. cargo engineers shall each hold a (h) Because STCW does not recognize ‘‘Tankerman-Engineer’’ or restricted Tankerman-PIC endorse- ‘‘Tankerman (PIC)’’ endorsement. ments, persons may act under these (3) Each licensed person acting as the only aboard vessels conducting busi- PIC of a transfer of liquid cargo in bulk ness inside the Boundary Line.

TABLE 15.860(a)(1)—MINIMAL 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 5000 GT ...... 2 3 2 ...... 5000 GT or less ...... 2 ...... *2 ...... Tankship Not Certified for Voyages Beyond Boundary Line ...... **2 ...... Tank Barge ...... ***2 * If only one engineer is required, then only one Tankerman Engineer is required. ** If the total crew complement is one or two persons, then only one Tankerman PIC is required. *** If the total crew complement is one or two persons, then only one Tankerman PIC or Tankerman PIC (Barge) is required.

TABLE 15.860(a)(2)—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 ...... ✔ Chief Mate ...... ✔ Chief Engineer ...... ✔ or ✔ First Assistant Engineer ...... ✔ or ✔ Cargo Engineer ...... ✔ or ✔ Licensed Person Acting as PIC of Transfer of Liquid Cargo in Bulk ...... ✔ Licensed or Unlicensed Person Not Directly Supervised by PIC ...... ✔

[CGD 79–116, 60 FR 17154, Apr. 4, 1995, as amended by CGD 79–116, 62 FR 25135, May 8, 1997]

Subpart H—Equivalents tons within any restrictions on the individual’s license. § 15.901 Inspected vessels of less than (b) An individual holding a license 100 gross tons. authorizing service as master or mate (a) An individual holding a license as of inspected, self-propelled vessels is mate or pilot of inspected, self-pro- authorized to serve as master or mate, pelled vessels of over 200 gross tons is respectively, of non-self-propelled ves- authorized to serve as master on in- sels other than sail vessels, within any spected vessels of less than 100 gross restrictions on the individual’s license.

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(c) An individual holding a license § 15.915 Engineer licenses. authorizing service as master or mate The following licenses authorize the of inspected, sail vessels is authorized holder to serve as noted, within any re- to serve as master or mate, respec- strictions on the license: tively, of other non-self-propelled ves- (a) A designated duty engineer li- sels, within any restrictions on the in- cense authorizes service as chief or as- dividual’s license. sistant engineer on vessels of not more (d) An individual holding a license than 500 gross tons in the following authorizing service as master or mate manner: of inspected, auxiliary sail vessels, is (1) A designated duty engineer lim- authorized to serve as master or mate, ited to vessels of not more than 1000 respectively, of self-propelled and non- horsepower or 4000 horsepower may self-propelled vessels, within any reserve only on near coastal, Great strictions on the individual’s license. Lakes, or inland waters; [CGD 81–059, 54 FR 150, Jan. 4, 1989] (2) A designated duty engineer with no horsepower limitations may serve § 15.905 Uninspected passenger ves- on any waters. sels. (b) A chief engineer (limited-oceans) license authorizes service as chief or (a) An individual holding a license as assistant engineer on vessels of any master or pilot of an inspected, self- gross tons on inland waters and of not propelled vessel is authorized to serve more than 1600 gross tons on ocean, as operator of an uninspected pas- near coastal, or Great Lakes waters. senger vessel under 100 gross tons with- (c) A chief engineer (limited-near in any restrictions, other than gross coastal) license authorizes service as tonnage limitations, on the individ- chief or assistant engineer on vessels of ual’s license. any gross tons on inland waters and of (b) An individual holding a license as not more than 1600 gross tons on near a master or pilot of an inspected, self- coastal or Great Lakes waters. propelled vessel is authorized to serve (d) An assistant engineer (limited- as master, as required by 46 CFR oceans) license authorizes service on 15.805(a)(6), of an uninspected passenger vessels of any gross tons on inland wa- vessel of at least 100 gross tons within ters and of not more than 1600 gross any restrictions, including gross ton- tons on ocean, near coastal, or Great nage and route, on the individual’s li- Lakes waters. cense. (c) An individual holding a license as [CGD 81–059, 54 FR 150, Jan. 4, 1989] mate of inspected, self-propelled vessels (other than Great Lakes, inland, or Subpart I—Vessels in Foreign river vessels of not more than 200 gross Trade tons) is authorized to serve as operator of uninspected passenger vessels of less SOURCE: CGD 92–061, 60 FR 24796, May 10, than 100 gross tons within any restric- 1995, unless otherwise noted. tions, other than gross tonnage limitations, on the individual’s license. § 15.1001 General. [USCG-1999–5040, 67 FR 34767, May 15, 2002] Self-propelled vessels engaged in foreign commerce are required to use a § 15.910 Towing vessels. pilot holding an appropriately endorsed Federal first class pilot’s license issued (a) No person may serve as master or by the Coast Guard when operating in mate (pilot) of any towing vessel with- the navigable waters of the United out meeting the requirements of 46 States specified in this subpart. CFR 15.805(a)(5) or 15.810(d), respectively. § 15.1010 California. (b) Through May 21, 2006, the excep- The following offshore marine oil ter- tion granted by 46 CFR 15.610(b) of this minals located within U.S. navigable part applies to the manning of towing waters of the State of California: vessels. (a) Carlsbad, CA. The waters includ- [USCG 1999–6224, 66 FR 20944, Apr. 26, 2001] ing the San Diego Gas and Electric,

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Encina Power Plant, lying within an beginning at latitude 34°26′12″N, lon- area bounded by a line beginning at gitude 119°57′00″W, thence southerly to latitude 33°10′06″N, longitude latitude 34°22′48″N, longitude 117°21′42″W, thence southwesterly to 119°57′00″W, thence southeasterly along latitude 33°08′54″N, longitude a line drawn three nautical miles from 117°24′36″W, thence southwesterly to the baseline to latitude 34°21′06″N, lon- latitude 33°04′30″N, longitude gitude 119°50′30.5″W, thence northerly 117°21′42″W, thence northeasterly to to latitude 34°24′18″N, longitude latitude 33°05′36″N, longitude 119°50′30″W, thence northwesterly along 117°18′54″W, thence northwesterly along the shoreline to latitude 34°26′12″N, lon- the shoreline to latitude 33°10′06″N, longitude 119°57′00″W. gitude 117°21′42″W. (f) Gaviota, CA. The waters including (b) Huntington Beach, CA. The waters the Texaco Trading and Transpor- including the Golden West Refining tation, Gaviota Marine Terminal, lying Company, Huntington Beach Marine within an area bounded by a line begin- Terminal, lying within an area bound- ning at latitude 34°28′06″N, longitude ed by a line beginning at latitude 120°16′00″W, thence southerly to lati- 33°39′06″N, longitude 118°00′0″W, thence tude 34°25′06″N, longitude 120°16′00″W, westerly to latitude 33°39′18″N, lon- thence easterly along a line drawn gitude 118°05′12″W, thence southeast- three nautical miles from the baseline erly along a line drawn three nautical to latitude 34°25′24″N, longitude miles from the baseline to latitude 120°08′30″W, thence northerly to lati- 33°35′30″N, longitude 118°00′00″W, thence tude 34°28′24″N, longitude 120°08′30″W, easterly to latitude 33°35′30″N, lon- thence westerly along the shoreline to gitude 117°52′30″W, thence northwest- latitude 34°28′06″N, longitude erly along the shoreline to latitude 120°16′00″W. 33°39′06″N, longitude 118°00′00″W. (g) Moss Landing, CA. The waters in- (c) El Segundo, CA. The waters includ- cluding the Pacific Gas and Electric ing the Chevron USA, El Segundo Ma- Company Power Plant, lying within an rine Terminal, lying within an area area bounded by a line beginning at bounded by a line beginning at latitude latitude 36°49′00″N, longitude 33°56′18″N, longitude 118°26′18″W, thence 121°47′42″W, thence westerly to latitude westerly to latitude 33°56′18″N, lon- 36°49′00″N, longitude 121°51′00″W, thence gitude 118°30′48″W, thence southeast- southerly to latitude 36°47′00″N, lon- erly along a line drawn three nautical gitude 121°51′00″W thence easterly to miles from the baseline to latitude latitude 36°47′00″N, longitude 33°51′48″N, longitude 118°27′54″W, thence 121°47′54″W, thence northerly along the easterly to latitude 33°51′48″N, lon- shoreline to latitude 36°49′00″N, longitude 118°24′00″W, thence northwest- gitude 121°47′42″W. erly along the shoreline to latitude (h) Estero Bay, CA. The waters includ- 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- 36°25′00″N, longitude 120°52′30″W, thence gitude 119°16′00″W, thence westerly to westerly to latitude 36°25′00″N, lon- latitude 34°14′12″N, longitude gitude 120°56′00″W, thence southerly to 119°19′36″W, thence southeasterly along latitude 36°22′00″N, longitude a line drawn three nautical miles from 120°56′00″W, thence easterly to latitude the baseline to latitude 34°09′24″N, lon- 36°22′00″N, longitude 120°52′12″W, thence gitude 119°17′20″W, thence easterly to northerly along the shoreline to lati- latitude 34°09′24″N, longitude tude 36°25′00″N, longitude 120°52′30″W. 119°13′24″W, thence northwesterly along (i) San Luis Obispo Bay, CA. The wa- the shoreline to latitude 34°14′24″N, lon- ters including the Unocal Corporation gitude 119°16′00″W. Avila Terminal and the approaches (e) Goleta, CA. The waters including thereto, lying in an area bounded by a the ARCO, Ellwood Marine Terminal, line beginning at latitude 35°09′42″N, lying within an area bounded by a line longitude 120°46′00″W, thence southerly

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to latitude 35°07′00″N, longitude of a foreign-trade vessel inbound from sea 120°46′00″W, thence easterly to latitude from the point where a State-licensed pilot 35°07′00″N, longitude 120°43′00″W, thence ceases providing pilotage to another point northerly to latitude 35°10′24″N, lon- within the identified areas (i.e., a dock or an- gitude 120°43′00″W, thence westerly chorage). Likewise, intra-port transit also includes the movement of a foreign-trade along the shoreline to latitude vessel outbound to sea from a point within 35°09′42″N, longitude 120°46′00″W. the identified areas (i.e., a dock or anchor- [CGD 92–061, 60 FR 24796, Jan. 4, 1995, as age) to the point where a State licensed pilot amended by USCG-1998–4442, 63 FR 52189, begins providing pilotage. Sept. 30, 1998] [CGD 92–061, 60 FR 24796, May 10, 1995, as amended by USCG-2004–18884, 69 FR 58344, § 15.1020 Hawaii. Sept. 30, 2004] The following offshore marine oil terminals located within U.S. navigable § 15.1040 Massachusetts. waters of the State of Hawaii: Barbers The following U.S. navigable waters Point, Island of Oahu. The waters in- located within the State of Massachu- cluding the Hawaiian Independent Re- setts when the vessel is in transit, but finery, Inc. and the Chevron moorings not bound to or departing from a port lying within an area bounded by a line within the following listed operating bearing 180 degrees true from Barbers areas: Point Light to latitude 21°14.8′N, longitude 158°06.4′W, thence easterly to (a) Cape Cod Bay south of latitude ° ′ ″ latitude 21°14.8′N, longitude 158°03.3′W, 41 48 54 N; thence northeasterly to latitude (b) The Cape Cod Canal; and 21°15.6′N, longitude 158°01.1′W, thence (c) Buzzards Bay east of a line ex- northwesterly to latitude 21°18.5′N, lon- tending from the southernmost point gitude 158°02.0′W, thence westerly along of Wilbur Point (latitude 41°34′55″N lon- the shoreline to latitude 21°17.8′N, longitude 70°51′15″W) to the easternmost gitude 158°06.4′W. point of Pasque Island (latitude 41°26′55″N longitude 70°50′30″W). § 15.1030 New York and New Jersey. [CGD 92–061, 60 FR 24796, May 10, 1995, as The following U.S. navigable waters amended by USCG-1998–4442, 63 FR 52189, located within the States of New York Sept. 10, 1998] and New Jersey when the vessel is making an intra-port transit, to in- § 15.1050 North Carolina. clude, but not limited to, a movement (a) The following navigable waters of from a dock to a dock, from a dock to the United States within the State of an anchorage, from an anchorage to a dock, or from an anchorage to an an- North Carolina when the vessel is ma- chorage, within the following listed op- neuvering while berthing or erating areas: unberthing, is approaching or passing (a) East River from Execution Rocks through a bridge, or is making any to New York Harbor, Upper Bay; intra-port transit, which transit may (b) Hudson River from Yonkers, New include but is not limited to movement York to New York Harbor, Upper Bay; from a dock to a dock, from a dock to (c) Raritan River from Grossman an anchorage, from an anchorage to a Dock/Arsenal to New York Harbor, dock, or from an anchorage to an an- Lower Bay; chorage, within either of the following (d) Arthur Kill Channel; 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

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of the State of North Carolina require pliance with the regulations in this a State-licensed pilot on the vessel. subpart. [CGD 97–073, 63 FR 57255, Oct. 27, 1998] [CGD 95–062, 62 FR 34539, June 26, 1997, as amended by USCG–2008–0028, 73 FR 29071, Subpart J—Vessels Subject to May 20, 2008] Requirements of STCW § 15.1103 Employment and service within restrictions of a license, doc- SOURCE: CGD 95–062, 62 FR 34539, June 26, ument, and STCW endorsement or 1997, unless otherwise noted. of a certificate of training. § 15.1101 General. (a) On board a seagoing vessel operating beyond the Boundary Line, no (a) Definitions. For purposes of this person may employ or engage any per- subpart, the term— (1) STCW means the International son to serve, and no person may serve, Convention on Standards of Training, in a position requiring a person to hold Certification and Watchkeeping for an STCW endorsement, including mas- Seafarers, 1978, as amended in 1995; ter, chief mate, chief engineer, second (2) STCW Code means the Seafarer’s engineer, officer of the navigational or Training, Certification and engineering watch, or radio operator, Watchkeeping Code; unless the person serving holds an ap- (3) Seagoing vessel means a self-pro- propriate, valid STCW certificate or pelled vessel in commercial service endorsement issued in accordance with that operates beyond the Boundary part 10 or 12 of this chapter. Line established by 46 CFR part 7. It (b) On board a seagoing vessel of 500 does not include a vessel that navi- GT or more as determined under the gates exclusively on inland waters; International Tonnage Convention, no (4) Rest means a period of time during person may employ or engage any per- which the person concerned is off duty, son to serve, and no person may serve, is not performing work (which includes as a rating forming part of the naviga- administrative tasks such as chart cor- tional watch, except for training, un- rections or preparation of port-entry less the person serving holds an appro- documents), and is allowed to sleep priate, valid STCW certificate or en- without being interrupted; and dorsement issued in accordance with (5) Overriding operational conditions part 12 of this chapter. means circumstances in which essen- (c) After January 31, 2002, on board a tial shipboard work cannot be delayed seagoing vessel driven by main propul- for safety or environmental reasons, or sion machinery of 750 kW [1,000 hp] pro- could not reasonably have been antici- pulsion power or more, no person may pated at the commencement of the employ or engage any person to serve, voyage. and no person may serve, in a rating (6) Vessel Security Officer (VSO) means a person onboard the vessel account- forming part of a watch in a manned able to the Master, designated by the engine-room, nor may any person be Company as responsible for security of designated to perform duties in a peri- the vessel, including implementation odically unmanned engine-room, ex- and maintenance of the Vessel Secu- cept for training or for the perform- rity Plan, and for liaison with the Fa- ance of duties of an unskilled nature, cility Security Officer and vessel’s unless the person serving holds an ap- Company Security Officer. propriate, valid STCW certificate or (b) Except as otherwise provided in endorsement issued in accordance with § 15.1103(d), the regulations in this subpart 12 of this chapter. part apply to seagoing vessels subject (d) You must hold documentary evi- to STCW. dence to show you meet the require- (c) A vessel that has on board a valid ments of § 10.1005 (if licensed) or § 12.30– Safety Management Certificate and a 5 (if unlicensed) of this chapter if you copy of a Document of Compliance are a master or crewmember on board issued for that vessel in accordance a Ro-Ro passenger ship to which a cer- with 46 U.S.C. 3205 is presumed in com- tificate signifying compliance with the

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International Convention for the Safe- § 15.1105 Familiarization and basic ty of Life at Sea, 1974, as amended safety-training. (SOLAS), has been issued. (a) After January 31, 1997, on board a (e) You must hold documentary evi- seagoing vessel, no person may assign dence to show you meet the require- any person to perform shipboard du- ments of § 10.1105 (if licensed) or § 12.35– ties, and no person may perform those 5 (if unlicensed) of this chapter if you duties, unless the person performing are a master or crewmember on board them has received— a vessel that is— (1) Training in personal survival (1) Subject to the STCW; techniques as set out in the standard of (2) Not a Ro-Ro passenger ship; and competence under STCW Regulation (3) Carrying more than 12 passengers VI/1; or (2) Sufficient familiarization training when on an international voyage. or instruction that he or she— (f) After January 31, 2002, on board a (i) Can communicate with other per- seagoing vessel required to comply sons on board about elementary safety with provisions of the Global Maritime matters and understand informational Distress and Safety System (GMDSS) symbols, signs, and alarm signals con- in Chapter IV of SOLAS, no person cerning safety; may employ or engage any person to (ii) Knows what to do if a person falls serve, and no person may serve, as the overboard; if fire or smoke is detected; master, chief mate, or officer of the or if the firm alarm or abandon-ship navigational watch, unless the person alarm sounds; serving holds the appropriate certifi- (iii) Can identify stations for muster cate for operator of radio in GMDSS. and embarkation, and emergency-es- (g) On board a seagoing vessel re- cape routes; quired to comply with provisions of the (iv) Can locate and don life-jackets; GMDSS in Chapter IV of SOLAS, no (v) Can raise the alarm and knows person may employ or engage any per- the use of portable fire extinguishers; son to serve, and no person may serve, (vi) Can take immediate action upon encountering an accident or other med- as the person designated to maintain ical emergency before seeking further GMDSS equipment at sea, when the medical assistance on board; and service of a person so designated is (vii) Can close and open the fire used to meet the maintenance require- doors, weather-tight doors, and water- ments of SOLAS Regulation IV/15, tight doors fitted in the vessel other which allows for capability of at-sea than those for hull openings. electronic maintenance to ensure that (b) After January 31, 1997, on board a radio equipment is available for radio seagoing vessel, no person may assign a communication, unless the person so shipboard duty or responsibility to any serving holds documentary evidence person who is serving in a position that that he or she is competent to main- must be filled as part of the required tain GMDSS equipment at sea. crew complement, and no person may (h) After January 31, 2002, on board a perform any such duty or responsi- seagoing vessel fitted with an Auto- bility, unless he or she is familiar with matic Radar Plotting Aid (ARPA), no it and with all vessel’s arrangements, person may employ or engage any per- installations, equipment, procedures, son to serve, and no person may serve, and characteristics relevant to his or as the master, chief mate, or officer of her routine or emergency duties or re- the navigational watch, unless the per- sponsibilities, in accordance with son so serving has been trained in the STCW Regulation I/14. (c) After January 31, 1997, on board a use of ARPA in accordance with § 10.205 seagoing vessel, no person may assign a or § 10.209 of this chapter, whichever is shipboard duty or responsibility to any appropriate. person who is serving in a position that [CGD 95–062, 62 FR 34539, June 26, 1997, as must be filled as part of the required amended by USCG-1999–5610, 67 FR 55069, Oct. crew complement or who is assigned a 30, 2002; USCG-2004–18884, 69 FR 58344, Sept. responsibility on the muster list, and 30, 2004] no person may perform any such duty

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or responsibility, unless the person per- that the mariner holds, as well as by a forming it can produce evidence of hav- record of the most recent basic safety ing— assessment and by instances where (1) Received appropriate approved ship-specific familiarization has been basic safety training or instruction as achieved and maintained). set out in the standards of competence under STCW Regulation VI/1, with re- § 15.1109 Watches. spect to personal survival techniques, Each master of a vessel that operates fire prevention and fire-fighting, ele- beyond the Boundary Line shall ensure mentary first aid, and personal safety observance of the principles concerning and social responsibilities; and watchkeeping set out in STCW Regula- (2) Achieved or, if training has been tion VIII/2 and section A-VIII/2 of the completed, maintained competence STCW Code. within the last 5 years, in accordance with STCW regulation VI/1. § 15.1111 Work hours and rest periods. (d) Fish-processing vessels in compli- (a) After January 31, 1997, each per- ance with the provisions of 46 CFR part son assigned duty as officer in charge 28 on instructions, drills, and safety of a navigational or engineering watch, orientation are deemed to be in compli- or duty as a rating forming part of a ance with the requirements of this sec- navigational or engineering watch, on tion on familiarization and basic safe- board any vessel that operates beyond ty-training. the Boundary Line shall receive a min- [CGD 95–062, 62 FR 34539, June 26, 1997, as imum of 10 hours of rest in any 24-hour amended by USCG-2004–18884, 69 FR 58344, period. Sept. 30, 2004] (b) The hours of rest required under § 15.1107 Maintenance of merchant paragraph (a) of this section may be di- mariners’ records by owner or oper- vided into no more than two periods, of ator. which one must be at least 6 hours in length. Each owner or operator of a U.S.-documented seagoing vessel shall ensure (c) The requirements of paragraphs that procedures are in place, in respect (a) and (b) of this section need not be of each merchant mariner holding a li- maintained in the case of an emer- cense or merchant mariner’s document gency or drill or in other overriding and serving on any such vessel, to en- operational conditions. sure that the following information is (d) The minimum period of 10 hours maintained throughout his or her serv- of rest required under paragraph (a) of ice, and is readily accessible to those in this section may be reduced to not less management responsible for the safety than 6 consecutive hours as long as— of the vessel and for the prevention of (1) No reduction extends beyond 2 marine pollution: days; and (a) Medical fitness (such as results of (2) Not less than 70 hours of rest are a recent evaluation by a medical pro- provided each 7-day period. fessional certifying that the mariner is (e) The minimum period of rest re- physically able to perform the tasks quired under paragraph (a) of this sec- and duties normally associated with a tion may not be devoted to particular shipboard position or does watchkeeping or other duties. not have an apparent medical condi- (f) Watchkeeping personnel remain tion that disqualifies him or her from subject to the work-hour limits in 46 the requirements of a particular ship- U.S.C. 8104 and to the conditions when board position). crew members may be required to (b) Experience and training relevant work. to assigned shipboard duties (i.e., (g) The Master shall post watch record of training completed, and of schedules where they are easily acces- relevant on-the-job experience ac- sible. They must cover each affected quired). member of the crew and must take into (c) Competency in assigned shipboard account the rest requirements of this duties (evidenced by copies of current section as well as port rotations and licenses, documents, or endorsements changes in the vessel’s itinerary.

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§ 15.1113 Vessel Security Officer (VSO). (b) These regulations prescribe the After July 1, 2009, on board seagoing minimum standards, procedures, and vessel, all persons performing duties as means to be used to test for the use of VSO must hold a valid endorsement as dangerous drugs. Vessel Security Officer. (c) As part of a reasonable cause drug testing program established pursuant [USCG–2008–0028, 73 FR 29071, May 20, 2008] to this part, employers may test for drugs in addition to those specified in PART 16—CHEMICAL TESTING this part only with approval granted by the Coast Guard under 49 CFR part 40 Subpart A—General and for substances for which the De- partment of Health and Human Serv- Sec. ices has established an approved test- 16.101 Purpose of regulations. ing protocol and positive threshold. 16.105 Definitions of terms used in this part. 16.107 Waivers. 16.109 Public Interest Exclusion (PIE). § 16.105 Definitions of terms used in 16.113 Chemical drug testing. this part. 16.115 Penalties. Chemical test means a scientifically recognized test which analyzes an indi- Subpart B—Required Chemical Testing vidual’s breath, blood, urine, saliva, 16.201 Application. bodily fluids, or tissues for evidence of 16.203 Employer, MRO, and SAP responsibil- dangerous drug or alcohol use. ities. Consortium/Third party administrator 16.205 Implementation of chemical testing (C/TPA) means a service agent who pro- programs. vides or coordinates the provision of a 16.210 Pre-employment testing require- variety of drug and alcohol testing ments. services to employers. C/TPAs typi- 16.220 Periodic testing requirements. cally perform administrative tasks 16.230 Random testing requirements. 16.240 Serious marine incident testing re- concerning the operation of the em- quirements. ployers’ drug and alcohol testing pro- 16.250 Reasonable cause testing require- grams. This term includes, but is not ments. limited to, groups of employers who 16.260 Records. join together to administer, as a single entity, the DOT drug and alcohol test- Subpart C [Reserved] ing programs of its members. Crewmember means an individual who Subpart D—Employee Assistance Programs is: 16.401 Employee Assistance Program (EAP). (a) On board a vessel acting under the authority of a license, certificate of Subpart E—Management Information registry, or merchant mariner’s docu- System ment issued under this subchapter, 16.500 Management Information System re- whether or not the individual is a quirements. member of the vessel’s crew; or APPENDIX A [RESERVED] (b) Engaged or employed on board a vessel owned in the United States that AUTHORITY: 46 U.S.C. 2103, 3306, 7101, 7301, is required by law or regulation to en- and 7701; Department of Homeland Security gage, employ, or be operated by an in- Delegation No. 0170.1. dividual holding a license, certificate SOURCE: CGD 86–067, 53 FR 47079, Nov. 21, of registry, or merchant mariner’s doc- 1988, unless otherwise noted. ument issued under this subchapter, except the following: Subpart A—General (1) Individuals on fish processing vessels who are primarily employed in the § 16.101 Purpose of regulations. preparation of fish or fish products, or (a) The regulations in this part pro- in a support position, and who have no vide a means to minimize the use of in- duties that directly affect the safe op- toxicants by merchant marine per- eration of the vessel; sonnel and to promote a drug free and (2) Scientific personnel on an oceano- safe work environment. graphic research vessel;

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(3) Individuals on industrial vessels navigation and communication equip- who are industrial personnel, as de- ment; and fined in this chapter; and (c) Mooring, anchoring, and line han- (4) Individuals not required under dling; loading or discharging of cargo part 15 of this subchapter who have no or fuel; assembling or disassembling of duties that directly affect the safe op- tows; and maintaining the vessel’s sta- eration of the vessel. bility and watertight integrity. Dangerous drug means a narcotic Passes a chemical test for dangerous drug, a controlled substance, or a con- drugs means the result of a chemical trolled-substance analog (as defined in test conducted in accordance with 49 section 102 of the Comprehensive Drug CFR part 40 is reported as ‘‘negative’’ Abuse and Control Act of 1970 (21 U.S.C. by a Medical Review Officer in accord- 802)). ance with that part. Drug test means a chemical test of an Positive rate for random drug testing individual’s urine for evidence of dan- means the number of verified positive gerous drug use. results for random drug tests con- Employer means a marine employer ducted under this part plus the number or sponsoring organization. of refusals of random drug tests re- Fails a chemical test for dangerous quired by this part, divided by the means that the result of a chem- drugs total number of random drug test re- ical test conducted in accordance with sults (i.e., positives, negatives, and re- 49 CFR 40 was reported as ‘‘positive’’ by fusals) under this part. a Medical Review Officer because the chemical test indicated the presence of Refuse to submit means you refused to a dangerous drug at a level equal to or take a drug test as set out in 49 CFR exceeding the levels established in 49 40.191. CFR part 40. Serious marine incident means an Marine employer means the owner, event defined in 46 CFR 4.03–2. managing operator, charterer, agent, Service agent means any person or en- master, or person in charge of a vessel, tity that provides services specified other than a recreational vessel. under this part or 49 CFR part 40 to Medical Review Officer (MRO) means a employers and/or crewmembers in con- person who is a licensed physician and nection with DOT drug and alcohol who is responsible for receiving and re- testing requirements. This includes, viewing laboratory results generated but is not limited to, collectors, BATs by an employer’s drug testing program and STTs, laboratories, MROs, sub- and evaluating medical explanations stance abuse professionals, and C/ for certain drug test results. TPAs. To act as service agents, persons Operation means to navigate, steer, and organizations must meet the quali- direct, manage, or sail a vessel, or to fications set forth in applicable sec- control, monitor, or maintain the ves- tions of 49 CFR part 40. Service agents sel’s main or auxiliary equipment or are not employers for purposes of this systems. Operation includes: part. (a) Determining the vessel’s position, Sponsoring organization is any com- piloting, directing the vessel along a pany, consortium, corporation, associa- desired trackline, keeping account of tion, union, or other organization with the vessel’s progress through the which individuals serving in the ma- water, ordering or executing changes in rine industry, or their employers, are course, rudder position, or speed, and associated. maintaining a lookout; Stand-down means the practice of (b) Controlling, operating, moni- temporarily removing a crewmember toring, maintaining, or testing: the from the performance of safety-sen- vessel’s propulsion and steering sys- sitive functions based only on a report tems; electric power generators; bilge, from a laboratory to the MRO of a con- ballast, fire, and cargo pumps; deck firmed positive test for a drug or drug machinery including winches, metabolite, an adulterated test, or a windlasses, and lifting equipment; life- substituted test, before the MRO has saving equipment and appliances; fire- completed verification of the test re- fighting systems and equipment; and sult.

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Substance Abuse Professional (SAP) R. The PIE is an action which excludes means a person who evaluates employ- from participation in DOT’s drug and ees who have violated a DOT drug and alcohol testing program any service alcohol regulation and makes rec- agent who, by serious noncompliance ommendations concerning education, with this part or with 49 CFR part 40, treatment, follow-up testing, and has shown that it is not currently act- aftercare. ing in a responsible manner. Vessel owned in the United States means any vessel documented or num- [USCG-2000–7759, 66 FR 42968, Aug. 16, 2001] bered under the laws of the United States; and any vessel owned by a cit- § 16.113 Chemical drug testing. izen of the United States that is not (a) Drug testing programs required documented or numbered by any na- by this part must be conducted in action. cordance with 49 CFR part 40, Proce- [CGD 86–067, 53 FR 47079, Nov. 21, 1988; 53 FR dures for Transportation Workplace 48367, Nov. 30, 1988, as amended by CGD 90– Testing Programs. This subpart sum- 014, 56 FR 31033, July 8, 1991; CGD 90–053, 58 marizes the responsibilities of docu- FR 31107, May 28, 1993; CGD 93–051, 59 FR mented and licensed mariners, marine 28792, June 3, 1994; 59 FR 62226, Dec. 2, 1994; employers, MRO, SAP and other chem- CGD 91–223, 60 FR 4525, Jan. 23, 1995; USCG- 2000–7759, 66 FR 42967, Aug. 16, 2001; USCG- ical testing service providers in 49 CFR 2003–16414, 69 FR 6577, Feb. 11, 2004] part 40. The regulations in 49 CFR part 40 should be consulted to determine the § 16.107 Waivers. specific procedures which must be es- (a) To obtain a waiver from 49 CFR tablished and utilized. Drug testing 40.21 or from this part you must send programs required by this part must your request for a waiver to the Com- use only drug testing laboratories cer- mandant (G-MOA). tified by the Department of Health and (b) Employers for whom compliance Human Services (DHHS). with this part would violate the domes- (b) Each specimen collected in ac- tic laws or policies of another country cordance with this part will be tested, may request an exemption from the as provided in 49 CFR 40.85, for the fol- drug testing requirements of this part lowing: by submitting a written request to (1) Marijuana; Commandant (G-MOA), at the address listed in § 16.500(a). (2) Cocaine; (c) An employer may request a waiv- (3) Opiates; er from the Coast Guard in order to (4) Phencyclidine (PCP); and stand-down a crewmember following (5) Amphetamines. the Medical Review Officer’s receipt of [USCG-2000–7759, 66 FR 42968, Aug. 16, 2001] a laboratory report of a confirmed positive test for a drug or drug metabolite, § 16.115 Penalties. an adulterated test, or a substituted test pertaining to the crewmember. Violation of this part is subject to Consistent with 49 CFR 40.21, the re- the civil penalties set forth in 46 U.S.C. quest for a waiver must include as a 2115. Any person who fails to imple- minimum: Information about the orga- ment or conduct, or who otherwise nization and the proposed written com- fails to comply with the requirements pany policy concerning stand-down. for chemical testing for dangerous Specific elements required in the writ- drugs as prescribed under this part, is ten waiver request are contained in 49 liable to the United States Government CFR 40.21(c). for a civil penalty of not more than [USCG-2000–7759, 66 FR 42967, Aug. 16, 2001] $5,000 for each violation. Each day of a continuing violation will constitute a § 16.109 Public Interest Exclusion separate violation. (PIE). [USCG-2000–7759, 66 FR 42968, Aug. 16, 2001] Service agents are subject to Public Interest Exclusion (PIE) actions in accordance with 49 CFR Part 40, subpart

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Subpart B—Required Chemical turns to work as required in 49 CFR Testing part 40; and (2) For any additional period as de- § 16.201 Application. termined by the MRO up to a total of 60 months. (a) Chemical testing of personnel must be conducted as required by this [CGD 86–607, 53 FR 47049, November 11, 1988, subpart and in accordance with the as amended by CGD 90–014, 56 FR 31034, July procedures detailed in 49 CFR part 40. 8, 1991; USCG-2000–7759, 66 FR 42968, Aug. 16, (b) If an individual fails a chemical 2001] test for dangerous drugs under this part, the individual will be presumed to § 16.203 Employer, MRO, and SAP responsibilities. be a user of dangerous drugs. (c) If an individual holding a license, (a) Employers. (1) Employers must en- certificate of registry, or merchant sure that they and their crewmembers mariner’s document fails a chemical meet the requirements of this part. test for dangerous drugs, the individ- (2) Employers are responsible for all ual’s employer, prospective employer, the actions of their officials, represent- or sponsoring organization must report atives, and agents in carrying out the the test results in writing to the near- requirements of this part. est Coast Guard Officer in Charge, Ma- (3) All agreements and arrangements, rine Inspection (OCMI). The individual written or unwritten, between and must be denied employment as a crew- among employers and service agents member or must be removed from du- concerning the implementation of DOT ties which directly affect the safe oper- drug testing requirements are deemed, ation of the vessel as soon as prac- as a matter of law, to require compli- ticable and is subject to suspension and ance with all applicable provisions of revocation proceedings against his or this part and DOT agency drug testing her license, certificate of registry, or regulations. Compliance with these merchant mariner’s document under 46 provisions is a material term of all CFR part 5. such agreements and arrangements. (d) If an individual who does not hold (b) Medical Review Officer (MRO). (1) a license, certificate of registry, or Individuals performing MRO functions merchant mariner’s document fails a must meet the training requirements chemical test for dangerous drugs, the and follow the procedures in 49 CFR individual shall be denied employment Part 40. as a crewmember or removed from du- (2) MROs may report chemical drug ties which directly affect the safe oper- test results to the Coast Guard for un- ation of the vessel as soon as possible. employed, self-employed, or individual (e) An individual who has failed a re- mariners. quired chemical test for dangerous (c) Substance Abuse Professional (SAP). drugs may not be re-employed aboard a Individuals performing SAP functions vessel until the requirements of para- must meet the training requirements graph (f) of this section and 46 CFR and follow the procedures in 49 CFR Part 5, if applicable, have been satis- Part 40. fied. (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.

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(b) Upon written request of an em- be completed and dated not more than ployer, Commandant (G-MOA) will re- 185 days prior to submission of the ap- view the employer’s chemical testing plication. program to determine compliance with (b) Unless excepted under paragraph the provisions of this part. (c) of this section, each pilot required by this subchapter to receive an annual [CGD 90–014, 56 FR 60930, Nov. 30, 1991, as amended by 59 FR 62226, Dec. 2, 1994; CGD 95– physical examination must pass a 072, 60 FR 50461, Sept. 29, 1995; CGD 96–041, 61 chemical test for dangerous drugs as a FR 50726, Sept. 27, 1996; CGD 95–028, 62 FR part of that examination. The indi- 51196, Sept. 30, 1997] vidual shall provide the results of each test required by this section to the § 16.210 Pre-employment testing re- REC when the pilot applies for a li- quirements. cense renewal or when requested by the (a) No marine employer shall engage Coast Guard. or employ any individual to serve as a (c) An applicant need not submit evi- crewmember unless the individual dence of passing a chemical test for passes a chemical test for dangerous dangerous drugs required by paragraph drugs for that employer. (a) or (b) of this section if he or she (b) An employer may waive a pre-em- provides satisfactory evidence that he ployment test required for a job appli- or she has— cant by paragraph (a) of this section if (1) Passed a chemical test for dan- the individual provides satisfactory gerous drugs required by this part evidence that he or she has: within the previous six months with no (1) Passed a chemical test for dan- subsequent positive chemical tests dur- gerous drugs, required by this part, ing the remainder of the 6-month pe- within the previous six months with no riod; or subsequent positive drug tests during (2) During the previous 185 days been the remainder of the six-month period; subject to a random testing program or required by § 16.230 for at least 60 days (2) During the previous 185 days been and did not fail or refuse to participate subject to a random testing program in a chemical test for dangerous drugs required by § 16.230 for at least 60 days required by this part. and did not fail or refuse to participate (d) Except as provided by paragraph in a chemical test for dangerous drugs (b) of this section, an applicant is re- required by this part. quired to provide the results of only one chemical test for dangerous drugs [CGD 90–053, 58 FR 31107, May 28, 1993, as when multiple transactions are covered amended by CGD 93–051, 59 FR 28792, June 3, 1994] by or requested in a single application. [CGD 91–223, 60 FR 4525, Jan. 23, 1995] § 16.220 Periodic testing requirements. (a) Except as provided by paragraph § 16.230 Random testing requirements. (c) of this section, and §§ 10.209(h) and (a) Marine employers shall establish 12.02–9(f) of this subchapter, an appli- programs for the chemical testing for cant for an original issuance or a re- dangerous drugs on a random basis of newal of a license or a certificate of crewmembers on inspected vessels who: registry (COR), a raise in grade of a li- (1) Occupy a position, or perform the cense, a higher grade of COR, an origi- duties and functions of a position, re- nal issuance of a merchant mariner’s quired by the vessel’s Certificate of In- document (MMD), the first endorse- spection; ment as an able seaman, lifeboatman, (2) Perform the duties and functions qualified member of the engine depart- of patrolmen or watchmen required by ment, or tankerman, or a reissuance of this chapter; or, an MMD with a new expiration date (3) Are specifically assigned the du- shall be required to pass a chemical ties of warning, mustering, assembling, test for dangerous drugs. The applicant assisting, or controlling the movement shall provide the results of the test to of passengers during emergencies. the Coast Guard Regional Examination (b) Marine employers shall establish Center (REC) at the time of submitting programs for the chemical testing for an application. The test results must dangerous drugs on a random basis of

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crewmembers on uninspected vessels MIS reports required by this part. In who: order to ensure reliability of the data, (1) Are required by law or regulation the Commandant considers the quality to hold a license issued by the Coast and completeness of the reported data, Guard in order to perform their duties may obtain additional information or on the vessel; reports from marine employers, and (2) Perform duties and functions di- may make appropriate modifications rectly related to the safe operation of in calculating the industry random the vessel; positive rate. Each year, the Com- (3) Perform the duties and functions mandant will publish in the FEDERAL of patrolmen or watchmen required by REGISTER the minimum annual per- this chapter; or, centage rate for random drug testing of (4) Are specifically assigned the du- covered crewmembers. The new min- ties of warning, mustering, assembling, imum annual percentage rate for ran- assisting, or controlling the movement dom drug testing will be applicable of passengers during emergencies. starting January 1 of the calendar year (c) The selection of crewmembers for following publication. random drug testing shall be made by a (2) When the minimum annual per- scientifically valid method, such as a centage rate for random drug testing is random number table or a computer- 50 percent, the Commandant may lower based random number generator that is this rate to 25 percent of all covered matched with crewmembers’ Social Se- crewmembers if the Commandant de- curity numbers, payroll identification termines that the data received under numbers, or other comparable identi- the reporting requirements of 46 CFR fying numbers. Under the testing fre- 16.500 for two consecutive calendar quency and selection process used, each years indicate that the positive rate is covered crewmember shall have an less than 1.0 percent. equal chance of being tested each time (3) When the minimum annual per- selections are made and an employee’s centage rate for random drug testing is chance of selection shall continue to 25 percent, and the data received under exist throughout his or her employ- the reporting requirements of 46 CFR ment. As an alternative, random selec- 16.500 for any calendar year indicate tion may be accomplished by periodi- that the positive rate is equal to or cally selecting one or more vessels and greater than 1.0 percent, the Com- 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

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that the dates for administering ran- chant mariner’s document issued under dom tests are spread reasonably this subchapter, who is reasonably sus- throughout the calendar year. pected of using a dangerous drug to be (i) If a given covered crewmember is chemically tested for dangerous drugs. subject to random drug testing under (b) The marine employer’s decision the drug testing rules of more than one to test must be based on a reasonable DOT agency for the same marine em- and articulable belief that the indi- ployer, the crewmember shall be sub- vidual has used a dangerous drug based ject to random drug testing at the per- on direct observation of specific, con- centage rate established for the calendar year by the DOT agency regu- temporaneous physical, behavioral, or lating more than 50 percent of the performance indicators of probable use. crewmember’s function. Where practicable, this belief should be (j) If a marine employer is required based on the observation of the indi- to conduct random drug testing under vidual by two persons in supervisory the drug testing rules of more than one positions. DOT agency, the marine employer (c) When the marine employer re- may— quires testing of an individual under (1) Establish separate pools for ran- the provisions of this section, the indi- dom selection, with each pool con- vidual must be informed of that fact taining the covered crewmembers who and directed to provide a urine speci- are subject to testing at the same re- men as soon as practicable. This fact quired rate; or shall be entered in the vessel’s official (2) Randomly select such crew- log book, if one is required. members for testing at the highest per- (d) If an individual refuses to provide centage rate established for the cal- a urine specimen when directed to do endar year by any DOT agency to so by the employer under the provi- which the marine employer is subject. sions of this section, this fact shall be (k) An individual may not be engaged entered in the vessel’s official log or employed, including self-employment, on a vessel in a position as mas- book, if one is required. ter, operator, or person in charge for § 16.260 Records. which a license or merchant mariner’s document is required by law or regula- (a) Employers must maintain records tion unless all crewmembers covered of chemical tests as provided in 49 CFR by this section are subject to the ran- 40.333 and must make these records dom testing requirements of this sec- available to Coast Guard officials upon tion. request. [CGD 90–014, 56 FR 31034, July 8, 1991, as (b) The records shall be sufficient to: amended by 59 FR 62227, Dec. 2, 1994] (1) Satisfy the requirements of §§ 16.210(b) and 16.220(c) of this part. § 16.240 Serious marine incident test- (2) Identify the total number of indi- ing requirements. viduals chemically tested annually for The marine employer shall ensure dangerous drugs in each of the cat- that all persons directly involved in a egories of testing required by this part serious marine incident are chemically including the annual number of indi- tested for evidence of dangerous drugs viduals failing chemical tests and the and alcohol in accordance with the re- number and types of drugs for which quirements of 46 CFR 4.06. individuals tested positive. § 16.250 Reasonable cause testing re- [CGD 86–067, 53 FR 47079, Nov. 21, 1988, as quirements. amended by CGD 91–223, 60 FR 4526, Jan. 23, (a) The marine employer shall re- 1995; USCG-2000–7759, 66 FR 42968, Aug. 16, quire any crewmember engaged or em- 2001] ployed on board a vessel owned in the United States that is required by law Subpart C [Reserved] or regulation to engage, employ or be operated by an individual holding a license, certificate of registry, or mer-

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Subpart D—Employee Assistance gram data required by 49 CFR 40.26 and Programs Appendix H to 49 CFR part 40. (2) The provisions in 49 CFR part 40 § 16.401 Employee Assistance Program for alcohol testing do not apply to the (EAP). Coast Guard or to marine employers, The employer shall provide an Em- and alcohol testing data is not required ployee Assistance Program (EAP) for or permitted to be submitted by this all crewmembers. The employer may section. establish the EAP as a part of its inter- (b) Data reporting. (1) By March 15 of nal personnel services or the employer the year following the collection of the may contract with an entity that will data in paragraph (a) of this section, provide EAP services to a crewmember. marine employers must submit the Each EAP must include education and data on the form titled U.S. Depart- training on drug use for crewmembers ment of Transportation Drug and Alco- and the employer’s supervisory per- hol Testing MIS Data Collection Form sonnel as provided below: (OMB Number: 2105–0529) by mail to (a) EAP education program: Each EAP Commandant (G-MOA), 2100 Second education program must include at Street, SW, Washington, DC 20593–0001 least the following elements: display or by Internet at http://www.uscg.mil/hq/ and distribution of informational ma- g-m/moa/dapip.htm. terial; display and distribution of a (2) The DOT Drug and Alcohol Test- community service hot-line telephone ing MIS form can be downloaded and number for crewmember assistance, printed from http://www.uscg.mil/hq/g-m/ and display and distribution of the em- moa/dapip.htm or may be obtained from ployer’s policy regarding drug and al- any Sector Office. cohol use in the workplace. (3) A consortium or other employer representative may submit data for a (b) EAP training program: An EAP marine employer. Reports may contain training program must be conducted data for more than one marine em- for the employer’s crewmembers and ployer. Each report, however, must list supervisory personnel. The training the marine employers included in the program must include at least the fol- report. lowing elements: the effects and con- (4) Marine employers must ensure sequences of drug and alcohol use on that data submitted by a consortium personal health, safety, and work envi- or other employer representative under ronment; the manifestations and be- paragraph (b)(3) of this section is cor- havioral cues that may indicate drug rect. and alcohol use and abuse; and docu- (c) After filing 3 consecutive annual mentation of training given to crew- MIS reports since January 1, 1996, re- members and the employer’s super- quired by paragraph (b) of this section, visory personnel. Supervisory per- marine employers with 10 or fewer cov- sonnel must receive at least 60 minutes ered employees may stop filing the an- of training. nual report each succeeding year during which they have no more than 10 Subpart E—Management covered employees. Information System [USCG-1998–4469, 64 FR 22559, Apr. 27, 1999; 64 § 16.500 Management Information Sys- FR 31989, June 15, 1999, as amended by USCG- tem requirements. 2003–16414, 69 FR 6578, Feb. 11, 2004; USCG– 2006–25556, 72 FR 36330, July 2, 2007] (a) Data collection. (1) All marine employers must submit drug testing pro- APPENDIX A [RESERVED]

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SUBCHAPTER B—MERCHANT MARINE OFFICERS AND SEAMEN

EDITORIAL NOTE: This listing is provided for informational purposes only. It is compiled and kept current by the U.S. Coast Guard, Department of Homeland Security. This index is up- dated as of October 1, 2008. Part, subpart, or section A Able seaman: Age requirement ...... 12.05-3 Certification required ...... 12.05-1 Color sense test...... 12.05-5(a) Demonstration of ability ...... 12.05-9 Examination ...... 12.05-9 General requirements for ...... 12.05-3 Hearing test ...... 12.05-5 Medical examination...... 12.05-5 Physical requirements ...... 12.05-5 Presentation of certificate...... 12.05-1 Ratings for which qualified ...... 12.05-11 Service in other ratings...... 12.05-11 Service or training requirements...... 12.05-7 Shipment of ...... Part 14 Training requirements ...... 12.05-7 Tugs and towboats ...... 12.05-7(d) Vision test...... 12.05-5 Acknowledgment of service for MODU...... 10.476 Affidavits, loss of seaman’s documents ...... 12.02-23(e) Age requirements for: Certification as able seaman...... 12.05-3 Licenses ...... 10.201(f) Aliens, proving nationality ...... 12.02-14 Appeal: License denial ...... 10.204 Manning ...... 15.510 Seaman’s certificate...... 12.02-25 Applications: Aliens ...... 12.02-10 Duplicate seamen’s documents...... 12.02-23 False or incomplete information ...... 10.205(f)(4) National Maritime Center...... 10.105 Original license ...... 10.202(a) Raise of grade of license...... 10.207(a) Regional Examination Center ...... 10.105 Renewal of license...... 10.209(a) Seamen’s documents ...... 12.02-9 Apprentice engineers ...... 12.25-35 Apprentice mate (steersman) of towing vessels ...... 10.466

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Approved courses...... 10.302 Assistance towing: Definition ...... 10.104,15.301 License endorsement authorizing ...... 10.482 Vessel manning requirement...... 15.410 Assistant electrician, ranking rating defined...... 12.15-3(b) Assistant engineer (See also subpart B—General Requirements) Definition ...... 10.104 Limited-oceans, service requirements ...... 10.522 Uninspected fishing industry vessel ...... 10.530 Automated vessels...... 15.715 Auxiliary-sail vessels over 200 tons, service required for license endorsement ...... 10.401(f) B Ballast Control Operator: Definition ...... 10.104 License requirements ...... 10.474 Barge supervisor: Definition ...... 10.104 License requirements ...... 10.472 Basis and purpose of regulations...... 10.101, 12.01-1, 14.101, 15.101, 16.101 Boatswain, definition ...... 10.104 C Cabin watchmen ...... 15.855 Cadet rating on merchant mariner’s document...... 12.25-25 Cardiopulmonary resuscitation (CPR) course certificate ...... 10.205(h) Certificate of discharge, issuing duplicates...... 12.02-23 Certificate of identification ...... 12.02-11(g) Certificate of inspection ...... 15.505, 15.515 Certificate of registry (See also subpart B—General Requirements) ...... 10.801 Certificates of service: Application ...... 12.02-9 Entry ratings...... 12.25-10 Fees ...... 12.02-18 Ratings other than able seaman and Qualified Member of the Engineer Department (QMED)...... 12.25-10 Service under...... 12.02-11(c) When required ...... 12.02-7, 12.25-1 Where issued ...... 12.02-3 Certificates of service for ratings other than able seaman and Qualified Member of the Engineer Department (QMED): General requirements ...... 12.25-10 When required ...... 12.25-1 Certificates, report loss or recovery of...... 12.02-24 Certification as Qualified Member of the Engineer Department (QMED), when required...... 12.15-1 Certification of seamen: Application for documents...... 12.02-9 Basis and purpose of regulations...... 12.01-1 Cadet ...... 12.25-25 Citizenship requirements...... 12.02-13 Documents required for shipment...... 12.02-7 Fees ...... 12.02-18 Form in which documents issued...... 12.02-5, 12.02-11 Oath requirement ...... 12.02-15

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Other than able seaman and Qualified Member of the Engineer Depart- ment (QMED), when required...... 12.25-1 Preparation and issuance of documents ...... 12.02-17 Qualified Member of the Engineer Department (QMED) physical requirements ...... 12.15-5 Student observers ...... 12.25-30 Character check and references for original license...... 10.205(f) Chemical testing for dangerous drugs: Applicability ...... 16.201 Definitions ...... 16.105 Employee assistance program ...... 16.401 Periodic testing...... 16.220 Pre-employment testing ...... 16.210 Purpose...... 16.101 Random testing ...... 16.230 Reasonable cause testing ...... 16.250 Records...... 16.260 Serious marine incident testing...... 16.240 Chief engineer: (See also subpart B—General Requirements) Definition ...... 10.104 Limited-oceans, service requirements ...... 10.518 Limited-near coastal, service requirements...... 10.520 Requirement for ...... 15.820 Uninspected fishing industry vessel, service requirements...... 10.530 Unlimited, service requirements...... 10.510 Chief mate: Definition ...... 10.104 Required service (See also subpart B—General Requirements)...... 10.405 Chief purser (See also subpart B—General Requirements)...... 10.803, 10.807 Citizenship: Acceptable evidence ...... 10.205(c) Requirements for license...... 10.201(e) Requirements for seamen’s documents...... 12.02-13 Color sense test, original license ...... 10.205(d)(2) Commandant evaluation of service for equivalency ...... 10.211(e) Continuous discharge book: Application ...... 12.02-9 Duplicate, issuance...... 12.02-23 Convictions for drug violations...... 10.201(b) Course approvals: General standards ...... 10.303 Period of approval ...... 10.302(c) Radar observer courses ...... 10.305, 10.307 Records retention...... 10.303(d) Renewal of approval...... 10.302(d) Request for approval ...... 10.302(a) Substitution of training for required service ...... 10.304 Crewmember, definition ...... 16.105 D Day, definition ...... 10.104 Decision of Officer in Charge, right of appeal ...... 10.204 Deck crew, definition ...... 15.301 Deck engine mechanic ...... 12.15-13 Definitions: Apprentice mate (steersman) of towing vessels ...... 10.104

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Approved Training ...... 10.104 Assistance towing ...... 10.104, 15.301 Assistant engineer...... 10.104 Ballast control operator...... 10.104 Barge supervisor...... 10.104 Boatswain...... 10.104 Chemical test ...... 16.105 Chief engineer ...... 10.104 Chief mate ...... 10.104 Consortium/third party administrator...... 16.105 Conviction ...... 10.104 Crewmember...... 16.105 Dangerous drug...... 10.104, 16.105 Dangerous drug level...... 16.105 Day ...... 10.104 Deck crew...... 15.301 Designated duty Engineer ...... 10.104 Drug test ...... 16.105 Employer...... 16.105 Employment assigned to ...... 10.104 Endorsement ...... 10.104 Evaluation ...... 10.104, 12.01-6 Fails a test for dangerous drugs ...... 16.105 First assistant engineer ...... 10.104 Great Lakes...... 10.104 Horsepower...... 10.104 Inland waters ...... 10.104 Intoxicant ...... 16.105 Lower level license...... 10.104 Marine employer ...... 16.105 Master ...... 10.104 Mate ...... 10.104 Medical review officer ...... 16.105 Mobile offshore drilling unit ...... 10.104 Month...... 10.104 Near coastal ...... 10.104 Oceans ...... 10.104 Officer in Charge, Marine Inspection ...... 10.104 Offshore installation manager ...... 10.104 On location...... 10.104 Operation (of a vessel)...... 16.105 Operator ...... 10.104 Orally assisted examination...... 10.104 Original document ...... 12.01-6 Original license ...... 10.104 Qualified rating...... 12.01-6 Raise of grade...... 10.104 Rivers ...... 10.104 Self-propelled ...... 15.301 Senior company official ...... 10.104 Serious marine incident ...... 16.105 Service agent...... 16.105 Sponsoring organization ...... 16.105 Staff officer ...... 15.301 Underway ...... 10.104 Undocumented vessel ...... 10.104 Upper level license ...... 10.104 Vessel owned in the United States ...... 16.105

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Western Rivers ...... 10.104 Year...... 10.104 Denial of license...... 10.202(g) Denial of seaman’s certificate...... 12.02-4 Designated duty engineer (See also subpart B—General Requirements) Definition ...... 10.104 License requirements ...... 10.524 Service authority...... 10.501, 15.915 Detention of a vessel ...... 15.701(c) Discharge certificate, duplicate, issuance ...... 12.02-23 Documentary evidence of service...... 10.211(a) Documents, seamen’s: Application ...... 12.02-9 Application from aliens ...... 12.02-10 Basis for denial of documents ...... 12.02-4 Fees ...... 12.02-18 Form in which issued...... 12.02-5, 12.02-11 Production of required ...... 14.205 When required ...... 12.02-7 Where issued ...... 12.02-3 Drugs, disqualifying for license or COR ...... 10.201(b) Drug testing: Applicability ...... 16.201 Definitions ...... 16.105 Employee assistance program ...... 16.401 Periodic testing...... 16.220 Pre-employment testing ...... 16.210 Purpose...... 16.101 Random testing ...... 16.230 Reasonable cause testing ...... 16.250 Records...... 16.260 Serious marine incident testing...... 16.240 Dual mode ITB ...... 10.211(d) Duplicate license: Fee...... 10.109 Issuance...... 10.219 Duplicate seamen’s documents: Application ...... 12.02-23 Fee...... 12.02-18 Issuance ...... 12.02-23 E Electrician: Assistant, rating defined...... 12.15-3 Examination ...... 12.15-9 Employer, definition ...... 16.105 Endorsement: Able seamen ...... 12.05-7 Definition ...... 10.104 Food handler ...... 12.25-10, 12.25-20 License fee...... 10.109 Merchant mariner’s document: Able seamen ...... 12.05-11 Apprentice engineer...... 12.25-35 Fees ...... 12.02-18(a) General provisions ...... 12.02-11 Licensed officers ...... 12.02-11(d)

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Qualified Member of the Engineer Department (QMED)...... 12.15-11 Staff officer...... 12.02-11(e) Pilot’s endorsement to master’s, mate’s license ...... 10.703 Engineer: Apprentice engineer ...... 12.25-35 Requirement for ...... 15.825 Engineer’s Licenses: (See also subpart B—General Requirements) Horsepower limitation ...... 10.503 Service authorization ...... 10.501, 15.915 Uninspected fishing industry vessel ...... 10.530 Engineman...... 12.15-15 Engine mechanic, deck ...... 12.15-13 English language proficiency ...... 10.201(c) Equivalents, manning ...... 15.901 Towing Vessels ...... 15.910 Equivalent, service...... 10.211(e) Evaluation: Definition ...... 10.104, 12.01-6 Experience not listed ...... 10.211(e) Sea service as member of armed forces of U.S...... 10.213 Sea service on vessels owned by U.S...... 10.213 Examination for license: Fees ...... 10.109 List of subjects: Deck...... 10.910 Engineer ...... 10.950 Procedures ...... 10.217 Examination for seaman’s documents: Able seaman ...... 12.05-9 Fees ...... 12.02-18 Lifeboatman...... 12.10-5 Qualified member engine department ...... 12.15-9 Ratings other than able seaman or Qualified Member of the Engineer Department (QMED)...... 12.25-10 Reexamination ...... 12.02-17 To be given as soon as practicable...... 12.02-17 Expired license, reissue ...... 10.209(f) Extension of pilot’s route...... 10.705(c) Eyesight requirements...... 10.205(d) F Failure on examination for license ...... 10.217 False or incomplete application ...... 10.205(f)(4) Familiarity with vessel ...... 10.101(b), 15.405 Fees: Exemptions ...... 10.112 License ...... 10.112 Merchant mariner’s documents ...... 12.02-18 Penalties ...... 10.111, 12.02-18(d) Fingerprint records, original license ...... 10.205(f)(2) Fire patrolmen ...... 15.855 Firefighting training certificate...... 10.205(g), 10.207(f) First aid certificate, for original license ...... 10.205(h) First assistant engineer: Definition ...... 10.104 Required service (See also subpart B—General Requirements)...... 10.512 First class pilot (See also subpart B—General Requirements)...... 10.701 Fishing industry vessel licenses (See also subpart B—General Requirements)

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Deck ...... 10.462 Engineer ...... 10.530 Food handler: Endorsement on merchant mariner’s document...... 12.25-10 Medical examination ...... 12.25-20 Foreign nationals: License eligibility ...... 10.201(e) Seaman’s certificate eligibility...... 12.02-14 Serving on U.S. vessels...... 15.720 Foreign service ...... 10.205(e)(3) and (4) Form in which seamen’s documents are issued...... 12.02-5 G General provisions: Merchant mariner’s documents ...... 12.02-11 Endorsed as able seaman...... 12.05-11 Endorsed as Qualified Member of the Engineer Department (QMED) ...... 12.15-11 General requirements: Able seaman ...... 12.05-3 Deck engine mechanic ...... 12.15-13 Engineman...... 12.15-15 Issuance of merchant mariner’s documents for ratings other than able seaman or Qualified Member of the Engineer Department (QMED) ...... 12.25-10 Licenses ...... Subpart B Tankerman...... 13.107, 13.203, 13.401 Great Lakes, definition ...... 10.104 H Horsepower: Definition ...... 10.104 Limitations on engineer’s license ...... 10.503 Hospital corpsman ...... 10.809(b) I Inland waters, definition...... 10.104 Integrated tug and barge, dual mode ...... 10.211(d) Issuance: Duplicate license...... 10.219 Duplicate seamen’s documents...... 12.02-23 Fees: Licenses ...... 10.109 Merchant mariner’s documents ...... 12.02-18(a)(4) Licenses...... 10.202 Merchant mariner’s documents ...... 12.02-11 Seamen’s documents after revocation...... 12.02-21 J Junior assistant purser...... 10.803, 10.807 Junior engineer, examination ...... 12.15-9 L Language requirements: Able seaman examination...... 12.05-9(b)

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Crew ...... 15.730 License applicants...... 10.201(c) Lifeboatman examination...... 12.10-5(b) Qualified Member of the Engineer Department (QMED) examination...... 12.15-9 Tankerman endorsement...... 13.201(g), 13.301(g), 13.401(f), 13.501(g) License: Application for original ...... 10.202(a) Application for renewal ...... 10.209(a) Citizenship requirement ...... 10.201(e), 10.205(c) Denial...... 10.202(g) Duplicate license...... 10.219 Eligibility, generally...... 10.201 Examination subjects: Deck...... 10.910 Engineer ...... 10.950 Fees ...... 10.109 Issuance...... 10.202 Lifting of limitations ...... 10.215 Limitations, authority to impose ...... 10.202(h) Loss ...... 10.219 Officer in Charge, Marine Inspection’s authority to reduce license requirements and issue limited license...... 10.202(h) Parting with...... 10.221 Restrictions, serving within...... 15.401 Lifeboatman: Certification required ...... 12.10-1 Demonstration of ability ...... 12.10-5 Examination ...... 12.10-5 Endorsement on merchant mariner’s document ...... 12.10-7 Members of Merchant Marine Cadet Corps ...... 12.10-3, 12.25-25 Number required ...... 15.845 Service requirements ...... 12.10-3 Training requirements ...... 12.10-3 When certificate required ...... 12.10-1 Limitation on license, lifting...... 10.202(h), 10.215 Lookouts ...... 15.850 Loss of license ...... 10.219 Lost document, affidavit ...... 12.02-23(e) Lower level, definition ...... 10.104 M Manning equivalents ...... Part 15, Subpart H Manning, required: Able seaman ...... 15.840 Chief engineer ...... 15.820 Engineer ...... 15.825 Lifeboatmen ...... 15.845 Master ...... 15.805 Master and mate (pilot) of towing vessels...... 15.610 Mate ...... 15.810 OCMI will determine ...... 15.801 Pilot ...... 15.812 Radio officer...... 15.830 Substitution of non-U.S. licensed or documented personnel...... 15.720 Marine employer, definition...... 16.105 Marine physician assistant ...... 10.809(a) Master: (See also subpart B—General Requirements)

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Definition ...... 10.104 Great Lakes and inland: Any gross tons ...... 10.433 Limited master...... 10.456 Not more than 1600 gross tons ...... 10.442 Not more than 500 gross tons...... 10.446 Not more than 200 gross tons...... 10.452 Not more than 100 gross...... 10.455 Inland: Any gross tons ...... 10.435 Not more than 100 gross tons...... 10.457 Near coastal: Any gross tons ...... 10.404 Limited master...... 10.429 Not more than 1600 gross tons ...... 10.412 Not more than 500 gross tons...... 10.418 Not more than 200 gross tons...... 10.426 Not more than 100 gross tons...... 10.428 Oceans: Any gross tons ...... 10.404 Not more than 1600 gross tons ...... 10.412 Not more than 500 gross tons...... 10.418 Not more than 200 gross tons...... 10.424 Requirement for ...... 15.805 Rivers ...... 10.459 Uninspected fishing industry vessels...... 10.462 Master of towing vessel...... 10.464 Eligibility for towing license ...... 10.210 Mate: (See also subpart B—General Requirements) Definition ...... 10.104 Great Lakes and inland: Any gross tons ...... 10.437 Not more than 1600 gross tons ...... 10.444 Not more than 500 gross tons...... 10.448 Not more than 200 gross tons...... 10.454 Near coastal: Not more than 1600 gross tons ...... 10.416 Not more than 500 gross tons...... 10.421 Not more than 200 gross tons...... 10.427 Oceans: Not more than 1600 gross tons ...... 10.414 Not more than 500 gross tons...... 10.420 Requirement for ...... 15.810 Rivers ...... 10.459 Uninspected fishing industry vessels ...... 10.462 Mate (pilot) of towing vessels ...... 10.465 Eligibility for towing license ...... 10.210 Mechanic, deck engine...... 12.15-13 Medical Doctor ...... 10.803, 10.807 Medical examination: Able Seaman ...... 12.05-5 Food Handler ...... 12.25-20 Original license ...... 10.205(d) Pilot, annual ...... 10.709 Qualified Member of the Engineer Department (QMED)...... 12.15-5 Raise of grade of license...... 10.207(e) Renewal of license...... 10.209(d) Tankerman...... 13.125

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Medical review officer, definition ...... 16.105 Merchant Marine Cadet Corps, issuance of merchant mariner’s documents...... 12.25-25 Merchant mariner’s document: Able seaman endorsement considered for lifeboat certificate ...... 12.02-11(f), 12.05- 11(b), 12.10-1, 12.10-7 Application ...... 12.02-9 Cadet ...... 12.25-25 Citizenship requirements...... 12.02-13 Considered a certificate of identification...... 12.02-11(g) Duplicate, issuance...... 12.02-23 Endorsement as able seaman, authorities of ...... 12.05-11 Endorsement as lifeboatman, able seaman as...... 12.10-7 Endorsement for ratings other than able seaman or Qualified Member of the Engineer Department (QMED)...... 12.25-1, 12.25-10 Endorsements, general provisions ...... 12.02-11 Entry ratings...... 12.25-10 Fees ...... 12.02-18 Food handler endorsement ...... 12.25-10, 12.25-20 Form in which issued ...... 12.02-5 Issuance after revocation ...... 12.02-21 Issuance of duplicate ...... 12.02-23 Issuance to members of Merchant Marine Cadet Corps ...... 12.25-25 Issuance to ratings other than able seaman or Qualified Member of the Engineer Department (QMED)...... 12.25-10 Issuance to student observers...... 12.25-30 Lifeboatman endorsement ...... 12.10-7 Loss, report of ...... 12.02-23, 12.02-24 Oath requirement ...... 12.02-15 Preparation and issuance ...... 12.02-17 Qualified member engine department (QMED): Endorsement ...... 12.15-11 Examinations ...... 12.15-9 Service or training requirements...... 12.15-7 Seaman producing document, when required...... 14.205 Signature and thumb-print ...... 12.02-17(c) Social security number ...... 12.02-17(d) Stolen, report of...... 12.02-23(d), 12.02-24 Student observer rating...... 12.25-30 When required ...... 12.02-7 Where issued ...... 12.02-3 Military service...... 10.213 Mobile offshore drilling units: Definition ...... 10.104 Licenses for ...... 10.468 Manning of ...... 15.520 Month, definition ...... 10.104 N Near coastal, definition...... 10.104 O Oath: License ...... 10.202(d) Seaman’s documents ...... 12.02-15 Oceans, definition...... 10.104 Officer in Charge, Marine Inspection, definition ...... 10.104, 15.301

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Officers’ Competency Certificates Convention, 1936...... 15.701 Offshore installation manager: Definition ...... 10.104 Required service (See also subpart B—General Requirements)...... 10.470 On location, definition ...... 10.104 Operation (of a vessel), definition ...... 16.105 Operator, definition...... 10.104 Operator of uninspected passenger vessels: Equivalents ...... 15.905 Required service: (See also subpart B—General Requirements)...... 10.467 Operator of uninspected towing vessels: Equivalents (see Master of towing vessels)...... Required service (see Master of towing vessels) ...... Orally assisted examinations: Able seaman...... 12.05-9(a) Definition ...... 10.104 License...... 10.205(i)(1) Lifeboatman...... 12.10-5(a) Qualified Member of the Engineer Department (QMED)...... 12.15-9 Original document, definition...... 12.01-6 Original license: Age requirement ...... 10.201(f) Cardiopulmonary resuscitation (CPR) course certificate ...... 10.205(h) Character check and references...... 10.205(f) Citizenship ...... 10.205(c) Definition ...... 10.104 Experience requirements...... 10.205(e) Fees ...... 10.109 Fingerprint records...... 10.205(f)(2) Firefighting certificate required...... 10.205(g) First aid certificate required ...... 10.205(h) Issuance to applicant on probation...... 10.205(f)(3) Issuance to naturalized citizen...... 10.205(e)(4) Not issued to naturalized citizens on less experience than required of a citizen by birth...... 10.205(e)(2) Physical examination ...... 10.205(d) Professional examination ...... 10.205(i) Recommendations of master and other officers required ...... 10.205(f)(1) P Parting with license ...... 10.221 Payment for duplicate seaman’s documents ...... 12.02-18(a)(5) Period of grace, expired license renewal ...... 10.209(e)(1) Photographs...... 12.02-9(b) Physical examination: Able seaman ...... 12.05-3 Food handler...... 12.25-20 Original license ...... 10.205(d) Pilot, annual ...... 10.709 Raise of grade of license...... 10.207(e) Renewal of license...... 10.209(d) Tankerman...... 13.125 Qualified Member of the Engineer Department (QMED)...... 12.15-5 Physical requirements: Able seaman ...... 12.05-5 Original license ...... 10.205(d) Pilot, annual ...... 10.709

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Qualified Member of the Engineer Department (QMED)...... 12.15-5 Raise of grade of license...... 10.207(e) Renewal of license...... 10.209(d) Physical waiver...... 10.205(d)(4) Pilot: (See also subpart B—General Requirements) Current knowledge requirement ...... 10.713 Endorsement of master’s or mate’s license...... 10.703(d) Examination for license ...... 10.707 Extension of route...... 10.705(c) Minimum number of trips for license ...... 10.705(b) Minimum number of trips for extension of route...... 10.705(c) Requirement for ...... 15.812 Service required ...... 10.703 Probation, applicant on: Original license...... 10.205(f)(3) Raise of grade...... 10.207(c)(6) Professional examination for license: Expired over 12 months...... 10.209(f) Fees ...... 10.109 Original license...... 10.205(i) Raise of grade of license...... 10.207(d) Renewal...... 10.209(c) Professional nurse ...... 10.803, 10.807 Public interest exclusion ...... 16.109 Purser ...... 10.803, 10.807 Q Qualified member engine department: Certification required ...... 12.15-1 Definition...... 12.15-3 Examination, list of subjects ...... 12.15-9 Examination requirements ...... 12.15-9 General requirements...... 12.15-3 Endorsement on merchant mariner’s document...... 12.15-11 Physical requirements ...... 12.15-5 Ratings ...... 12.15-11 Service or training requirements...... 12.15-7 Qualified rating, definition ...... 12.01-6 Qualifying experience for license: Sea service as member of armed forces of U.S...... 10.213 Sea service on vessels owned by U.S...... 10.213 R Radar observer: Qualification courses ...... 10.305 Qualifications for ...... 10.480 Requirement for ...... 15.815 Radio officers: (See also subpart B—General Requirements) License ...... 10.601 Requirement for ...... 15.830 Raise of grade of license: Age requirement...... 10.207(c)(1) Applicant on probation ...... 10.207(c)(6) Applicant who has lost sight in one eye...... 10.207(e)(3) Definition ...... 10.104 Documentary evidence of service ...... 10.207(c)(2)

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Not issued to naturalized citizen on less experience than required of a citizen by birth...... 10.207(c)(4) Physical requirements ...... 10.207(e) Professional examination ...... 10.207(d) Recency of sea service...... 10.202(e) Sea service acquired prior to issuance of license held not acceptable...... 10.207(c)(3) Surrendering old license ...... 10.207(b) Recency of experience or sea service...... 10.202(e) Reexamination for: License ...... 10.217(a) Seaman’s document ...... 12.02-17(f) References, character for license...... 10.205(f) Registration of staff officers ...... 10.803 Reissue of expired license ...... 10.209(f) Reissue of duplicate seamen’s documents ...... 12.02-23 Related service ...... 10.209(c)(1) Renewal of licenses: After expiration ...... 10.209(e)(1) Applicant who has lost the sight of one eye...... 10.209(d)(3) Applicant ...... 10.209(a) Before expiration...... 10.209(e)(2) Expired license ...... 10.209(f) Fees ...... 10.109 Inactive license renewal for continuity purposes ...... 10.209(g) Mailing of ...... 10.209(e)(3) Master of towing vessels ...... 10.209(c)(6) Mate of towing vessels ...... 10.209(c)(6) Period of grace ...... 10.209(e)(1) Physical requirements ...... 10.209(d) Pilot...... 10.209(c)(3), 10.713 Professional requirements ...... 10.209(c) Radio officer...... 10.209(c)(4) Suspended license ...... 10.209(b) Revocation of seamen’s documents ...... 12.02-19, 12.02-21 Right of appeal from decision of Officer in Charge ...... 10.204, 12.02-25 Rivers, definition ...... 10.104 S Sail vessels, license endorsement ...... 10.401(f) Sailing short ...... 15.725 Seamen: Application for documents...... 12.02-9 Cadet-midshipmen ...... 12.25-25 Certificate of identification, where issued ...... 12.02-3 Certificates of service, where issued ...... 12.02-3 Citizenship requirements...... 12.02-13 Continuous discharge books, where issued...... 12.02-3 Suspension or revocation of documents ...... 12.02-19 Temporary permit in lieu of regular certificates...... 12.02-3 Seamen’s documents: Aliens...... 12.02-3, 12.02-14 Application ...... 12.02-9 Citizenship requirements...... 12.02-13 Commitment of employment required for entry ratings ...... 12.25-5 Duplicates, procedure for obtaining ...... 12.02-23 General provisions...... 12.02-11

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Endorsements ...... 12.02-11 Entry ratings, commitment of employment required...... 12.25-5 Fees ...... 12.02-18 Form in which issued ...... 12.02-5, 12.02-1 Loss ...... 12.02-23 Oath requirement ...... 12.02-15 Other than able seaman or Qualified Member of the Engineer Depart- ment (QMED), when required...... 12.25-1 Preparation and issuance ...... 12.02-17 Qualified Member of the Engineer Department (QMED), service or training requirements...... 12.15-7 Revocation, issuance after ...... 12.02-21 Stolen, lost, or destroyed, report of ...... 12.02-23 Student observers ...... 12.25-30 Suspension or revocation ...... 12.02-19 Temporary permit in lieu of regular certificates ...... 12.02-3(b) When required ...... 12.02-7 Second assistant engineer (See also subpart B—General Require- ments) ...... 10.514 Second class operator of uninspected towing vessels (See also subpart B—General Requirements) ...... 10.464(d) Second mate (See also subpart B—General Requirements)...... 10.406 Self-propelled, definition...... 15.301 Senior assistant purser ...... 10.803, 10.807 Senior company official, definition...... 10.104 Serious marine incident, definition ...... 16.105 Service requirements for licenses: Creditable service...... 10.211 Documentation for original license...... 10.205(e)(1) Documentation for raise of grade of license...... 10.207(c)(2) Equivalent service...... 10.211 Experience on foreign vessels ...... 10.205(e)(3), 10.207(c)(5) Experience on motor vessels were licenses not required...... 10.422(c) Recency ...... 10.202(e) Self certification...... 10.211(a) Training substitution for required service...... 10.304 Service within restrictions of license...... 15.401 Shipping articles: Completing at voyage end ...... 14.309 Form...... 14.207 Posting ...... 14.211 Paying off during voyage ...... 14.301 Preparation ...... 14.209 Reporting shipment and discharge of seamen...... 14.213, 14.311 Signaling examination for deck officer’s...... 10.401(h) Signature ...... 10.202(c) Simulator training...... 10.304(d) Social security number ...... 12.02-17(d) Sponsoring organization ...... 16.105 Staff officers: Definition ...... 15.301 Required service (See also subpart B—General Requirements)...... 10.803 Requirement for ...... 15.835 Student observers, issuance of merchant mariner’s document ...... 12.25-30 Surrender of old license upon issuance of a new license ...... 10.207(b) Suspension or revocation: Licenses...... 10.223 Seamen’s documents ...... 12.02-19

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T Tankerman: Examination requirements...... Part 13 General requirements...... 13.107 Physical requirements ...... 13.125 Temporary MODU license ...... 10.476 Third assistant engineer (See also subpart B—General Require- ments) ...... 10.516 Third mate (See also subpart B—General Requirements) ...... 10.407 Tonnage limitations: Computation for license...... 10.402(b) Computations for vessels not more than 200 gross tons ...... 10.422(a) Raises for vessels over 1600 gross tons...... 10.402(c) Raises for vessels not more than 200 gross tons ...... 10.422(b) Towing officers’ assessment record...... 10.304(h) Training course approvals: General standards ...... 10.303 Period of approval...... 10-302(c) Radar observer courses ...... 10.305, 10.307 Records retention...... 10.303(d) Renewal of approval...... 10.302(d) Request for approval ...... 10.302(a) Substitution of training for required service ...... 10.304 U Underway, definition...... 10.104 Undocumented vessel, definition...... 10.104 Uninspected passenger vessels: Equivalent licenses ...... 15.905 License (See also subpart B—General Requirements) ...... 10.467 Manning ...... 15.905 Uninspected towing vessels: Equivalent licenses ...... 15.910 License (See also subpart B—General Requirements) ...... 10.464 Manning ...... 15.610 Upper level license, definition...... 10.104 V Vessel familiarity...... 10.101(b), 15.405 Vessel owned in the United States, definition ...... 16.105 Vision: Glasses ...... 10.202(f) Loss in one eye ...... 10.207(e)(3), 10.209(d)(3) Requirements: Deck officers (master, mate, pilot, operator) ...... 10.205(d)(2) Engineer officers ...... 10.205(d)(3) Mobile offshore units...... 10.205(d)(3) Radio officers...... 10.205(d)(3) Waiver ...... 10.205(d)(4) W Waiver of physical standards ...... 10.205(d)(4) Watches ...... 15.705 Watchmen ...... 15.855 Western Rivers, definition ...... 10.104

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Working hours...... 15.710 Y Year, definition ...... 10.104

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