Subchapter B—Merchant Marine Officers and Seamen

Home , Motorman (ship), Oiler (occupation), Ordinary seaman, Ordinary seaman (rank)

SUBCHAPTER B—MERCHANT MARINE OFFICERS AND SEAMEN

PART 10—MERCHANT MARINER Subpart A—General CREDENTIAL § 10.101 Purpose of rules in this part. Subpart A—General The regulations in this part provide: (a) A means of determining and Sec. verifying the qualifications an appli- 10.101 Purpose of rules in this part. cant must possess to be eligible for cer- 10.103 Incorporation by reference. tification to serve on merchant vessels; 10.105 Paperwork approval. [Reserved] 10.107 Definitions in subchapter B. (b) A means of determining that an 10.109 Classification of endorsements. applicant is competent to serve under the authority of their merchant mar- Subpart B—General Requirements for All iner credential (MMC); Merchant Mariner Credentials (c) A means of confirming that an applicant does not pose a threat to na- 10.201 General characteristics of the mer- tional security through the require- chant mariner credential. ment to hold a Transportation Worker 10.203 Requirement to hold a TWIC and a Identification Credential (TWIC); and merchant mariner credential. (d) A means of determining whether 10.205 Validity of a merchant mariner credential. the holder of an MMC is a safe and 10.207 Identification number. suitable person. 10.209 General application procedures. § 10.103 Incorporation by reference. 10.211 Criminal record review. 10.213 National Driver Register. (a) Certain material is incorporated 10.214 Security Check. by reference into this part with the ap- 10.215 Medical and physical requirements. proval of the Director of the Federal 10.217 Merchant mariner credential applica- Register under 5 U.S.C. 552(a) and 1 tion and examination locations. CFR part 51. To enforce any edition 10.219 Fees. other than that specified in this sec- 10.221 Citizenship. tion, the Coast Guard must publish no- 10.223 Modification or removal of limita- tice of change in the FEDERAL REG- tions or scope. ISTER and the material must be avail- 10.225 Requirements for original merchant able to the public. All approved mate- mariner credentials. rial is available for inspection at the 10.227 Requirements for renewal. National Archives and Records Admin- 10.229 Issuance of duplicate merchant mar- istration (NARA). For information on iner credentials. the availability of this material at 10.231 Requirements for raises of grade or NARA, call 202–741–6030 or go to http:// new endorsements. www.archives.gov/federallregister/ 10.233 Obligations of the holder of a merchant mariner credential. codeloflfederallregulations/ 10.235 Suspension or revocation of merchant ibrllocations.html. Also, it is available mariner credentials. for inspection at the Coast Guard, Of- 10.237 Right of appeal. fice of Operating and Environmental 10.239 Quick reference table for MMC re- Standards (CG–5221), 2100 2nd St. SW., quirements. Stop 7126, Washington, DC 20593–7126, 202–372–1405 and is available from the AUTHORITY: 14 U.S.C. 633; 31 U.S.C. 9701; 46 sources indicated in this section. U.S.C. 2101, 2103, 2110; 46 U.S.C. chapter 71; 46 U.S.C. chapter 72; 46 U.S.C. chapter 75; 46 (b) International Maritime Organiza- U.S.C. 7701, 8906 and 70105; Executive Order tion (IMO), 4 Albert Embankment, 10173; Department of Homeland Security Del- London SE1 7SR, England, telephone: + egation No. 0170.1. 44 (0)20 7735 7611, http://www.imo.org: (1) The STCW—International Conven- SOURCE: USCG–2006–24371, 74 FR 11216, Mar. tion on Standards of Training, Certifi- 16, 2009, unless otherwise noted. cation and Watchkeeping for Seafarers,

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1978, as amended 1995 (the STCW Con- equivalent to a mate on a conventional vention or the STCW), incorporation vessel. by reference approved for §§ 10.107, Barge supervisor or BS means an offi- 10.109, and 10.231. cer restricted to service on MODUs (2) The Seafarers’ Training, Certifi- whose duties involve support to the off- cation and Watchkeeping Code, as shore installation manager (OIM) in amended 1995 (the STCW Code), incor- marine-related matters including, but poration by reference approved for not limited to, maintaining watertight §§ 10.107, 10.109, 10.227, and 10.231. integrity, inspecting and maintaining mooring and towing components, and [USCG–2006–24371, 74 FR 11216, Mar. 16, 2009, as amended by USCG–2009–0702, 74 FR 49224, maintaining emergency and other ma- Sept. 25, 2009] rine-related equipment. A barge supervisor, when assigned to a MODU, is § 10.105 Paperwork approval. [Re- equivalent to a mate on a conventional served] vessel. Boatswain means the leading seaman § 10.107 Definitions in subchapter B. and immediate supervisor of deck crew (a) With respect to part 16 and who supervises the maintenance of § 15.1101 of this title only, if the defini- deck gear. tions in paragraph (b) of this section Cargo engineer means a person hold- differ from those set forth in either ing an officer endorsement on a dan- § 16.105 or § 15.1101, the definition set gerous-liquid tankship or a liquefied- forth in either § 16.105 or § 15.1101, as ap- gas tankship whose primary responsi- propriate, applies. bility is maintaining the cargo system (b) As used in this subchapter, the and cargo-handling equipment. following terms apply only to mer- Chief engineer means any person re- chant marine personnel credentialing sponsible for the mechanical propul- and the manning of vessels subject to sion of a vessel and who is the holder of the manning provisions in the naviga- a valid officer endorsement as chief en- tion and shipping laws of the United gineer. States: Chief mate means the deck officer Apprentice mate (steersman) of towing next in seniority to the master and vessels means a mariner qualified to upon whom the command of the vessel perform watchkeeping on the bridge, will fall in the event of incapacity of while in training onboard a towing ves- the master. sel under the direct supervision and in Coast Guard-accepted means that the the presence of a master or mate (pilot) Coast Guard has officially acknowl- of towing vessels. edged in writing that the material or Approved means approved by the process at issue meets the applicable Coast Guard according to § 11.302 of this requirements; that the Coast Guard chapter. has issued an official policy statement Approved training means training listing or describing the material or that is approved by the Coast Guard or process as meeting the applicable re- meets the requirements of § 11.309 of quirements; or that an entity acting on this chapter. behalf of the Coast Guard under a Assistance towing means towing a dis- Memorandum of Agreement has deter- abled vessel for consideration. mined that the material or process Assistant engineer means a qualified meets the applicable requirements. officer in the engine department. Coastwise seagoing vessel means a ves- Authorized official includes, but is not sel that is authorized by its Certificate limited to, a Federal, State or local of Inspection to proceed beyond the law enforcement officer. Boundary Line established in part 7 of Ballast control operator or BCO means this chapter. an officer restricted to service on mo- Competent person as used in part 13 bile offshore drilling units (MODUs) only, means a person designated as whose duties involve the operation of such under 29 CFR 1915.7. the complex ballast system found on Conviction means that the applicant many MODUs. When assigned to a for a merchant mariner credential has MODU, a ballast control operator is been found guilty, by judgment or plea

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by a court of record of the United practiced, each work day may be cred- States, the District of Columbia, any itable as one and one-half days of serv- State, territory, or possession of the ice. On vessels of less than 100 gross United States, a foreign country, or register tons, a day is considered as any military court, of a criminal fel- eight hours unless the Coast Guard de- ony or misdemeanor or of an offense termines that the vessel’s operating described in section 205 of the National schedule makes this criteria inappro- Driver Register Act of 1982, as amended priate, in no case will this period be (49 U.S.C. 30304). If an applicant pleads less than four hours. When computing guilty or no contest, is granted de- service required for MODU endorse- ferred adjudication, or is required by ments, a day is a minimum of four the court to attend classes, make con- hours, and no additional credit is re- tributions of time or money, receive ceived for periods served over eight treatment, submit to any manner of hours. probation or supervision, or forgo ap- Deck crew (excluding individuals serv- peal of a trial court’s conviction, then ing under their officer endorsement) the Coast Guard will consider the ap- means, as used in 46 U.S.C. 8702, only plicant to have received a conviction. the following members of the deck de- A later expungement of the conviction partment: able seamen, boatswains, will not negate a conviction unless the and ordinary seamen. Coast Guard is satisfied that the Designated areas means those areas expungement is based upon a showing within pilotage waters for which first that the court’s earlier conviction was class pilot’s endorsements are issued in error. under part 11, subpart G, of this chap- Credential means any or all of the fol- ter, by the Officer in Charge, Marine lowing: Inspection (OCMI). The areas for which (1) Merchant mariner’s document. first class pilot’s endorsements are (2) Merchant mariner’s license. issued within a particular Marine In- (3) STCW endorsement. spection Zone and the specific require- (4) Certificate of registry. ments to obtain them may be obtained (5) Merchant mariner credential. from the OCMI concerned. Criminal record review means the proc- Designated duty engineer or DDE ess or action taken by the Coast Guard means a qualified engineer, who may to determine whether an applicant for, be the sole engineer on vessels with a or holder of, a credential is a safe and periodically unattended engine room. suitable person to be issued such a cre- Designated examiner means a person dential or to be employed on a vessel who has been trained or instructed in under the authority of such a creden- techniques of training or assessment tial. and is otherwise qualified to evaluate Dangerous drug means a narcotic whether an applicant has achieved the drug, a controlled substance, or a con- level of competence required to hold a trolled-substance analogue (as defined merchant mariner credential (MMC) in section 102 of the Comprehensive endorsement. This person may be des- Drug Abuse and Control Act of 1970 (21 ignated by the Coast Guard or by a U.S.C. 802)). Coast Guard-approved or accepted pro- Dangerous liquid or DL means a liquid gram of training or assessment. A fac- listed in 46 CFR 153.40 of this chapter ulty member employed or instructing that is not a liquefied gas as defined in in a navigation or engineering course this part. Liquid cargoes in bulk listed at the U.S. Merchant Marine Academy in 46 CFR part 153, table 2, of this chap- or at a State maritime academy oper- ter are not dangerous-liquid cargoes ated under 46 CFR part 310 is qualified when carried by non-oceangoing to serve as a designated examiner in barges. his or her area(s) of specialization Day means, for the purpose of com- without individual evaluation by the plying with the service requirements of Coast Guard. this subchapter, eight hours of Directly supervised, only when refer- watchstanding or day-working not to ring to issues related to tankermen, include overtime. On vessels where a means being in the direct line of sight 12-hour working day is authorized and of the person-in-charge or maintaining

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direct, two-way communications by a east as the lower exit of Saint Lambert convenient, reliable means, such as a Lock. For purposes of requiring mer- predetermined working frequency over chant mariner credentials with rating a handheld radio. endorsements, the connecting and trib- Disabled vessel means a vessel that utary waters are not part of the Great needs assistance, whether docked, Lakes. moored, anchored, aground, adrift, or Harbor assist means the use of a tow- underway, but does not mean a barge ing vessel during maneuvers to dock, or any other vessel not regularly oper- undock, moor, or unmoor a vessel, or ated under its own power. to escort a vessel with limited maneu- Drug test means a chemical test of an verability. individual’s urine for evidence of dan- Horsepower means, for the purpose of gerous drug use. this subchapter, the total maximum Employment assigned to is the total continuous shaft horsepower of all the period a person is assigned to work on vessel’s main propulsion machinery. MODUs, including time spent ashore as IMO means the International Mari- part of normal crew rotation. time Organization. Endorsement is a statement of a mari- Inland waters means the navigable ner’s qualifications, which may include waters of the United States shoreward the categories of officer, staff officer, of the Boundary Lines as described in ratings, and/or STCW appearing on a part 7 of this chapter, excluding the merchant mariner credential. Great Lakes, and, for towing vessels, Entry-level mariner means those mariners holding no rating other than ordi- excluding the Western Rivers. For es- nary seaman, wiper, or steward’s de- tablishing credit for sea service, the partment (F.H.) waters of the Inside Passage between Puget Sound and Cape Spencer, Alas- Evaluation means processing an application, from the point of receipt to ap- ka, are inland waters. proval or rejection of the application, Invalid credential means a merchant including review of all documents and mariner credential, merchant mari- records submitted with an application ner’s document, merchant mariner’s li- as well as those obtained from public cense, STCW endorsement, or certifi- records and databases. cate of registry that has been sus- Fails a chemical test for dangerous pended or revoked, or has expired. drugs means that the result of a chem- Large passenger vessel means a vessel ical test conducted under 49 CFR part of more than 70,000 gross tons, as meas- 40 was reported as ‘‘positive’’ by a Med- ured under 46 U.S.C. 14302 and docu- ical Review Officer because the chem- mented under the laws of the United ical test indicated the presence of a States, with capacity for at least 2,000 dangerous drug at a level equal to or passengers and a coastwise endorse- exceeding the levels established in 49 ment under 46 U.S.C. chapter 121. CFR part 40. Liquefied gas or LG means a cargo First assistant engineer means the en- that has a vapor pressure of 172 kPa (25 gineer officer next in seniority to the psia) or more at 37.8 °C (100 °F). chief engineer and upon whom the re- Liquid cargo in bulk means a liquid or sponsibility for the mechanical propul- liquefied gas listed in § 153.40 of this sion of the vessel will fall in the event chapter and carried as a liquid cargo or of the incapacity of the chief engineer. liquid-cargo residue in integral, fixed, Great Lakes for the purpose of calcu- or portable tanks, except a liquid cargo lating service requirements for an offi- carried in a portable tank actually cer endorsement, means the Great loaded and discharged from a vessel Lakes and their connecting and tribu- with the contents intact. tary waters including the Calumet Lower level is used as a category of River as far as the Thomas J. O’Brien deck and engineer officer endorsements Lock and Controlling Works (between established for assessment of fees. mile 326 and 327), the Chicago River as Lower-level officer endorsements are far as the east side of the Ashland Ave- other than those defined as upper level, nue Bridge (between mile 321 and 322), for which the requirements are listed and the Saint Lawrence River as far in subparts D, E, and G of part 11.

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Marine chemist means a person cer- (1) Operating a motor vehicle while tificated by the National Fire Protec- under the influence of, or impaired by, tion Association. alcohol or a controlled substance; or Master means the officer having com- (2) A traffic violation arising in con- mand of a vessel. nection with a fatal traffic accident, Mate means a qualified officer in the reckless driving, or racing on the high- deck department other than the mas- ways. ter. Near coastal means ocean waters not Merchant mariner credential or MMC more than 200 miles offshore. means the credential issued by the Non-resident alien means an alien, as Coast Guard under 46 CFR part 10. It defined under Section 101(a)(3) of the Immigration and Nationality Act (8 combines the individual merchant U.S.C. 1101 et seq.) (the Act), who is not mariner’s document, license, and cer- lawfully admitted for permanent resi- tificate of registry enumerated in 46 dence, as defined by Section 101(a)(20) U.S.C. subtitle II part E as well as the of the Act, but who is employable in STCW endorsement into a single cre- the United States under the Act and its dential that serves as the mariner’s implementing regulations, including qualification document, certificate of an alien crewman described in section identification, and certificate of serv- 101(a)(15)(D)(i) of the Act who meets ice. the requirements of 46 U.S.C. MMC application means the applica- 8103(k)(3)(A). tion for the MMC, as well as the appli- Oceans means the waters seaward of cation for any endorsement on an the Boundary Lines as described in 46 MMC. CFR part 7. For the purposes of estab- Mobile offshore drilling unit or MODU lishing sea service credit, the waters of means a vessel capable of engaging in the Inside Passage between Puget drilling operations for the exploration Sound and Cape Spencer, Alaska, are for or exploitation of subsea resources. not considered oceans. MODU designs include the following: Officer endorsement means an annota- (1) Bottom bearing units, which in- tion on a merchant mariner credential clude: that allows a mariner to serve in the (i) Self-elevating (or jack-up) units capacities in § 10.109(a). The officer en- with moveable, bottom bearing legs ca- dorsement serves as the license and/or pable of raising the hull above the sur- certificate of registry pursuant to 46 face of the sea; and U.S.C. subtitle II part E. (ii) Submersible units of ship-shape, Officer in Charge, Marine Inspection or barge-type, or novel hull design, other OCMI means, for the purposes of this than a self-elevating unit, intended for subchapter, the individual so des- operating while bottom bearing. ignated at one of the Regional Exam- ination Centers, or any person des- (2) Surface units with a ship-shape or ignated as such by the Commandant. barge-type displacement hull of single Offshore installation manager or OIM or multiple hull construction intended means an officer restricted to service for operating in a floating condition, on MODUs. An assigned offshore instal- including semi-submersibles and drill lation manager is equivalent to a mas- ships. ter on a conventional vessel and is the Month means 30 days, for the purpose person designated by the owner or op- of complying with the service require- erator to be in complete and ultimate ments of this subchapter. command of the unit. National Driver Register or NDR means On location means that a mobile off- the nationwide repository of informa- shore drilling unit is bottom bearing or tion on drivers maintained by the Na- moored with anchors placed in the tional Highway Traffic Safety Admin- drilling configuration. istration under 49 U.S.C. chapter 303. Operate, operating, or operation, as ap- NDR-listed convictions means a con- plied to the manning requirements of viction of any of the following motor vessels carrying passengers, refers to a vehicle-related offenses or comparable vessel any time passengers are em- offenses: barked whether the vessel is underway,

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at anchor, made fast to shore, or lifeboatman, or tankerman endorse- aground. ments formerly issued on merchant Operator means an individual quali- mariner’s documents. fied to operate certain uninspected ves- Raise of grade means an increase in sels. the level of authority and responsi- Orally assisted examination means an bility associated with an officer or rat- examination as described in part 11, ing endorsement. subpart I of this chapter verbally ad- Rating endorsement is an annotation ministered and documented by an ex- on a merchant mariner credential that aminer. allows a mariner to serve in those ca- when used with regard Participation, pacities set out in § 10.109(b) and (c). to the service on transfers required for The rating endorsement serves as the tankerman by §§ 13.120, 13.203, or 13.303 merchant mariner’s document pursu- of this chapter, means either actual ant to 46 U.S.C. subtitle II part E. participation in the transfers or close observation of how the transfers are Regional examination center or REC conducted and supervised. means a Coast Guard office that issues Passes a chemical test for dangerous merchant mariners’ credentials and en- drugs means that the result of a chem- dorsements. ical test conducted according to 49 CFR Restricted tankerman endorsement part 40 is reported as ‘‘negative’’ by a means a valid tankerman endorsement Medical Review Officer according to on a merchant mariner credential re- that part. stricting its holder as the Coast Guard PIC means a person in charge. deems appropriate. For instance, the Pilot of towing vessels means a quali- endorsement may restrict the holder to fied officer of a towing vessel operated one or a combination of the following: only on inland routes. A specific cargo or cargoes; a specific Pilotage waters means the navigable vessel or vessels; a specific facility or waters of the United States, including facilities; a specific employer or em- all inland waters and offshore waters ployers; a specific activity or activities to a distance of three nautical miles (such as loading or unloading in a from the baseline from which the Ter- cargo transfer); or a particular area of ritorial Sea is measured. water. Practical demonstration means the per- Rivers means a river, canal, or other formance of an activity under the di- similar body of water designated as rect observation of a designated exam- such by the Coast Guard. iner for the purpose of establishing Safe and suitable person means a per- that the performer is sufficiently pro- son whose prior record, including but ficient in a practical skill to meet a not limited to criminal record and/or specified standard of competence or NDR record, provides no information other objective criterion. indicating that his or her character Qualified instructor means a person and habits of life would support the be- who has been trained or instructed in lief that permitting such a person to instructional techniques and is otherwise qualified to provide required serve under the MMC and/or endorse- training to candidates for a merchant ment sought would clearly be a threat mariner credential endorsement. A fac- to the safety of life or property, detri- ulty member employed at a State mar- mental to good discipline, or adverse to itime academy or the U.S. Merchant the interests of the United States. See Marine Academy operated under 46 46 CFR 10.211 and 10.213 for the regula- CFR part 310 and instructing in a navi- tions associated with this definition. gation or engineering course is quali- Self propelled has the same meaning fied to serve as a qualified instructor in as the terms ‘‘propelled by machinery’’ his or her area of specialization with- and ‘‘mechanically propelled.’’ This out individual evaluation by the Coast term includes vessels fitted with both Guard. sails and mechanical propulsion. Qualified rating means various cat- Self-propelled tank vessel means a self- egories of able seaman, qualified mem- propelled tank vessel, other than a ber of the engine department, tankship.

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Senior company official means the mariner has met the requirements of president, vice president, vice presi- STCW. dent for personnel, personnel director, Tank barge means a non-self-pro- or similarly titled or responsible indi- pelled tank vessel. vidual, or a lower-level employee des- Tank vessel means a vessel that is ignated in writing by one of these indi- constructed or adapted to carry, or viduals for the purpose of certifying that carries, oil or hazardous material employment and whose signature is on in bulk as cargo or cargo residue, and file at the REC at which application is that: made. (1) Is a vessel of the United States; Service as, used when computing the (2) Operates on the navigable waters required service for MODU endorse- of the United States; or ments, means the time period, in days, (3) Transfers oil or hazardous mate- a person is assigned to work on rial in a port or place subject to the ju- MODUs, excluding time spent ashore as risdiction of the United States. part of crew rotation. A day is a min- Tankerman assistant means a person imum of four hours, and no additional holding a valid ‘‘Tankerman-Assist- credit is received for periods served ant’’ endorsement to his or her mer- over eight hours. chant mariner credential. Simulated transfer means a transfer Tankerman engineer means a person practiced in a course meeting the re- holding a valid ‘‘Tankerman-Engineer’’ quirements of § 13.121 of this chapter endorsement to his or her merchant that uses simulation supplying part of mariner credential. the service on transfers required for Tankerman PIC means a person hold- tankerman by § 13.203 or 13.303 of this ing a valid ‘‘Tankerman-PIC’’ endorse- chapter. ment on his or her merchant mariner Staff officer means a person who holds credential. an MMC with an officer endorsement Tankerman PIC (Barge) means a per- listed in § 10.109(a)(31). son holding a valid ‘‘Tankerman-PIC Standard of competence means the (Barge)’’ endorsement to his or her level of proficiency to be achieved for merchant mariner credential. the proper performance of duties on- Tankship means any tank vessel con- board vessels according to national and structed or adapted primarily to carry international criteria. oil or hazardous material in bulk as Steward’s department means the de- cargo or as cargo residue and propelled partment that includes entertainment by power or sail. personnel and all service personnel, in- Transfer means any movement of cluding wait staff, housekeeping staff, dangerous liquid or liquefied gas as and galley workers, as defined in the cargo in bulk or as cargo residue to, vessel security plan approved by the from, or within a vessel by means of Secretary under 46 U.S.C. 70103(c). pumping, gravitation, or displacement. These personnel may also be referred Section 13.127 of this chapter describes to as members of the hotel department what qualifies as participation in a on a large passenger vessel. creditable transfer. STCW means the International Con- Transportation Worker Identification vention on Standards of Training, Cer- Credential or TWIC means an identifica- tification and Watchkeeping for Sea- tion credential issued by the Transpor- farers, 1978, as amended 1995 (incor- tation Security Administration under porated by reference in § 10.103). 49 CFR part 1572. STCW Code means the Seafarer’s Underway means that a vessel is not Training, Certification and at anchor, made fast to the shore, or Watchkeeping Code, as amended 1995 aground. When referring to a mobile (incorporated by reference in § 10.103). offshore drilling unit (MODU), under- STCW endorsement means an annota- way means that the MODU is not in an tion on a merchant mariner credential on-location or laid-up status and in- that allows a mariner to serve in those cludes that period of time when the capacities under § 10.109(d). The STCW MODU is deploying or recovering its endorsement serves as evidence that a mooring system.

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Undocumented vessel means a vessel (10) Barge supervisor (BS); not required to have a certificate of (11) Ballast control operator (BCO); documentation issued under the laws of (12) Operator of uninspected pas- the United States. senger vessels (OUPV); Upper level is used as a category of (13) Master of uninspected fishing in- deck and engineer officer endorsements dustry vessels; established for assessment of fees. (14) Mate of uninspected fishing in- Upper-level endorsements are those for dustry vessels; which the requirements are listed in (15) Master of offshore supply vessels; §§ 11.404 to 11.407 of this subchapter and (16) Chief mate of offshore supply §§ 11.510, 11.512, 11.514, and 11.516 of this vessels; subchapter. (17) Mate of offshore supply vessels; Vessel Security Officer (VSO) means a (18) Chief engineer; person onboard the vessel accountable (19) Chief engineer (limited); to the Master, designated by the Com- (20) Chief engineer (limited-ocean); pany as responsible for security of the (21) Chief engineer (limited-near- vessel, including implementation and coastal); maintenance of the Vessels Security (22) First assistant engineer; Plan, and for liaison with the Facility (23) Second assistant engineer; Security Officer and the vessel’s Com- (24) Third assistant engineer; pany Security Officer. (25) Assistant engineer (limited); Western rivers means the Mississippi (26) Designated duty engineer (DDE); River, its tributaries, South Pass, and (27) Chief engineer offshore supply Southwest Pass, to the navigational vessel; demarcation lines dividing the high (28) Engineer offshore supply vessel; seas from harbors, rivers, and other in- (29) Chief engineer MODU; land waters of the United States, and (30) Assistant engineer MODU; the Port Allen-Morgan City Alternate (31) Chief engineer uninspected fish- Route, and that part of the ing industry vessels; Atchafalaya River above its junction (32) Assistant engineer uninspected with the Port Allen-Morgan City Alter- fishing industry vessels; nate Route including the Old River and (33) Radio officer; the Red River, and those waters speci- (34) First class pilot fied in 33 CFR 89.25. (35) Chief purser; Year means 360 days for the purpose (36) Purser; of complying with the service require- (37) Senior assistant purser; ments of this subchapter. (38) Junior assistant purser; (39) Medical doctor; § 10.109 Classification of endorse- (40) Professional nurse; ments. (41) Marine physician assistant; (a) The following officer endorse- (42) Hospital corpsman; and ments are established in part 11 of this (43) Radar observer. subchapter. The endorsements indicate (b) The following rating endorse- that an individual holding a valid MMC ments are established in part 12 of this with this endorsement is qualified to subchapter. The endorsements indicate serve in that capacity and the endorse- that an individual holding a valid MMC ment has been issued under the re- with this endorsement is qualified to quirements contained in part 11 of this serve in that capacity and the endorse- subchapter: ment has been issued under the re- (1) Master; quirements contained in part 12 of this (2) Chief mate; subchapter: (3) Second mate; (1) Able seaman: (4) Third mate; (i) Any waters, unlimited; (5) Mate; (ii) Limited; (6) Master of towing vessel; (iii) Special; and (7) Mate (pilot) of towing vessel; (iv) Special (OSV). (8) Apprentice mate (Steersman); (2) Ordinary seaman. (9) Offshore installation manager (3) Qualified member of the engine (OIM); department (QMED):

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(i) Refrigerating engineer; perform duties in a periodically un- (ii) Oiler; manned engineroom (RFPEW). (iii) Deck engineer; (9) Proficiency in survival craft and (iv) Fireman/Watertender; rescue boats other than fast rescue (v) Junior engineer; boats (PSC). (vi) Electrician; (10) Proficiency in fast rescue boats. (vii) Machinist; (11) Person in charge of medical care. (viii) Pumpman; (12) Medical first aid provider. (ix) Deck engine mechanic; and (13) GMDSS at-sea maintainer. (x) Engineman. (14) GMDSS operator. (4) Lifeboatman. (15) Tankerman PIC. (5) Wiper. (16) Tankerman assistant. (6) Steward’s department (17) Tankerman engineer. (7) Steward’s department (F.H.). [USCG–2006–24371, 74 FR 11216, Mar. 16, 2009, (8) Cadet. as amended by USCG–2006–24371, 74 FR 39218, (9) Student observer. Aug. 6, 2009] (10) Apprentice engineer. (11) Apprentice mate. (c) The following ratings are estab- Subpart B—General Requirements lished in part 13 of this subchapter. The for All Merchant Mariner Cre- endorsements indicate that an indi- dentials vidual holding a valid MMC with this endorsement is qualified to serve in § 10.201 General characteristics of the merchant mariner credential. that capacity and the endorsement has been issued under the requirements (a) A merchant mariner credential contained in part 13 of this subchapter: (MMC) (Coast Guard Form CG–4610), is (1) Tankerman PIC. a credential combining the elements of (2) Tankerman PIC (Barge). the merchant mariner’s document (3) Restricted tankerman PIC. (MMD), merchant mariner’s license (li- (4) Restricted tankerman PIC cense), and certificate of registry (Barge). (COR) enumerated in 46 U.S.C. subtitle (5) Tankerman assistant. II part E as well as the STCW endorse- (6) Tankerman engineer. ment issued pursuant to the STCW (d) The following STCW endorse- Convention and STCW Code incor- ments are established by STCW and porated by reference in § 10.103. MMDs, issued according to the STCW Code, licenses, STCW endorsements and STCW Convention and parts 11 and 12 CORs are no longer issued as separate of this subchapter. The endorsements documents and all qualifications for- indicate that an individual holding a merly entered on those separate docu- valid MMC with this endorsement is ments appear in the form of an en- qualified to serve in that capacity and dorsement(s) on an MMC. the endorsement has been issued under (b) An MMC authorizes the holder to the requirements contained in parts 11 serve in any capacity endorsed thereon, or 12 of this subchapter as well as the or in any lower capacity in the same STCW Code and STCW Convention (in- department, or in any capacity covered corporated by reference see § 10.103): by a general endorsement. (1) Master. (c) An MMC may be issued to quali- (2) Chief mate. fied applicants by the National Mari- (3) Officer in charge of a navigational time Center or at any Regional Exam- watch (OICNW). ination Center during usual business (4) Chief engineer. hours, or through the mail. (5) Second engineer officer. (6) Officer in charge of an engineering § 10.203 Requirement to hold a TWIC watch in a manned engineroom or des- and a merchant mariner credential. ignated duty engineer in a periodically (a) Any mariner required to hold a li- unmanned engineroom (OICEW). cense, MMD, COR, and/or an STCW en- (7) Rating forming part of a naviga- dorsement by a regulation in 33 CFR tional watch (RFPNW). chapter I or 46 CFR chapter I must hold (8) Rating forming part of a watch in an MMC. A mariner may continue to a manned engineroom or designated to serve under the authority of and within

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any restriction on their license, MMD, capacity in the same department, or in COR, and/or STCW endorsement until any capacity covered by a general en- the first renewal or upgrade of that dorsement thereon. credential, but not later than April 15, (h) If a mariner chooses to renew his 2014. or her license, MMD, COR, or STCW en- (b) Failure to obtain or hold a valid dorsement and receive their first MMC, TWIC serves as a basis for the denial of the Coast Guard may also renew all an application for an original, renewal, other credentials for which the mariner new endorsement, duplicate, or raise of is qualified. grade of a mariner’s credential and may serve as a basis for suspension and § 10.207 Identification number. revocation under 46 U.S.C. 7702 and 7703. For recordkeeping purposes only, a (c) An MMC, license, MMD, COR, or mariner’s official MMC identification STCW endorsement must be retained number is the individual’s social secu- by the mariner to whom it was issued rity number. However, a unique serial and, while valid, must be produced to number, and not the social security verify qualifications when requested by number, will appear on the credential. an authorized official as identified in 33 CFR 101.515(d). Posting of the officer § 10.209 General application proce- endorsement may be necessary as re- dures. quired in 46 U.S.C. 7110. (a) The applicant for an MMC, wheth- (d) Although an MMD and an MMC er original, renewal, duplicate, raise of serve as certificates of identification, a grade, or a new endorsement on a pre- TWIC must be retained by the mariner viously issued MMC, must establish to to whom it was issued and, while valid, the Coast Guard that he or she satisfies serves as the mariner’s primary identi- all the requirements for the MMC and fication document. The TWIC must be endorsement(s) sought before the Coast produced to verify identity when re- Guard will issue the MMC. This section quired by an authorized official as contains the general requirements for identified in 33 CFR 101.515(d). all applicants. Additional requirements § 10.205 Validity of a merchant mar- for duplicates, renewals, new endorse- iner credential. ments, and raises of grade appear later (a) An MMC is valid for a term of five in this part. years from the date of issuance. (b) The Coast Guard may refuse to (b) All endorsements are valid until process an incomplete MMC applica- the expiration date of the MMC on tion. The requirements for a complete which they appear. application for an original MMC are (c) A mariner may not serve under contained in § 10.225, the requirements the authority of an MMC past its expi- for a renewal MMC application are in ration date. An expired MMC may be § 10.227, the requirements for a dupli- renewed during an administrative cate MMC application are contained in grace period of up to one year beyond § 10.229, and the requirements for an ap- its expiration date as per § 10.227(f) of plication for a new endorsement or this part. raise of grade are contained in § 10.231. (d) When an MMC is renewed or re- (c) Applications are valid for 12 issued before its expiration date in ac- months from the date that the Coast cordance with § 10.227, the MMC that Guard approves the application. has been replaced becomes invalid. (d) The portions of the application (e) An MMC is not valid until signed that may be submitted by mail, fax, or by the applicant and a duly authorized other electronic means may include: Coast Guard official. (f) A mariner’s STCW endorsement is (1) The application, consent for NDR valid only when the related officer or check, and notarized oath on Coast rating endorsement is valid. Guard-furnished forms, and the evalua- (g) A mariner’s endorsements author- tion fee required by § 10.219 of this part; ize the holder to serve in any capacity endorsed on the MMC, or in any lower

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(2) The applicant’s continuous dis- (i) Beginning on April 15, 2009, no MMC charge book, certificate of identifica- or endorsement will be issued until the tion, MMD, MMC, license, STCW en- Coast Guard receives the following in- dorsement, COR, or, if it has not ex- formation from the applicant’s TWIC pired, a photocopy of the credential, in- application: the applicant’s finger- cluding the back and all attachments; prints, FBI number and criminal record (3) Proof, documented on a form pro- (if applicable), photograph, proof of vided by the Coast Guard, that the ap- United States citizenship, or Nation- plicant passed the applicable vision, ality with proof of legal resident status hearing, medical or physical exam as (if applicable). If the information is not required by § 10.215 of this part; available from TSA, the mariner may (4) If the applicant desires a creden- be required to visit a Regional Exam tial with a radar-observer endorsement Center to provide this information. in accordance with § 11.480 of this chap- (ii) Until April 15, 2009, no applica- ter, either the radar-observer certifi- tion for an MMC or endorsement will cate or a certified copy; be considered complete until the appli- (5) Evidence of, or acceptable sub- cant appears at a Regional Exam Cen- stitute for, sea service, if required; ter to provide the following informa- (6) For an endorsement as a medical tion: the applicant’s fingerprints, pho- doctor or professional nurse as required tograph, proof of United States citizen- in § 11.807, evidence that the applicant ship, or Nationality with proof of legal holds a currently valid, appropriate li- resident status (if applicable). cense as physician, surgeon, or reg- (f) Upon determining that the appli- istered nurse, issued under the author- cant satisfactorily meets all require- ity of a state or territory of the United ments for an MMC or an endorsement States, the Commonwealth of Puerto thereon, the Coast Guard will issue the Rico, or the District of Columbia. Any properly endorsed MMC to the appli- MMC issued will retain any limitation cant. Beginning April 15, 2009, the associated with the medical license; Coast Guard will not issue an MMC (7) Any certificates or other supple- until it has received proof that the mentary materials required to show mariner holds a valid TWIC. that the mariner meets the mandatory requirements for the specific endorse- (g) When a new MMC is issued, the ment sought, as established in parts 11, mariner must return the previously 12 or 13 of this chapter; and issued MMC, license, MMD, COR, or (8) An open-book exercise, in accord- STCW endorsement to the Coast ance with § 10.227(d)(8)(i) of this part. Guard, unless the new MMC is being (e) The following requirements must issued to replace a lost or stolen cre- be satisfied before an original or re- dential. Upon written request at the newal MMC, or new endorsement or a time of application, the cancelled, pre- raise of grade added to a previously viously issued credential(s) will be reissued MMC, will be issued. These ma- turned to the applicant. terials will be added to the individual’s (h) Unless otherwise stated in this record by the Coast Guard: Part, an applicant who fails a chemical (1) Determination of safety and suit- test for dangerous drugs will not be ability. No MMC will be issued as an issued an MMC. original or reissued with a new expiration date, and no new officer endorse- § 10.211 Criminal record review. ment will be issued if the applicant (a) The Coast Guard may conduct a fails the criminal record review as set criminal record review to determine forth in § 10.211 of this part; the safety and suitability of an appli- (2) NDR review. No MMC will be cant for an MMC and any endorse- issued as an original or reissued with a ments. An applicant conducting simul- new expiration date, and no new officer taneous MMC transactions will under- endorsement will be issued until the go a single criminal record review. At applicant has passed an NDR review as the time of application, each applicant set forth in § 10.213 of this part; and must provide written disclosure of all (3) Information supplied by the Trans- convictions not previously disclosed to portation Security Administration (TSA). the Coast Guard on an application.

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(b) A criminal record review is not foreign country, by any military or ci- required for applicants seeking a dupli- vilian court, is eligible for an MMC, ex- cate MMC under § 10.229. cept as provided elsewhere in this sec- (c) Fingerprints. Beginning April 15, tion. No person who has ever been the 2009, the Transportation Security Ad- user of, or addicted to the use of a dan- ministration (TSA) will provide to the gerous drug, or has ever been convicted Coast Guard the applicant’s finger- of an offense described in section 205 of prints submitted by the applicant with the National Driver Register Act of his or her TWIC application and, if ap- 1982, as amended (49 U.S.C. 30304) be- plicable, the applicant’s FBI number cause of addiction to or abuse of alco- and criminal record generated in the hol is eligible for an MMC, unless he or TWIC review process. This information, she furnishes satisfactory evidence of or the fingerprints taken by the Coast suitability for service in the merchant Guard at an REC, will be used by the marine as provided in paragraph (l) of Coast Guard to determine whether the this section. A conviction for a drug of- applicant has a record of any criminal fense more than 10 years before the convictions. date of application will not alone be (d) When a criminal record review grounds for denial. leads the Coast Guard to determine that an applicant is not a safe and suit- (g) The Coast Guard will use table able person or cannot be entrusted 10.211(g) to evaluate applicants who with the duties and responsibilities of have criminal convictions. The table the MMC or endorsement applied for, lists major categories of criminal ac- the application may be disapproved. tivity and is not to be construed as an (e) If an application is disapproved, all-inclusive list. If an applicant is con- the applicant will be notified in writ- victed of an offense that does not ap- ing of that fact, the reason or reasons pear on the list, the Coast Guard will for disapproval, and advised that the establish an appropriate assessment pe- appeal procedures in subpart 1.03 of riod using the list as a guide. The as- part 1 of this chapter apply. No exam- sessment period commences when an ination will be given pending decision applicant is no longer incarcerated. on appeal. The applicant must establish proof of (f) No person who has been convicted the time incarcerated and periods of of a violation of the dangerous drug probation and parole to the satisfac- laws of the United States, the District tion of the Coast Guard. The assess- of Columbia, any State, territory, or ment period may include supervised or possession of the United States, or a unsupervised probation or parole.

TABLE 10.211(g)—GUIDELINES FOR EVALUATING APPLICANTS FOR MMCS WHO HAVE CRIMINAL CONVICTIONS

Assessment periods Crime 1 Minimum Maximum

Assessment Periods for Officer and Rating Endorsements

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

Vehicular Crimes

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

Crimes Against Public Safety

Destruction of Property ...... 5 years ...... 10 years.

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TABLE 10.211(g)—GUIDELINES FOR EVALUATING APPLICANTS FOR MMCS WHO HAVE CRIMINAL CONVICTIONS—Continued

Assessment periods Crime 1 Minimum Maximum

Other crimes against public safety 2

Dangerous Drug Offenses 345

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

Assessment Periods for Officer Endorsements Only

Criminal Violations of Environmental Laws

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

Crimes Against Property

Burglary ...... 3 years ...... 10 years. Larceny (embezzlement) ...... 3 years ...... 5 years. Other crimes against property 2 1 Conviction of attempts, solicitations, aiding and abetting, accessory after the fact, and conspiracies to commit the criminal conduct listed in this table carry the same minimum and maximum assessment periods provided in the table. 2 Other crimes will be reviewed by the Coast Guard to determine the minimum and maximum assessment periods depending on the nature of the crime. 3 Applicable to original applications only. Any applicant who has ever been the user of, or addicted to the use of, a dangerous drug shall meet the requirements of paragraph (f) of this section. Note: Applicants for reissue of an MMC with a new expiration date including a renewal or additional endorsement(s), who have been convicted of a dangerous drug offense while holding a license, MMC, MMD, STCW endorsement or COR, may have their application withheld until appropriate action has been completed by the Coast Guard under the regulations which appear in 46 CFR part 5 governing the administrative actions against merchant mariner credentials. 4 The Coast Guard may consider dangerous drug convictions more than 10 years old only if there has been another dangerous drug conviction within the past 10 years. 5 Applicants must demonstrate rehabilitation under paragraph (l) of this section, including applicants with dangerous drug use convictions more than 10 years old. 6 Other dangerous drug convictions will be reviewed by the Coast Guard on a case by case basis to determine the appropriate assessment period depending on the nature of the offense.

(h) When an applicant has convic- and/or endorsement in less than the tions for more than one offense, the listed minimum assessment period if minimum assessment period will be the the Coast Guard is satisfied that the longest minimum in table 10.211(g) and applicant is suitable to hold the MMC table 10.213(c) in § 10.213 based upon the and/or endorsement for which he or she applicant’s convictions; the maximum has applied. If an application filed be- assessment period will be the longest fore the minimum assessment period shown in table 10.211(g) and table has elapsed does not include evidence 10.213(c) of § 10.213 based upon the appli- of suitability for service in the mer- cant’s convictions. chant marine, then the application will (i) If a person with a criminal convic- be considered incomplete and will not tion applies before the minimum as- be processed by the Coast Guard. sessment period shown in table 10.211(g) or established by the Coast (j) If a person with a criminal convic- Guard under paragraph (g) of this section submits their MMC application tion has elapsed, then the applicant during the time between the minimum must provide, as part of the application and maximum assessment periods package, evidence of suitability for shown in table 10.211(g) or established service in the merchant marine. Fac- by the Coast Guard under paragraph (g) tors that are evidence of suitability for of this section, then the Coast Guard service in the merchant marine are will consider the conviction and, unless listed in paragraph (l) of this section. there are offsetting factors, will grant The Coast Guard will consider the ap- the applicant the MMC and/or endorse- plicant’s evidence submitted with the ment for which he or she has applied. application and may issue the MMC Offsetting factors include such factors

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as multiple convictions, failure to com- (3) Character references from persons ply with court orders (e.g., child sup- who can attest to the applicant’s sobri- port orders), previous failures at reha- ety, reliability, and suitability for em- bilitation or reform, inability to main- ployment in the merchant marine in- tain steady employment, or any con- cluding parole or probation officers; nection between the crime and the safe (4) Steady employment; and operation of a vessel. If the Coast (5) Successful completion of all con- Guard considers the applicant unsuit- ditions of parole or probation. able for service in the merchant marine at the time of application, the [USCG–2006–24371, 74 FR 11216, Mar. 16, 2009, Coast Guard may disapprove the appli- as amended by USCG–2006–24371, 74 FR 39218, cation. Aug. 6, 2009] (k) If a person with a criminal conviction submits their MMC application § 10.213 National Driver Register. after the maximum assessment period (a) No MMC will be issued as an origi- shown in table 10.211(g) or established nal or reissued with a new expiration by the Coast Guard under paragraph (g) date, and no new officer endorsement of this section has elapsed, then the will be issued, unless the applicant con- Coast Guard will grant the applicant sents to a check of the NDR for of- the MMC or endorsement for which he fenses described in section 205(a)(3)(A) or she has applied unless the Coast or (B) of the NDR Act (i.e., operation of Guard considers the applicant still un- a motor vehicle while under the influ- suitable for service in the merchant ence of, or impaired by, alcohol or a marine. If the Coast Guard disapproves an applicant with a conviction older controlled substance; and any traffic than the maximum assessment period violations arising in connection with a listed in table 10.211(g), the Coast fatal traffic accident, reckless driving, Guard will notify the applicant in writ- or racing on the highways). ing of the reason(s) for the disapproval. (b) The Coast Guard will not consider The Coast Guard will also inform the NDR-listed civil convictions that are applicant, in writing, that the recon- more than three years old from the sideration and appeal procedures con- date of request unless that information tained in subpart 1.03 of this chapter relates to a current suspension or rev- apply. ocation of the applicant’s license to op- (l) If an applicant has one or more al- erate a motor vehicle. The Coast Guard cohol or dangerous drug related crimi- may determine minimum and max- nal or NDR-listed convictions, if the imum assessment periods for NDR-list- applicant has ever been the user of, or ed criminal convictions using table addicted to the use of, a dangerous 10.213(c). An applicant conducting si- drug, or if the applicant applies before multaneous MMC transactions is sub- the minimum assessment period has ject to only one NDR check. elapsed for his or her conviction, the (c) The guidelines in table 10.213(c) Coast Guard may consider the fol- will be used by the Coast Guard in lowing factors, as applicable, in assessing the applicant’s suitability to hold evaluating applicants who have drug or an MMC. This list is intended as a alcohol related NDR-listed convictions. guide for the Coast Guard. The Coast Non-drug or alcohol related NDR-listed Guard may consider other factors ap- convictions will be evaluated by the propriate to a particular applicant, Coast Guard under table 10.211(g) of such as: § 10.211 as applicable. The Coast Guard (1) Proof of completion of an accred- will consider non-drug or alcohol re- ited alcohol or drug abuse rehabilita- lated NDR-listed convictions that are tion program; more than three years old from the (2) Active membership in a rehabili- date of the request when the informa- tation or counseling group, such as Al- tion relates to a current suspension or coholics Anonymous or Narcotics revocation of the applicant’s license to Anonymous; operate a motor vehicle.

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

Number of convictions Date of conviction Assessment period

1 ...... Less than 1 year ...... 1 year from date of conviction. 1 ...... More than 1, less than 3 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 (f) of this section. 2 Suspension or revocation, when referred to in table 10.213, means a State suspension or revocation of a motor vehicle operator’s license.

(d) Any application may be dis- an MMC. This list is intended as a approved if information from the NDR guide for the Coast Guard. The Coast check leads the Coast Guard to deter- Guard may consider other factors, mine that the applicant cannot be en- which it judges appropriate to a par- trusted with the duties and responsibil- ticular applicant, such as: ities of the MMC or endorsement for (1) Proof of completion of an accred- which the application is made. If an ap- ited alcohol or drug abuse rehabilita- plication is disapproved, the Coast tion program; Guard will notify the applicant in writ- (2) Active membership in a rehabili- ing of the reason(s) for disapproval and tation or counseling group, such as Al- advise the applicant that the appeal coholics Anonymous or Narcotics procedures in subpart 1.03 of part 1 of Anonymous; this chapter apply. No examination (3) Character references from persons will be given pending decision on ap- who can attest to the applicant’s sobri- peal. ety, reliability, and suitability for em- (e) Before disapproving an applica- ployment in the merchant marine in- tion because of information received cluding parole or probation officers; from the NDR, the Coast Guard will (4) Steady employment; and make the information available to the (5) Successful completion of all con- applicant for review and written com- ditions of parole or probation. ment. The applicant may submit [USCG–2006–24371, 74 FR 11216, Mar. 16, 2009, records from the applicable State con- as amended by USCG–2006–24371, 74 FR 39218, cerning driving record and convictions Aug. 6, 2009] to the Coast Guard REC processing the application. The REC will hold an ap- § 10.214 Security Check. plication with NDR-listed convictions Until April 15, 2009, the Coast Guard pending the completion of the evalua- may conduct a security check on an tion and delivery by the individual of applicant for an MMC, utilizing the the underlying State records. criminal record review discussed in (f) If an applicant has one or more al- § 10.211 of this part. cohol or dangerous drug related criminal or NDR-listed convictions, if the § 10.215 Medical and physical require- applicant has ever been the user of, or ments. addicted to the use of, a dangerous (a) Medical and Physical Exams. To drug, or if the applicant applies before qualify for an MMC an applicant must the minimum assessment period for his meet the medical and physical stand- or her conviction has elapsed, the ards in this section. Columns 2 through Coast Guard may consider the fol- 5 of table 10.215(a) provide the specific lowing factors, as applicable, in assess- exam, test, or demonstrations required ing the applicant’s suitability to hold to obtain the corresponding credential

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listed in column 1. Further clarifica- on vessels and tank barges of 1,600 GRT tions of the requirements contained in or more must satisfactorily complete the table are found throughout this annual medical exams and, unless ex- section. Any required test, exam, or empt per 46 CFR 16.220, pass annual demonstration must have been per- chemical tests for dangerous drugs and formed, witnessed, or reviewed by a li- submit the results to the Coast Guard. censed medical doctor, licensed physi- (2) Medical exams for Great Lakes cian assistant, or licensed nurse practi- Pilots must be conducted by a licensed tioner. medical doctor in accordance with the (1) First-class pilots, and those serv- physical exam requirements in 46 CFR ing as pilots under § 15.812 of this part, 402.210.

TABLE 10.215(a)—MEDICAL AND PHYSICAL REQUIREMENTS FOR MARINER ENDORSEMENTS

Demonstration Credential Vision test Hearing test General med- of physical ical exam ability

(i) Deck officer, including pilot ...... § 10.215(b)(1) § 10.215(c) § 10.215(d)(1) § 10.215(e)(1) (ii) Engineering officer ...... § 10.215(b)(2) § 10.215(c) § 10.215(d)(1) § 10.215(e)(1) (iv) Radio officer ...... § 10.215(b)(2) § 10.215(c) § 10.215(d)(1) § 10.215(e)(1) (v) Offshore installation manager, barge supervisor, or bal- § 10.215(b)(2) § 10.215(c) § 10.215(d)(1) § 10.215(e)(1) last control operator. (vi) Able seaman ...... § 10.215(b)(1) § 10.215(c) § 10.215(d)(1) § 10.215(e)(1) (vii) QMED...... § 10.215(b)(2) § 10.215(c) § 10.215(d)(1) § 10.215(e)(1) (viii) RFPNW...... § 10.215(b)(1) § 10.215(c) § 10.215(d)(1) § 10.215(e)(1) (ix) RFPEW...... § 10.215(b)(2) § 10.215(c) § 10.215(d)(1) § 10.215(e)(1) (x) Tankerman...... § 10.215(b)(2) § 10.215(c) § 10.215(d)(1) § 10.215(e)(1) (xi) Food handler serving on vessels to which STCW does § 10.215(d)(2) not apply. (xii) Food handler serving on vessels to which STCW ap- § 10.215(d)(2) § 10.215(e)(1) plies. (xiii) Ratings, including entry level, serving on vessels to § 10.215(e)(2) which STCW applies, other than those listed above.

(b) Vision Test—(1) Deck Standard. An (2) Engineering, radio operator, applicant must have correctable vision tankerman, and MODU standard. An to at least 20/40 in one eye and uncor- applicant must have correctable vision rected vision of at least 20/200 in the of at least 20/50 in one eye and uncor- same eye. An applicant having lost vi- rected vision of at least 20/200 in the sion in one eye must wait six months same eye and need only have the abil- before application and provide a state- ity to distinguish the colors red, green, ment of demonstrated ability on his or blue and yellow. her medical examination. The color (3) Any applicant whose uncorrected sense must be determined to be satis- vision does not meet the standards list- factory when tested by any of the fol- ed above, and is granted a waiver in ac- lowing methods or an alternative test cordance with paragraph (g) of this sec- approved by the Coast Guard, without tion, may not serve under the author- the use of color-sensing lenses: ity of the endorsement unless correc- (i) Pseudoisochromatic Plates tive lenses are worn and spare lenses (Dvorine, 2nd Edition; AOC; revised are carried onboard a vessel. edition or AOC–HRR; Ishihara 14-, 24-, (c) Hearing test. If the medical practi- or 38-plate editions). tioner conducting the general medical (ii) Eldridge-Green Color Perception exam has concerns that an applicant’s Lantern. ability to hear may impact maritime (iii) Farnsworth Lantern. safety, the examining medical practi- (iv) Keystone Orthoscope. tioner, if not qualified to conduct the (v) Keystone Telebinocular. appropriate examinations, must refer (vi) SAMCTT (School of Aviation the applicant to an audiologist or other Medicine Color Threshold Tester). hearing specialist to conduct an audi- (vii) Titmus Optical Vision Tester. ometer test and/or a speech discrimina- (viii) Williams Lantern. tion test, as appropriate.

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(1) The audiometer test should in- ity, the examiner must be satisfied clude testing at the following thresh- that the applicant: olds: 500 Hz; 1,000 Hz; 2,000 Hz; and 3,000 (i) Has no disturbance in the sense of Hz. The frequency responses for each balance; ear should be averaged to determine (ii) Is able, without assistance, to the measure of an applicant’s hearing climb up and down vertical ladders and ability. Applicants must demonstrate inclined stairs; an unaided threshold of 20 decibels or (iii) Would be able, without assist- less in each ear. ance, to step over a door sill or coa- (2) The functional speech discrimina- ming; tion test should be carried out at a (iv) Would be able to grasp, lift, and level of 55 decibels. For issuance of an manipulate various common shipboard original MMC or endorsement the ap- tools; move hands and arms to open plicant must demonstrate functional and close valve wheels in vertical and speech discrimination of at least 90%. horizontal directions, and rotate wrists For renewal or raise of grade, the ap- to turn handles; plicant must demonstrate functional speech discrimination of at least 80%. (v) Does not have any impairment or An applicant who is unable to meet the disease that could prevent normal standards of the audiometer test, but movement and physical activities; who can pass the functional speech dis- (vi) Is able to stand and walk for ex- crimination test, may be eligible for a tended periods; medical waiver in accordance with (vii) Does not have any impairment paragraph (g) of this section. or disease that could prevent response (d) General medical exam. (1) This to a visual or audible alarm; and exam must be documented and of such (viii) Is capable of normal conversa- scope to ensure that there are no con- tion. ditions that pose an inordinate risk of (f) Reports of medical and physical sudden incapacitation or debilitating exams, demonstrations, and tests. These complication. This exam must also reports must be submitted within 12 document any condition requiring months from the date signed by the li- medication that impairs judgment or censed medical professional. When sub- reaction time. Examples of physical mitted with a complete application impairment or medical conditions that package these reports remain valid for could lead to disqualification include, 12 months from the date of the applica- but are not limited to, poorly con- tion approval. trolled diabetes, myocardial infarc- (g) Medical waivers. Where an appli- tions, psychiatric disorders, and con- cant does not possess the vision, hear- vulsive disorders. ing, or general physical condition nec- (2) Food handlers are not required to essary, the Coast Guard, after con- submit to a general medical exam, but sultation with the examining licensed must obtain a statement from a li- physician, licensed physician assistant, censed physician, physician assistant, or licensed nurse practitioner may or nurse practitioner attesting that grant a waiver if extenuating cir- they are free of communicable dis- cumstances warrant special consider- eases. ation. An applicant may submit to the (e) Demonstration of physical ability. Coast Guard additional correspond- (1) A demonstration of physical ability ence, records, and reports in support of is required only if the medical practi- a waiver. In this regard, recommenda- tioner conducting the general medical tions from agencies of the Federal Gov- exam is concerned that an applicant’s ernment operating government vessels, physical ability may impact maritime as well as owners and operators of pri- safety or if table 10.215(a) shows that vate vessels, made on behalf of their the mariner must pass a demonstration employees, will be given full consider- of physical ability, but he or she is not ation. Waivers are not normally grant- required to pass a general medical ed to an applicant whose corrected vi- exam. sion in the better eye is not at least 20/ (2) For an applicant to satisfactorily 40 for deck officers or 20/50 for engineer pass a demonstration of physical abil- officers.

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(h) Individuals holding only a staff Details will instruct the recipient of officer endorsement need not meet the each temporary permit to present it to medical and physical requirements of the OCMI, upon arrival in the first port this section. in the United States in order to ex- change it for a permanent credential. [USCG–2006–24371, 74 FR 11216, Mar. 16, 2009, as amended by USCG–2010–0759, 75 FR 60001, (2) The temporary permit must be ac- Sept. 29, 2010] cepted by the OCMI as proof that the bearer has complied with the rules and § 10.217 Merchant mariner credential regulations governing the issuance of application and examination loca- credentials, except as noted in the body tions. of the temporary permit. The require- (a) Applicants may apply to any of ments noted in the exceptions will be the Regional Examination Centers. Ap- complied with as in the case of other plicants may contact the National applicants. Maritime Center at 100 Forbes Drive, (3) The written examinations are for- Martinsburg, WV 25404, or by telephone warded to the National Maritime Cen- 1–888–427–5662 or 304–433–3400. A list of ter by Merchant Marine Details. When Regional Examination Center locations an applicant with a temporary permit is available through the Coast Guard appears before an OCMI, that OCMI Web site at http://www.uscg.mil/stcw. may request and obtain the examina- (b) Coast Guard-designated facilities. tion from the National Maritime Cen- The Coast Guard may designate addi- ter. Any OCMI who doubts the pro- tional locations to provide services to priety of issuing a permanent creden- applicants for MMCs. tial instead of a temporary permit (c) Exam Locations Abroad. (1) Coast which has been issued by an overseas Guard Merchant Marine Details abroad Merchant Marine Detail must inform may conduct exams for ratings at loca- the National Maritime Center fully as tions other than the RECs, but are not to the circumstances. prepared to conduct the physical examination where required. Merchant Ma- § 10.219 Fees. rine Details may not issue regular rat- (a) Use table 10.219(a) of this section ing endorsements, but temporary per- to calculate the mandatory fees for mits in lieu thereof. Merchant Marine MMCs and associated endorsements.

TABLE 10.219(a) FEES

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

MMC with officer endorsement: Original:. Upper level ...... $100 ...... $110 ...... $45 Lower level ...... 100 ...... 95 ...... 45 Renewal ...... 50 ...... 45 ...... 45 Raise of grade ...... 100 ...... 45 ...... 45 Modification or removal of limitation or scope ...... 50 ...... 45 ...... 45 Radio officer endorsement: Original ...... 50 ...... 45 ...... 45 Renewal ...... 50 ...... n/a ...... 45 Staff officer endorsements: Original ...... 90 ...... n/a ...... 45 Renewal ...... 50 ...... n/a ...... 45 MMC with rating endorsement: Original endorsement for ratings other than qualified ratings ...... 95 ...... n/a ...... 45 Original endorsement for qualified rating ...... 95 ...... 140 ...... 45 Upgrade or Raise of Grade ...... 95 ...... 140 ...... 45 Renewal endorsement for ratings other than qualified ratings ...... 50 ...... n/a ...... 45 Renewal endorsement for qualified rating ...... 50 ...... 45 ...... 45 STCW certification: Original ...... No fee ...... No fee ...... No fee Renewal ...... No fee ...... No fee ...... No fee Reissue, replacement, and duplicate ...... n/a ...... n/a ...... 1 $45 1 Duplicate for MMC lost as result of marine casualty—No Fee.

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(b) Fee payment procedures. Appli- will be charged. No evaluation fee is cants may pay: charged for an STCW endorsement. (1) All fees required by this section at (2) Examination fees. One examination the time the application is submitted; fee will be charged for each exam or se- or ries of exams for an original, raise of (2) A fee for each phase at the fol- grade, or renewal of an endorsement on lowing times: an MMC taken within one year from (i) An evaluation fee when the appli- the date of the application approval. cation is submitted. An examination fee will also be (ii) An examination fee before the charged to process an open-book exer- first examination section is taken. cise used to renew an MMC. If an offi- (iii) An issuance fee before receipt of cer endorsement examination under the MMC. part 11 of this chapter also fulfills the (c) If the examination is adminis- examination requirements in part 12 of tered at a place other than an REC, the this chapter for rating endorsements, examination fee must be paid to the only the fee for the officer endorse- REC at least one week before the ment examination is charged. scheduled examination date. (3) Issuance fees. Only one issuance (d) Unless the REC provides addi- fee will be charged for each MMC tional payment options, fees must be issued, regardless of the number of en- paid as follows: dorsements placed on the credential. (1) Fee payment(s) must be for the There is no fee for a Document of Con- exact amount. tinuity. (2) Payments may be made by cash, (f) The Coast Guard may assess addi- check, money order, or credit card. tional charges to anyone to recover (3) Payments submitted by mail may collection and enforcement costs asso- not be made in cash. Mailed payments ciated with delinquent payments, fail- should specify the type of credential ure to pay a fee, or returned checks. sought and the type of fee (e.g., evalua- The Coast Guard will not provide tion, examination, issuance) being credentialing services to a mariner who paid. The address for sending payment owes money for credentialing services by mail can be found at http:// previously provided. www.uscg.mil/stcw/ldcr-userfees.htm. (4) Checks or money orders are to be (g) Anyone who fails to pay a fee or made payable to the U.S. Coast Guard, charge established under this subpart and the full legal name and last four is liable to the United States Govern- digits of applicant’s security number ment for a civil penalty of not more must appear on the front of each check than $6,500 for each violation. or money order. (h) No-fee MMC for certain applicants. (5) Fee payment may be made by (1) For the purpose of this section, a electronic payment in a manner speci- no-fee MMC applicant is a person who fied by the Coast Guard. For informa- is a volunteer, or a part-time or full- tion regarding current forms of elec- time employee of an organization that tronic payment, go to http:// is: www.uscg.mil/stcw/ldcr-userfees.htm. (i) Charitable in nature; (e) Unless otherwise specified in this (ii) Not for profit; and part, when two or more endorsements (iii) Youth oriented. are processed on the same application: (2) Determination of eligibility. (i) An (1) Evaluation fees. If an applicant si- organization may submit a written re- multaneously applies for a rating en- quest to U.S. Coast Guard National dorsement and a deck or engineer offi- Maritime Center, 100 Forbes Drive, cer’s endorsement, only the evaluation Martinsburg, WV 25404, in order to be fee for the officer’s endorsement will be considered an eligible organization charged. If an applicant simulta- under the criteria set forth in para- neously applies for a staff officer or graph (h)(1) of this section. With the radio officer endorsement along with written request, the organization must the deck or engineer officer’s endorse- provide evidence of its status as a ment, only the evaluation fee for the youth-oriented, not-for-profit, chari- deck or engineer officer’s endorsement table organization.

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(ii) The following organizations are mitted to the Transportation Security accepted by the Coast Guard as meet- Administration (TSA) with the appli- ing the requirements of paragraph cant’s TWIC application in accordance (h)(1) of this section and need not sub- with 49 CFR 1572.17(a)(11). Until April mit evidence of their status: Boy 15, 2009, proof of citizenship or alien Scouts of America, Sea Explorer Asso- status must be submitted by appearing ciation, Girl Scouts of the United at a Regional Exam Center. States of America, and Young Men’s (c) TSA and the Coast Guard may re- Christian Association of the United ject any evidence of citizenship that is States of America. not believed to be authentic. Accept- (3) A letter from an organization de- able evidence of citizenship may be an termined eligible under paragraph original or a copy certified as true by (h)(2) of this section must also accom- the agency responsible for issuing the pany the person’s MMC application to document of the following: the Coast Guard. The letter must state that the purpose of the person’s appli- (1) If the individual is applying for an cation is solely to further the conduct officer endorsement (with the excep- of the organization’s maritime activi- tion of those applying for an MMC en- ties. The applicant then is eligible dorsed only as Operator of an under this section to obtain a no-fee Uninspected Passenger Vehicle (OUPV) MMC if other requirements for the of an undocumented vessel), the indi- MMC are met. vidual must provide an original of any (4) An MMC issued to a person under one of the following documents: this section is endorsed restricting its (i) Certified copy of a birth certifi- use to vessels owned or operated by the cate, issued by a State, county, mu- sponsoring organization. nicipality or outlying possession of the (5) The holder of a no-fee MMC issued U.S. bearing an official seal; under this section may have the re- (ii) U.S. passport (expired or unex- striction removed by paying the appro- pired); priate evaluation, examination, and (iii) Certificate of Citizenship issued issuance fees that would have other- by U.S. Citizenship and Immigration wise applied. Services or the Immigration and Natu- ralization Service; § 10.221 Citizenship. (iv) Certificate of Naturalization (a)(1) MMCs with officer Endorsements. issued by U.S. Citizenship and Immi- Only individuals with valid U.S. citi- gration Services or the Immigration zenship may apply for officer endorse- and Naturalization Service; or ments, except individuals applying for (v) Merchant mariner’s document endorsements as operators of issued by the Coast Guard after Feb- uninspected passenger vessels author- ruary 3, 2003, that shows that the hold- izing service on undocumented vessels er is a citizen of the United States. in accordance with § 11.201(d) of this (2) If the individual is applying for a part. rating endorsement and they hold one (2) All other MMCs. All other applicants, except as noted in § 12.40–11 of of the documents listed in paragraph this subchapter, must be either: (c)(1)(i) through (v) of this section, (i) A citizen of the United States; these documents are also acceptable as (ii) An alien, as defined under Sec- evidence of citizenship. If the indi- tion 101(a)(3) of the Immigration and vidual does not hold any one of those Nationality Act (8 U.S.C. 1101 et seq.) documents listed in paragraph (c)(1)(i) (the Act), who is lawfully admitted to through (v), the individual must pro- the United States for permanent resi- vide an original unexpired foreign pass- dence, as defined by Section 101(a)(20) port and an original of any one of the of the Act.; or following documents: (iii) A foreign national who is en- (i) Permanent resident card (form I– rolled in the United States Merchant 551) issued by U.S. Citizenship and Im- Marine Academy (USMMA). migration Services bearing the certifi- (b) Beginning April 15, 2009, proof of cation that the alien was admitted to citizenship or alien status must be sub- the United States as an immigrant,

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(ii) A declaration of intention to be- (2) Beginning April 15, 2009, proof come a citizen of the United States that the mariner holds a valid TWIC; issued by a naturalization court; or (3) All supplementary materials re- (iii) A certificate issued by the con- quired to show that the mariner meets sular representative of the country of the mandatory requirements for the which the alien is a citizen or subject. transaction sought: (3) If the individual is the holder of or (i) The mandatory requirements for applying for a rating endorsement and officer endorsements are contained in the individual does not hold any of the part 11 of this chapter. documents listed in paragraphs (c)(1) or (ii) The mandatory requirements for (2) of this section, proof of enrollment rating endorsements are contained in in the United States Merchant Marine part 12 of this chapter. Academy (USMMA) in the form of an (iii) The mandatory requirements for original letter from the USMMA, tankerman rating endorsements are signed by the Superintendent attesting contained in part 13 of this chapter. to the individual’s enrollment along (iv) The mandatory requirements for with an unexpired foreign passport STCW endorsements are contained in issued by the government of the coun- parts 11 and 12 of this chapter and in try in which the alien is a citizen or the STCW Convention and Code (incor- subject, with a valid U.S. visa affixed porated by reference, see § 10.103). to the passport, will be acceptable evi- (4) The appropriate fee as set forth in dence of lawful status in the United § 10.219 of this part; and States. (5) Any uncanceled MMD, MMC, li- (4) If the individual is applying for an cense, STCW endorsement, or COR held MMC endorsed only as OUPV of an un- by the applicant. If one or more of documented vessel, the individual must these credentials are still valid at the provide an original of any one of the time of application, a photocopy, front documents enumerated in paragraphs and back of all pages, and all attach- (c)(1)(i) through (v) or (c)(2)(i) or (ii) of ments, will satisfy this requirement. If this section, or proof of acceptable the applicant submits a photocopy, alien status as provided in 49 CFR upon the issuance of the new MMC, the 1572.105. applicant must surrender the old, original credential to the Coast Guard. If § 10.223 Modification or removal of requested in writing at the time of sub- limitations or scope. mission, the old MMD, MMC, license, (a) If the Coast Guard is satisfied by COR, or STCW endorsement may be re- the documentary evidence submitted turned to the applicant after cancella- that an applicant is entitled by experi- tion. ence, training, and knowledge to an en- (d) No limitation on any endorsement dorsement or increase in the scope of may be changed before the applicant any MMC held, any limitations that has made up any deficiency in the ex- were previously placed upon the MMC perience prescribed for the endorse- by the Coast Guard may be changed or ment or endorsement desired and removed. Such an increase in scope passed any necessary examination. may include a change in horsepower or tonnage limitations, or geographic § 10.225 Requirements for original route restrictions. merchant mariner credentials. (b) Modifications or removal of limi- (a) An applicant must apply as an tations or scope to MMC endorse- original if the MMC sought is: ment(s) under this section will not (1) The first credential issued to the change the expiration date of the mari- applicant; ner’s MMC unless the applicant renews (2) The first credential issued to an all endorsements that would appear on applicant after their previous creden- the MMC under § 10.227 of this part. tial has expired and they do not hold a (c) A complete application for modi- document of continuity under § 10.227(e) fication or removal of limitation of of this part or an equivalent unexpired scope must contain the following: continuity endorsement on their li- (1) A completed signed application; cense or MMD; or

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(3) The first credential issued to an give such an oath, that he or she will applicant after their previous creden- faithfully and honestly, according to tial was revoked pursuant to § 10.235 of his or her best skill and judgment, this part. without concealment or reservation, (b) A complete application for an perform all the duties required by law original MMC must contain the fol- and obey all lawful orders of superior lowing: officers. An oath may be administered (1) A completed, signed application; by any Coast Guard-designated indi- (2) Beginning April 15, 2009, proof vidual or any person legally permitted that the mariner either holds a valid to administer oaths in the jurisdiction TWIC or has applied for a TWIC; where the person taking the oath re- (3) All supplementary materials resides. An oath administered at a loca- quired to show that the mariner meets tion other than those listed in § 10.217 the mandatory requirements for all en- must be verified in writing by the ad- dorsements sought; ministering official and submitted to (i) The mandatory requirements for the same REC where the applicant ap- officer endorsements are contained in plied for his or her MMC. This oath re- part 11 of this chapter. mains binding for any subsequently (ii) The mandatory requirements for issued MMC and endorsements added to rating endorsements are contained in the MMC, unless specifically renounced part 12 of this chapter. in writing. (iii) For a tankerman rating endorsement, the applicant must also provide § 10.227 Requirements for renewal. those documents or proofs required in (a) Except as provided in paragraph part 13 of this chapter. (e) of this section, an applicant for re- (iv) The mandatory requirements for newal of a credential must establish STCW Endorsements are contained in possession of all of the necessary quali- parts 11 and 12 of this chapter and in fications before the renewal MMC will the STCW Convention and Code (incor- be issued. porated by reference, see § 10.103). (b) A credential may be renewed at (4) The appropriate fee as set forth in any time during its validity and for § 10.219 of this part; one year after expiration. (5) Evidence of having passed a chemical test for dangerous drugs or of (c) No credential will be renewed if it qualifying for an exemption from test- has been suspended without probation ing in § 16.220 of this subchapter; or revoked as a result of action under (6) Discharges or other documentary part 5 of this chapter or if facts that evidence of service indicating the would render a renewal improper have name, tonnage, and propulsion power come to the attention of the Coast of the vessels, dates of service, capac- Guard. ity in which the applicant served, and (d) Except as provided in paragraph on what waters, where sea service is re- (e) of this section, a complete applica- quired; tion for renewal must contain the fol- (7) Proof, documented on a form pro- lowing: vided by the Coast Guard, that the ap- (1) A completed, signed application; plicant passed all applicable vision, (2) Beginning April 15, 2009, proof hearing, medical, and/or physical that the mariner holds a valid TWIC; exams as required by § 10.215 of this (3) The appropriate fee as set forth in part. § 10.219 of this part; (8) Consent to a Coast Guard check of (4) Any uncanceled MMD, MMC, li- the NDR for offenses described in sec- cense, STCW endorsement, or COR held tion 205(a)(3)(A) or (B) of the National by the applicant. If one or more of Driver Register Act of 1982, as amend- these credentials are still valid at the ed; and time of application, a photocopy— (9) The oath as required in paragraph front, back, and all attachments—will (c) of this section. satisfy this requirement. If the appli- (c) Oath. Every person who receives cant submits a photocopy, upon the an original MMC must first take an issuance of the new MMC, the appli- oath, before an official authorized to cant must surrender the old original

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credential to the Coast Guard. If reissued by the Federal Communications quested in writing at the time of sub- Commission. If submitted, the original mission, the old MMD, MMC, license, license will be returned to the appli- COR, or STCW endorsement may be re- cant. turned to the applicant after cancella- (v) An applicant for renewal of an en- tion; dorsement as medical doctor or profes- (5) Evidence of having passed a chem- sional nurse must, in addition to meet- ical test for dangerous drugs or of ing the requirements of this section, qualifying for an exemption from test- present evidence that he or she holds a ing in § 16.220 of this subchapter; currently valid, appropriate license as (6) Proof, documented on a form pro- physician, surgeon, or registered nurse vided by the Coast Guard, that the ap- issued under the authority of a state or plicant passed all applicable vision, territory of the United States, the hearing, medical, and/or physical Commonwealth of Puerto Rico, or the exams as required by § 10.215 of this District of Columbia. Any such renewal part; will retain the limitations placed upon (7) Consent to a Coast Guard check of the medical license by the issuing the NDR for offenses described in sec- body. There are no professional re- tion 205(a)(3)(A) or (B) of the National quirements for renewal of an endorse- Driver Register Act of 1982, as amendment as marine physician assistant or ed; hospital corpsman. (8) Except as provided in paragraph (vi) An applicant for renewal of an (d)(8)(viii) of this section, the applicant endorsement as master or mate (pilot) must meet the following professional of towing vessels must submit satisfac- requirements for renewal: tory evidence of: (i) The applicant must either— (A) Having completed a practical (A) Present evidence of at least one demonstration of maneuvering and year of sea service during the past five handling a towing vessel to the satis- years; faction of a designated examiner; or (B) Pass a comprehensive, open-book (B) Ongoing participation in training exercise covering the general subject and drills during the validity of the li- matter contained in appropriate sec- cense or MMC being renewed. tions of subpart (I) of this part; (vii) An applicant seeking to renew a (C) Complete an approved refresher tankerman endorsement must meet the training course; or additional requirements listed in (D) Present evidence of employment § 13.120 of this chapter. in a position closely related to the op- (viii) There are no professional re- eration, construction, or repair of ves- quirements for renewal for the fol- sels (either deck or engineer as appro- lowing endorsements: priate) for at least three years during (A) Radio officer; the past five years. An applicant for a (B) Staff officers (all types); deck license or officer endorsement (C) Ordinary seaman; with this type of employment must (D) Wiper; also demonstrate knowledge on an ap- (E) Steward’s department (F.H.); plicable Rules of the Road open-book (F) Cadet; exercise. (G) Student observer; (ii) The qualification requirements (H) Apprentice engineer; for renewal of radar observer endorse- (I) Apprentice mate (issued under ment are in § 11.480 of this chapter. part 12 of this subchapter); (iii) Additional qualification require- (J) Person in charge of medical care; ments for renewal of an officer endorse- (K) Medical first-aid provider; ment as first-class pilot are contained (L) GMDSS at-sea maintainer; and in § 11.713 of this chapter. (M) GMDSS operator. (iv) An applicant for renewal of a (9) Except as otherwise provided, radio officer’s endorsement must, in each candidate for a renewal of an addition to meeting the requirements STCW endorsement must meet the ap- of this section, present evidence of a plicable requirements of § 11.202 of this currently valid license as first or sec- chapter and must meet the require- ond-class radiotelegraph operator ments of section A–VI/2, paragraphs 1

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to 4 of the STCW Code (incorporated by paragraph (d)(8) of this section, the ap- reference in § 10.103). plicant must demonstrate continued (e) Document of continuity. (1) Appli- professional knowledge by completing cants for renewal who are unwilling or a course approved for this purpose, or otherwise unable to meet the require- by passing the complete examination. ments of paragraph (d) of this section, The examination may be oral-assisted including but not limited to the med- if the expired credential was awarded ical and physical standards of § 10.215, on an oral exam. The fees set forth in drug tests, and TWIC, may apply for a § 10.219 apply to these examinations. In document of continuity issued by the the case of an expired radio officer’s Coast Guard. Documents of continuity endorsement, the endorsement may be do not expire and are issued solely to issued upon presentation of a valid maintain an individual’s eligibility for first or second-class radiotelegraph op- renewal. A document of continuity erator license issued by the Federal does not entitle an individual to serve Communications Commission. as a merchant mariner. A holder of a (2) An endorsement for chief purser, document of continuity may obtain a purser, senior assistant purser, junior properly endorsed, valid MMC at any assistant purser, hospital corpsman, time by satisfying the requirements for marine physician assistant, medical renewal as provided in paragraph (d). doctor, or professional nurse that has (2) Applications for a document of been expired for more than 12 months continuity must include: shall be renewed in the same way as a (i) The credential to be renewed. current endorsement of that type. Upon written request, the Coast Guard There are no additional requirements will return the credential to the appli- for re-issuing endorsements for chief cant after it has been cancelled; and purser, purser, senior assistant purser, (ii) An application including a signed junior assistant purser, hospital corps- statement from the applicant attesting man, marine physician assistant, med- to an awareness of the limited purpose ical doctor, or professional nurse that of the Document of Continuity, their have been expired for more than 12 inability to serve, and the require- months. ments to obtain an MMC. [USCG–2006–24371, 74 FR 11216, Mar. 16, 2009, (f) Administrative grace period. Except as amended by USCG–2006–24371, 74 FR 39218, as provided herein, a credential may Aug. 6, 2009] not be renewed more than 12 months after it has expired. To obtain a re- § 10.229 Issuance of duplicate mer- issuance of the credential, an applicant chant mariner credentials. must comply with the requirements of (a) Upon request and without exam- paragraph (g) of this section. When an ination, a mariner may be issued a du- applicant’s credential expires during a plicate credential after submitting an time of service with the Armed Forces application with an affidavit describing and there is no reasonable opportunity the circumstances of the loss. The for renewal, including by mail, this pe- Coast Guard will only issue the dupli- riod may be extended. The period of cate credential after confirming the military service following the date of validity of the mariner’s credential expiration which precluded renewal and, beginning April 15, 2009, the valid- may be added to the 12-month grace pe- ity of the mariner’s TWIC. riod. The 12-month grace period and (b) The duplicate will have the same any extensions do not affect the expira- authority, wording, and expiration tion date of the credential. A license, date as the lost credential. A duplicate MMD, COR, STCW endorsement, MMC, credential will reference the serial and any endorsements thereon, are not number, type, place of issue, and date valid for use after the expiration date. of issue of the replaced credential(s). (g) Re-issuance of expired credentials. The duplicate issued will be in the form (1) Whenever an applicant applies for of an MMC. Until April 15, 2014, if a re-issuance of an endorsement as deck mariner seeks a duplicate of more than officer, engineer officer, or qualified one credential, the MMC issued will re- rating more than 12 months after expi- flect endorsements for all credentials ration, instead of the requirements of lost, and the expiration date will

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match the earliest expiration date of (iii) The mandatory requirements for the credentials lost. tankerman rating endorsements are (c) If a person loses a credential by contained in part 13 of this chapter. shipwreck or other casualty, a dupli- (iv) The mandatory requirements for cate will be issued free of charge. The STCW endorsements are contained in term ‘‘other casualty’’ includes any parts 11 and 12 of this chapter and in damage to a ship caused by collision, the STCW Convention and Code (incor- explosion, tornado, wreck, flooding, porated by reference, see § 10.103). beaching, grounding, or fire; or per- (4) The appropriate fee as set forth in sonal loss associated with a federally § 10.219 of this part; declared natural disaster. (5) Any uncanceled MMD, MMC, li- (d) If a person loses a credential by cense, STCW endorsement, or COR held means other than those noted in para- by the applicant. If one or more of graph (c) of this section and applies for these credentials are still valid at the a duplicate, the appropriate fee set out time of application, a photocopy— in § 10.219 must be paid. front, back, and all attachments—will (e) No application from an alien for a satisfy this requirement. If the appli- duplicate credential will be accepted cant submits a photocopy, upon the unless the alien complies with the reissuance of the new MMC, the appli- quirements of § 10.221 of this part. cant must surrender the old original (f) Applications for duplicate creden- credential to the Coast Guard. If re- tials will not be subject to a criminal quested in writing at the time of sub- record review. mission, the old MMD, MMC, license, COR, or STCW endorsement may be re- § 10.231 Requirements for raises of turned to the applicant after cancella- grade or new endorsements. tion; (a) This section applies to applicants (6) Applicants for the following en- who already hold a valid credential and dorsements must produce evidence of want to make the following trans- having passed a chemical test for dan- action(s): gerous drugs or of qualifying for an exemption from testing in § 16.220 of this (1) Add a new endorsement; or subchapter: (2) Raise of grade of an existing en- (i) Any officer endorsement; and dorsement. (ii) The first endorsement as able (b) New endorsements or raises of seaman, lifeboatman, qualified member grade of existing endorsements on an of the engine department, or MMC under this section will not tankerman. change the expiration date of the MMC (7) An applicant for an endorsement unless the applicant renews all en- where sea service is required must dorsements that appear on the MMC produce discharges or other documen- under § 10.227 of this part. tary evidence of service, indicating the (c) A complete application for a new name, tonnage, and horsepower of the endorsement or raise of grade must vessels, dates of service, capacity in contain the following: which the applicant served, and on (1) A completed, signed application; what waters; (2) Beginning April 15, 2009, proof (8) Applicants who have not sub- that the mariner holds a valid TWIC; mitted evidence within the past three (3) All supplementary materials re- years that they have passed all applica- quired to show that the mariner meets ble vision, hearing, medical, and/or the mandatory requirements for the physical exams required in § 10.215 for new endorsement(s) sought; the particular endorsement sought (i) The mandatory requirements for must submit proof, on a Coast Guard- officer endorsements are contained in approved form, that the applicant has part 11 of this chapter and paragraph passed those medical/physical tests and (d) of this section. exams; and (ii) The mandatory requirements for (9) Consent to a Coast Guard check of rating endorsements are contained in the NDR for offenses described in sec- part 12 of this chapter. tion 205(a)(3)(A) or (B) of the National

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Driver Register Act of 1982, as amend- posed under part 5 of this chapter is ef- ed. fective against the applicant’s creden- (d) Additional requirements for an tial or while an appeal from these ac- applicant seeking a raise of grade of an tions is pending. officer endorsement: (5) Professional examination. (i) When (1) Sea service acquired before the the Coast Guard finds an applicant’s issuance of an officer endorsement is experience and training for raise of generally not accepted as any part of grade to be satisfactory, and the appli- the service required for a raise of grade cant is eligible in all other respects, of that endorsement. However, service the Coast Guard will authorize a pro- acquired before issuance of an officer fessional examination. endorsement will be accepted for cer- (ii) Oral-assisted examinations may tain crossovers, endorsements, or in- be administered in accordance with creases in scope of an MMC, as appro- § 11.205(f) of this chapter. The Coast priate. In the limited tonnage cat- Guard will place in the applicant’s file egories for deck officers, total accumu- a record indicating the subjects cov- lated service is a necessary criterion ered. for most raises of grade; service ac- (iii) The general instructions for ad- quired before the issuance of such offi- ministration of examinations and the cer endorsements will, therefore, be ac- lists of subjects for all officer endorse- cepted. ments appear in part 11, subpart I of (2) No raise of grade may be issued to this chapter. any naturalized citizen on less experience in any grade than would have § 10.233 Obligations of the holder of a been required of a citizen of the United merchant mariner credential. States by birth. (a) The holder of a credential may (3) Experience and service acquired not voluntarily part with it or place it on foreign vessels while holding a valid beyond his or her personal control by U.S. officer endorsement is creditable pledging or depositing it with any for establishing eligibility for a raise of other person, except as required by reg- grade, subject to evaluation by the ulation or as necessary to safeguard Coast Guard to determine that it is a the credential. If the holder violates fair and reasonable equivalent to serv- this section, the Coast Guard may pur- ice acquired on merchant vessels of the sue suspension or revocation of the li- United States, with respect to grade, cense, MMD, COR, or MMC under the tonnage, horsepower, waters, and oper- provisions of part 5 of this chapter. ating conditions. An applicant who has (b) Whenever a mariner loses a cre- obtained the qualifying experience on dential, he or she must immediately foreign vessels shall submit satisfac- report the loss to the Coast Guard. The tory documentary evidence of such report must be made in writing, giving service (including any necessary trans- the facts incident to its loss. lations into English) in the forms pre- (c) Invalid credentials must be re- scribed by paragraph (c)(7) of this sec- turned to the Coast Guard. Upon writ- tion. ten request, the Coast Guard will re- (4) An applicant remains eligible for turn the cancelled credential to the a raise of grade while on probation as a mariner. result of action under part 5 of this chapter. A raise of grade issued to a § 10.235 Suspension or revocation of person on probation will be subject to merchant mariner credentials. the same probationary conditions im- (a) Any MMC or endorsement is sub- posed against the applicant’s other cre- ject to suspension or revocation on the dentials. The offense for which he or same grounds, in the same manner, and she was placed on probation will be with like procedure as provided in 46 considered on the merits of the case in U.S.C. chapter 77. determining fitness to hold the en- (b) When any individual’s credential dorsement applied for. No applicant is revoked, it is no longer valid for any will be examined for a raise of grade purpose, and any MMC subsequently during any period when a suspension requested must be applied for as an without probation or a revocation im- original following the procedures of

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§§ 5.901–5.905 of this subchapter. When denied a TWIC or their TWIC has been an endorsement on an individual’s revoked, the Coast Guard may initiate MMC is revoked, it is no longer valid, suspension and revocation action and any endorsement of the same type against the mariner’s MMC, license, subsequently requested must be applied MMD, and COR under 46 U.S.C. 7702 and for as an original following the proce- 7703. During the subsequent suspension dures of §§ 5.901–5.905 of this subchapter. and revocation proceeding, the TSA de- When an officer’s endorsement is re- cision to deny issuance of, or to revoked, the Coast Guard will issue an voke, a mariner’s TWIC will not be sub- MMC containing any rating endorse- ject to review, and the mariner’s fail- ment for which the holder is qualified. ure to hold a TWIC will be treated by (c) An applicant who has had a TWIC, the Coast Guard as proof that the mar- credential, or endorsement revoked, iner is not eligible for an MMC, license, and who is applying for a subsequent MMD or COR. MMC or endorsement, must state in his (h) Beginning April 15, 2009, a mar- or her application the date of revoca- iner that has either been denied tion, the serial number of the docu- issuance of a TWIC or whose TWIC has ment revoked, and the type of docu- been revoked for a reason, other than ment or endorsement revoked. administrative reasons (e.g., being lost (d) A person whose credential or en- or stolen, not functioning, or having a dorsement has been revoked or sus- misspelling) will be deemed ineligible pended without probation may not be for an MMC, license, MMD or COR. issued a replacement credential or en- [USCG–2006–24371, 74 FR 11216, Mar. 16, 2009, dorsement without approval of the as amended by USCG–2006–24371, 74 FR 39218, Commandant. If a mariner has mul- Aug. 6, 2009] tiple endorsements and one or more, but not all, of those endorsements are § 10.237 Right of appeal. suspended or revoked, the mariner will (a) If the Coast Guard refuses to be issued a replacement MMC reflect- grant an applicant an MMC or endorse- ing those endorsements for which the ment, a written statement listing the mariner remains qualified. reason(s) for denial will be provided to (e) When a credential or endorsement the applicant. that is about to expire has been sus- (b) Any person directly affected by a pended, the renewal of the credential decision or action taken under this or endorsement will be withheld until subchapter, by or on behalf of the expiration of the suspension period. Coast Guard, may appeal under the (f) An applicant for renewal or return provisions of subpart 1.03 of part 1 of of a credential with endorsement as this chapter. master or mate (pilot) of towing ves- (c) The Coast Guard will not review sels whose most recent credential has decisions made by the Transportation been suspended or revoked by an ad- Security Administration to suspend, ministrative law judge for incom- revoke, or deny a mariner’s TWIC. petence must complete the practical demonstration required under § 10.239 Quick reference table for § 10.227(d)(8)(vi)(A). MMC requirements. (g) Beginning April 15, 2009, if the Table 10.239 provides a guide to the Coast Guard is advised by the Trans- requirements for officer endorsements. portation Security Administration Provisions in the reference section are (TSA) that a mariner has either been controlling.

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PART 11—REQUIREMENTS FOR 11.109–11.113 [Reserved] OFFICER ENDORSEMENTS Subpart B—General Requirements for Officer Endorsements Subpart A—General 11.201 Eligibility for officer endorsements Sec. and STCW endorsements, general. 11.101 Purpose of regulations. 11.202 STCW endorsements. 11.102 Incorporation by reference. 11.203–204 [Reserved] 11.103–11.105 [Reserved] 11.205 Requirements for original officer en- 11.107 Paperwork approval. dorsements and STCW endorsements.

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11.207–11.210 [Reserved] 11.420 Service requirements for mate of 11.211 Creditable service and equivalents for ocean steam or motor vessels of not more officer endorsements. than 500 gross tons. 11.213 Sea service as a member of the Armed 11.421 Service requirements for mate of near Forces of the United States and on ves- coastal steam or motor vessels of not sels owned by the United States as quali- more than 500 gross tons. fying experience. 11.422 Tonnage limitations and qualifying 11.215 [Reserved] requirements for endorsements as master 11.217 Examination procedures and denial of or mate of vessels of not more than 200 officer endorsements. gross tons. 11.219–11.223 [Reserved] 11.424 Service requirements for master of ocean steam or motor vessels of not more Subpart C—Training Schools With than 200 gross tons. Approved Courses 11.426 Service requirements for master of near coastal steam or motor vessels of 11.301 Applicability. not more than 200 gross tons. 11.302 Course approval. 11.427 Service requirements for mate of near 11.303 General standards. coastal steam or motor vessels of not 11.304 Substitution of training for required more than 200 gross tons. service, use of training-record books, and 11.428 Service requirements for master of use of towing officer assessment records. near coastal steam or motor vessels of 11.305 Radar-Observer certificates and not more than 100 gross tons. qualifying courses. 11.429 Service requirements for limited 11.306 [Reserved] master of near coastal steam or motor 11.307 Training schools with approved radar vessels of not more than 100 gross tons. observer courses. 11.430 Endorsements for the Great Lakes 11.309 Coast Guard-accepted training other and inland waters. than approved courses. 11.431 Tonnage requirements for Great Lakes and inland endorsements for ves- Subpart D—Professional Requirements for sels of over 1600 gross tons. Deck Officers 11.433 Service requirements for master of Great Lakes and inland steam or motor 11.401 Ocean and near-coastal officer or vessels of any gross tons. STCW endorsements. 11.435 Service requirements for master of 11.402 Tonnage requirements for ocean or inland steam or motor vessels of any near coastal endorsements for vessels of gross tons. over 1600 gross tons. 11.437 Service requirements for mate of 11.403 Structure of deck officer endorse- Great Lakes and inland steam or motor ments. vessels of any gross tons. 11.404 Service requirements for master of 11.442 Service requirements for master of ocean or near coastal steam or motor Great Lakes and inland steam or motor vessels of any gross tons. vessels of not more than 1600 gross tons. 11.405 Service requirements for chief mate 11.444 Service requirements for mate of of ocean or near coastal steam or motor Great Lakes and inland steam or motor vessels of any gross tons. vessels of not more than 1600 gross tons. 11.406 Service requirements for second mate 11.446 Service requirements for master of of ocean or near coastal steam or motor Great Lakes and inland steam or motor vessels of any gross tons. vessels of not more than 500 gross tons. 11.407 Service requirements for third mate 11.448 Service requirements for mate of of ocean or near coastal steam or motor Great Lakes and inland steam or motor vessels of any gross tons. vessels of not more than 500 gross tons. 11.410 Requirements for deck officer en- 11.450 Tonnage limitations and qualifying dorsements for vessels of not more than requirements for endorsements as master 1600 gross tons. or mate of Great Lakes and inland ves- 11.412 Service requirements for master of sels of not more than 200 gross tons. ocean or near coastal steam or motor 11.452 Service requirements for master of vessels of not more than 1600 gross tons. Great Lakes and inland steam or motor 11.414 Service requirements for mate of vessels of not more than 200 gross tons. ocean steam or motor vessels of not more 11.454 Service requirements for mate of than 1600 gross tons. Great Lakes and inland steam or motor 11.416 Service requirements for mate of near vessels of not more than 200 gross tons. coastal steam or motor vessels of not 11.455 Service requirements for master of more than 1600 gross tons. Great Lakes and inland steam or motor 11.418 Service requirements for master of vessels of not more than 100 gross tons. ocean or near coastal steam or motor 11.456 Service requirements for limited vessels of not more than 500 gross tons. master of Great Lakes and inland steam

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or motor vessels of not more than 100 11.520 Service requirements for chief engi- gross tons. neer (limited near coastal) of steam and/ 11.457 Service requirements for master of or motor vessels. inland steam or motor vessels of not 11.522 Service requirements for assistant more than 100 gross tons. engineer (limited oceans) of steam and/or 11.459 Service requirements for master or motor vessels. mate of rivers. 11.524 Service requirements for designated 11.462 Endorsements for master or mate of duty engineer of steam and/or motor ves- uninspected fishing industry vessels. sels. 11.463 General requirements for endorse- 11.530 Endorsements for engineers of ments as master, mate (pilot), and ap- uninspected fishing industry vessels. prentice mate (steersman) of towing ves- 11.540 Endorsements for engineers of mobile sels. offshore drilling units. 11.464 Requirements for endorsements as 11.542 Endorsement as chief engineer master of towing vessels. (MODU). 11.465 Requirements for endorsements as 11.544 Endorsement as assistant engineer mate (pilot) of towing vessels. (MODU). 11.466 Requirements for endorsements as 11.551 Endorsements for service on offshore apprentice mate (steersman) of towing supply vessels. vessels. 11.553 Chief Engineer (OSV). 11.467 Endorsement as operators of 11.555 Engineer (OSV). uninspected passenger vessels of less than 100 gross tons. Subpart F—Credentialing of Radio Officers 11.468 Officer endorsements for mobile off- 11.601 Applicability. shore drilling units. 11.603 Requirements for radio officers’ en- 11.470 Officer endorsements as offshore in- dorsements and STCW endorsements for stallation manager. GMDSS radio operators. 11.472 Officer endorsements as barge supervisor. Subpart G—Professional Requirements for 11.474 Officer endorsements as ballast con- Pilots trol operator. 11.476 [Reserved] 11.701 Scope of pilot endorsements. 11.480 Radar observer. 11.703 Service requirements. 11.482 Assistance towing. 11.705 Route familiarization requirements. 11.491 Officer endorsements for service on 11.707 Examination requirements. offshore supply vessels. 11.709 Annual physical examination require- 11.493 Master (OSV). ments. 11.495 Chief Mate (OSV). 11.711 Tonnage requirements. 11.497 Mate (OSV). 11.713 Requirements for maintaining current knowledge of waters to be navi- Subpart E—Professional Requirements for gated. Engineer Officer Subpart H—Registration of Staff Officers 11.501 Grade and type of engineer endorsements issued. 11.801 Applicability. 11.502 Additional requirements for engineer 11.803 [Reserved] endorsements. 11.805 General requirements. 11.503 Horsepower limitations. 11.807 Experience requirements for registry. 11.504 Application of deck service for lim- 11.809 [Reserved] ited engineer endorsements. 11.811 Requirements to qualify for an STCW 11.505 Engineer officer structure. endorsement as vessel security officer. 11.510 Service requirements for chief engineer of steam and/or motor vessels. Subpart I—Subjects of Examinations and 11.512 Service requirements for first assist- Practical Demonstrations of Competence ant engineer of steam and/or motor ves- 11.901 General provisions. sels. 11.903 Licenses requiring examinations. 11.514 Service requirements for second as- 11.910 Subjects for deck officer endorse- sistant engineer of steam and/or motor ments. vessels. 11.920 Subjects for MODU endorsements. 11.516 Service requirements for third assist- 11.950 Subjects for engineer endorsements. ant engineer of steam and/or motor vessels. Subpart J—Ro-Ro Passenger Ships 11.518 Service requirements for chief engineer (limited-oceans) of steam and/or 11.1001 Purpose of regulations. motor vessels. 11.1003 Definition.

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11.1005 General requirements for officers. acteristics; proper operation of the installed navigation equipment; fire- Subpart K—Officers on a Passenger Ship, fighting and lifesaving equipment; sta- Other Than a Ro-Ro Passenger Ship, bility and loading characteristics; When on an International Voyage emergency duties; and main propulsion 11.1101 Purpose of rules. and auxiliary machinery, including 11.1103 Definitions. steering gear systems and controls. 11.1105 General requirements for officer’s (c) The regulations in subpart C of endorsements. this part prescribe the requirements AUTHORITY: 14 U.S.C. 633; 31 U.S.C. 9701; 46 applicable to— U.S.C. 2101, 2103, and 2110; 46 U.S.C. chapter (1) Each approved training course, if 71; 46 U.S.C. 7502, 7505, 7701, 8906, and 70105; the training course is to be acceptable Executive Order 10173; Department of Home- as a partial substitute for service or for land Security Delegation No. 0170.1. Section 11.107 is also issued under the authority of 44 a required examination, or as training U.S.C. 3507. required for a particular officer endorsement; and SOURCE: CGD 81–059, 52 FR 38623, Oct. 16, 1987, unless otherwise noted. Redesignated (2) All training and assessment asso- by USCG–2006–24371, 74 FR 11216, Mar. 16, ciated with meeting the standards of 2009. competence established by STCW. [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as Subpart A—General amended by CGD 95–062, 62 FR 34528, June 26, 1997; USCG–2006–24371, 74 FR 11235, Mar. 16, § 11.101 Purpose of regulations. 2009] (a) These regulations provide— (1) A means of determining the quali- § 11.102 Incorporation by reference. fications an applicant must possess to (a) Certain material is incorporated be eligible for an officer endorsement by reference into this part with the ap- as a staff officer, deck officer, engineer, proval of the Director of the Federal pilot, or radio officer on merchant ves- Register under 5 U.S.C. 552(a) and 1 sels, or for an endorsement to operate CFR part 51. To enforce any edition uninspected passenger vessels; and other than that specified in this sec- (2) A means of determining that an tion, the Coast Guard must publish a applicant is competent to serve as a notice of change in the FEDERAL REG- master, chief mate, officer in charge of ISTER and the material must be avail- a navigational watch, chief engineer able to the public. All approved mate- officer, second engineer officer (first rial is available for inspection at the assistant engineer), officer in charge of National Archives and Records Admin- an engineering watch, designated duty istration (NARA). For information on engineer, or radio operator, in accord- the availability of this material at ance with the provisions of the Inter- NARA, call 202–741–6030 or go to http:// national Convention on Standards of www.archives.gov/federallregister/ Training, Certification and code of federal regulations/ Watchkeeping for Seafarers, 1978, as l l l . Also, it is available amended (STCW), and other laws, and ibrllocations.html to receive the appropriate endorsement for inspection at the Coast Guard, Of- as required by STCW. fice of Operating and Environmental (b) With few exceptions, these regula- Standards (CG–5221), 2100 2nd St. SW., tions do not specify or restrict officer Stop 7126, Washington, DC 20593–7126, endorsements to particular types of 202–372–1405 and is available from the service such as tankships, freight ves- sources indicated in this section. sels or passenger vessels. However, (b) International Maritime Organiza- each officer credentialed under this tion (IMO), 4 Albert Embankment, Lon- part must become familiar with the don SE1 7SR, England, telephone: + 44 relevant characteristics of a vessel (0)20 7735 7611, http://www.imo.org: prior to assuming their duties. As ap- (1) The International Convention on propriate, these characteristics include Standards of Training, Certification but are not limited to: general arrange- and Watchkeeping for Seafarers, 1978, ment of the vessel; maneuvering char- as amended 1995 (the STCW Convention

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or the STCW), approved for incorpora- of a professional examination, a test tion by reference in §§ 11.202, 11.304, for dangerous drugs, and when required 11.901, 11.903, 11.1005, and 11.1105. by this part, a practical demonstration (2) The Seafarers’ Training, Certifi- of skills) before the Coast Guard will cation and Watchkeeping Code, as issue a merchant mariner credential amended 1995 (the STCW Code), ap- (MMC). proved for incorporation by reference (b) Except as provided in § 11.467(h) of in §§ 11.202, 11.304, 11.603, 11.901, 11.903, this part, an applicant for an officer 11.1005, and 11.1105. endorsement must demonstrate an ability to speak and understand [USCG–2006–24371, 74 FR 11235, Mar. 16, 2009, as amended by USCG–2006–24371, 74 FR 39218, English as found in the navigation Aug. 6, 2009; USCG–2009–0702, 74 FR 49224, rules, aids to navigation publications, Sept. 25, 2009] emergency equipment instructions, machinery instructions, and radio- §§ 11.103–11.105 [Reserved] telephone communications instructions. § 11.107 Paperwork approval. (c) An applicant for an officer en- (a) This section lists the control dorsement must have at least three numbers assigned by the Office of Man- months of qualifying service on vessels agement and Budget under the Paper- of appropriate tonnage or horsepower work Reduction Act of 1980 (Pub. L. 96– within the three years immediately 511) for the reporting and record keep- preceding the date of application. ing requirements in this part. (d) No officer endorsement may be (b) The following control numbers issued to any person who is not a cit- have been assigned to the sections indi- izen of the United States with the ex- cated: ception of operators of uninspected (1) OMB 1625–0040–46 CFR 11.201, passenger vessels that are not docu- 11.202, 11.205, 11.470, 11.472, 11.474, 11.542, mented under the laws of the United and 11.544. States. (2) OMB 1625–028–46 CFR 11.302, 11.303, (e) Except as specified in this para- 11.304, 11.480. graph, no officer endorsement may be (3) OMB 1625–0079–46 CFR 11.304 and issued to a person who has not attained 11.309. the age of 21 years. The required evidence of age may be established using [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as any of the items submitted to establish amended at 54 FR 133, Jan. 4, 1989; CGD 81– 059a, 55 FR 14799, Apr. 18, 1990; CGD 95–062, 62 citizenship set out in 49 CFR 1572.17 of FR 34529, June 26, 1997; USCG-2004–18884, 69 this chapter: FR 58342, Sept. 30, 2004; USCG–2006–24371, 74 (1) An endorsement may be granted FR 11235, Mar. 16, 2009] to an applicant who has reached the age of 19 years as: §§ 11.109–11.113 [Reserved] (i) Master of near coastal, Great Lakes and inland, inland, or river ves- Subpart B—General Requirements sels of 25–200 GRT; for Officer Endorsements (ii) Third mate; (iii) Third assistant engineer; § 11.201 Eligibility for officer endorse- (iv) Mate of vessels of 200–1,600 GRT; ments and STCW endorsements, (v) Ballast control operator (BCO); general. (vi) Assistant engineer (MODU); (a) In addition to the requirements of (vii) Assistant engineer of fishing in- part 10 of this chapter, the applicant dustry vessels; for an officer endorsement, whether (viii) Mate (pilot) of towing vessels; original, renewal, duplicate, or raise of (ix) Radio officer; grade, must establish to the satisfac- (x) Assistant engineer (limited tion of the Coast Guard that he or she oceans); or possesses all the qualifications nec- (xi) Designated duty engineer of ves- essary (including but not limited to sels of not more than 4,000 horsepower. age, experience, character references (2) An endorsement may be granted and recommendations, physical health, to an applicant who has reached the citizenship, approved training, passage age of 18 years as:

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(i) Limited master of near-coastal § 11.202 STCW endorsements. vessels of not more than 100 GRT; (a) General. When an original MMC is (ii) Limited master of Great Lakes issued, renewed, upgraded, or otherwise and inland vessels of not more than 100 modified, the OCMI will determine GRT; whether the applicant needs to have an (iii) Mate of Great Lakes and inland STCW endorsement for service on a vessels of 25–200 GRT; seagoing vessel and then, if the appli- (iv) Mate of near coastal vessels of cant is qualified, will issue the appro- 25–200 GRT; priate endorsement. The OCMI will (v) Operator of uninspected passenger also issue an STCW endorsement at vessels (OUPV); other times, if circumstances so re- (vi) Designated duty engineer of ves- quire and if the applicant is qualified sels of not more than 1,000 horsepower; to hold the endorsement. or (b) Basic safety training or instruction. (vii) Apprentice mate (steersman) of Except as provided in paragraph (f) of towing vessels. this section, an STCW endorsement (f) Persons serving or intending to will be issued only when the candidate serve in the merchant marine service provides evidence of having achieved are encouraged to take the earliest op- or, if training has been completed, hav- portunity to ascertain, through exam- ing maintained the minimum stand- ination, whether their visual acuity, ards of competence for the following color vision, hearing, and general phys- four areas of basic safety within the ical condition where required, are such previous five years upon assessment of as to qualify them for service in that a practical demonstration of skills and profession. Any physical impairment or abilities: medical condition which would render (1) Personal survival techniques as an applicant incompetent to perform set out in table A–VI/1–1 of the STCW the ordinary duties required of an offi- Code (incorporated by reference, see cer at sea is cause for denial of an offi- § 11.102). cer endorsement. (2) Fire prevention and firefighting as (g) Applications for an original offi- set out in table A–VI/1–2 of the STCW cer’s endorsement, raises of grade, ex- Code (incorporated by reference, see tensions of route, or STCW endorse- § 11.102). ments must be current and up to date (3) Elementary first aid as set out in with respect to service and the phys- table A–VI/1–3 of the STCW Code (in- ical examination, as appropriate. Phys- corporated by reference, see § 11.102). ical examinations and applications are (4) Personal safety and social respon- valid for 12 months from the date the sibilities as set out in table A–VI/1–4 of application is approved. the STCW Code (incorporated by ref- (h) Applicants for an endorsement as erence, see § 11.102). OUPV must meet the requirements for an officer endorsement. (c) Competence in the use of Automatic Radar-Plotting Aids (ARPA). (1) Subject (i) The Officer in Charge, Marine In- to paragraphs (c)(2) and (f) of this sec- spection (OCMI), may modify the serv- tion, each candidate for an STCW en- ice and examination requirements in dorsement as master or mate for serv- this part to satisfy the unique quali- ice on vessels in ocean or near-coastal fication requirements of an applicant. service must present a certificate of The OCMI may also lower the age re- completion from an approved course or quirement for OUPV applicants. The from accepted training on an ARPA authority granted by an officer en- simulator. The course or training must dorsement will be restricted to reflect be sufficient to establish that the ap- any modifications made under the au- plicant is competent to maintain safe thority of this paragraph. These re- navigation through the proper use of strictions may not be removed without ARPA by correctly interpreting and the approval of the OCMI issuing the li- analyzing the information obtained cense or officer endorsement. from that device and taking into ac- [USCG–2006–24371, 74 FR 11235, Mar. 16, 2009] count both the limitations of the

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equipment and the prevailing cir- graph (f) of this section, each candidate cumstances and conditions. The simu- for an STCW endorsement as master or lator used in the course or training mate for service on vessels in ocean or must meet or exceed the performance near-coastal service must present suffi- standards established under STCW cient documentary proof that he or she Regulation I/12 (incorporated by ref- understands, and can effectively apply erence, see § 11.102). procedures for, bridge team work as an (2) Training and assessment in the essential aspect of maintaining a safe use of ARPA are not required for mari- navigational watch, taking into ac- ners serving exclusively on vessels not count the principles of bridge-resource fitted with ARPA. However, when any management enumerated in Section B– mariner so serving has not completed VIII/2 of the STCW Code. it, his or her STCW endorsement will indicate this limitation. (f) Notwithstanding paragraph (b) (d) Endorsement for operator of radio in through (e) of this section, § 11.304, and the Global Maritime Distress and Safety § 11.901, each mariner found qualified to System (GMDSS). (1) Subject to para- hold any of the following officer en- graphs (d)(2) and (f) of this section, dorsements will also be entitled to hold each candidate for an STCW endorse- an STCW endorsement corresponding ment as master or mate for service on to the service or other limitations on vessels in ocean or near-coastal service the MMC, because the vessels con- shall present: cerned are not subject to further obli- (i) A certificate for operator of radio gation under STCW because of their in the GMDSS issued by the Federal special operating conditions as small Communications Commission (FCC); vessels engaged in domestic voyages: and (1) Masters, mates, or engineers en- (ii) A certificate of completion from dorsed for service on small passenger a Coast Guard-approved or accepted vessels that are subject to subchapter course for operator of radio in the T or K of this chapter and that operate GMDSS or from another approved or beyond the boundary line. accepted program of training and as- (2) Masters, mates, or engineers en- sessment covering the same areas of dorsed for service on seagoing vessels competence. The course or program of less than 200 gross register tons must be sufficient to establish that the (GRT), other than passenger vessels applicant is competent to perform radio duties on a vessel participating subject to subchapter H of this chapter. in the GMDSS and meets the standard (g) No mariner serving on, and no of competence under STCW Regulation owner or operator of any of the fol- IV/2 (incorporated by reference, see lowing vessels, need hold an STCW en- § 11.102). dorsement, because they are exempt (2) Paragraph (d)(1) of this section from application of STCW: does not apply to a candidate intending (1) Uninspected passenger vessels as to serve only as a pilot or intending to defined in 46 U.S.C. 2101(42). serve only on vessels not required to (2) Fishing vessels as defined in 46 comply with the provisions of the U.S.C. 2101(11)(a). GMDSS in Chapter IV of the Conven- (3) Fishing vessels used as fish-tender tion for the Safety of Life at Sea, 1974, vessels as defined in 46 U.S.C. as amended (SOLAS). SOLAS is avail- 2101(11)(c). able from the International Maritime Or- (4) Barges as defined in 46 U.S.C. ganization (IMO), 4 Albert Embank- 2101(2), including non-self-propelled ment, London SE1 7SR, England, tele- mobile offshore drilling units. phone: + 44 (0)20 7735 7611, http:// www.imo.org. (5) Vessels operating exclusively on (3) Each candidate presenting a cer- the Great Lakes or on the inland wa- tificate described in paragraph (d)(1) of ters of the U.S. in the Straits of Juan this section may receive a GMDSS en- de Fuca inside passage. dorsement. [USCG–2006–24371, 74 FR 11236, Mar. 16, 2009] (e) Procedures for bridge team work. Except as otherwise provided in para-

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§§ 11.203–11.204 [Reserved] in a grade higher than that upon which he or she has actually served while act- § 11.205 Requirements for original offi- ing under the authority of a foreign cer endorsements and STCW en- credential. dorsements. (c) Character check and references. (1) (a) General. In addition to the re- Each applicant for an original officer quirements in part 10 of this chapter or STCW endorsement must submit and §§ 11.201 through 11.203 of this part, written recommendations concerning the applicant for an original officer en- the applicant’s suitability for duty dorsement must also satisfy the re- from a master and two other individ- quirements of this section. uals holding officer endorsements or li- (b) Experience or training. (1) All ap- censes on vessels on which the appli- plicants for original officer or STCW cant has served. endorsements shall present to the (i) For an officer endorsement as en- OCMI letters, discharges, or other doc- gineer or as pilot, at least one of the uments certifying the amount and recommendations must be from the character of their experience and the chief engineer or pilot, respectively, of names, tonnage, and horsepower of the a vessel on which the applicant has vessels on which acquired. The OCMI served. must be satisfied as to the authenticity (ii) For an officer endorsement as en- and acceptability of all evidence of ex- gineer where service was obtained on perience or training presented. Certifi- vessels not carrying a credentialed en- cates of discharge are returned to the gineer and for an officer endorsement applicant. The OCMI shall note on the as master or mate (pilot) of towing ves- application that service represented by sels, the recommendations may be by these documents has been verified. All recent marine employers with at least other documentary evidence of service, one recommendation from a master, or authentic copies thereof, is filed operator, or person in charge of a ves- with the application. An MMC is not sel upon which the applicant has considered as satisfactory evidence of served. any qualifying experience. (iii) For an officer endorsement as (2) No original officer or STCW en- offshore installation manager, barge dorsement may be issued to any natu- supervisor, or ballast control operator, ralized citizen based on less experience at least one recommendation must be in any grade or capacity than would from an offshore installation manager have been required of a citizen of the of a unit on which the applicant has United States by birth. served. (3) Experience and service acquired (iv) Where an applicant qualifies for on foreign vessels is creditable for es- an endorsement through an approved tablishing eligibility for an original of- training school or program, one of the ficer or STCW endorsement, subject to character references must be an offi- evaluation by the OCMI to determine cial of that school or program. that it is a fair and reasonable equiva- (v) For an endorsement for which no lent to service acquired on merchant commercial experience may be re- vessels of the United States, with required, such as master or mate 25–200 spect to grade, tonnage, horsepower, gross tons, OUPV, radio officer, or cer- waters, and operating conditions. An tificate of registry, the applicant may applicant who has obtained qualifying have the written recommendations of experience on foreign vessels shall sub- three persons who have knowledge of mit satisfactory documentary evidence the applicant’s suitability for duty. of such service (including any nec- (vi) A person may apply for an origi- essary translation into English) in the nal officer or STCW endorsement, or forms prescribed by paragraph (b)(1) of officer or STCW endorsement of a dif- this section. ferent type, while on probation as a re- (4) No applicant for an original offi- sult of administrative action under cer or STCW endorsement who is a nat- part 5 of this chapter. The offense for uralized citizen, and who has obtained which the applicant was placed on pro- experience on foreign vessels, will be bation will be considered in deter- given an original officer endorsement mining his or her fitness to hold the

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endorsement applied for. An officer or (2) Officer endorsements as master or STCW endorsement issued to an appli- mate on vessels of more than 200 GRT. cant on probation will be subject to the (3) All officer endorsements for mas- same probationary conditions as were ter or mate (pilot) of towing vessels, imposed against the applicant’s other except apprentice mate (steersman) of credential. An applicant may not take the vessels, on oceans. an examination for an officer or STCW (4) All officer endorsements for endorsement during any period when a MODUs. suspension without probation or a rev- (5) All officer endorsements for engi- ocation is effective against the appli- neers. cant’s currently held license, merchant (e) First aid and cardiopulmonary re- mariner’s document, or MMC, or while suscitation (CPR) course certificates. All an appeal from these actions is pend- applicants for an original officer en- ing. dorsement, except as provided in (vii) If an original license, certificate §§ 11.429, 11.456, and 11.467 of this part, of registry, or officer endorsement has must present to the OCMI: been issued when information about (1) A certificate indicating comple- the applicant’s habits of life and char- tion of a first aid course not more than acter is brought to the attention of the one year from the date of application OCMI, if such information warrants the from: belief that the applicant cannot be en- (i) The American National Red Cross trusted with the duties and responsibil- Standard First Aid and Emergency Care or Multi-media Standard First Aid course; ities of the license, certificate of reg- (ii) A Coast Guard-approved first aid istry, or endorsement issued, or if such training course; or information indicates that the applica- (iii) A course the OCMI determines tion for the license, certificate of reg- meets or exceeds the standards of the istry, or endorsement was false or in- American Red Cross courses; and complete, the OCMI may notify the (2) A currently valid certificate of holder in writing that the license, cer- completion of a CPR course from ei- tificate of registry, or endorsement is ther: considered null and void, direct the (i) The American National Red Cross; holder to return the credential to the (ii) The American Heart Association; OCMI, and advise the holder that, upon (iii) A Coast Guard-approved CPR return of the credential, the appeal training course; or procedures of § 10.237 of this chapter (iv) A course the OCMI determines apply. meets or exceeds the standards of the (d) Firefighting certificate. Applicants American Red Cross or American Heart for officer endorsements in the fol- Association courses. lowing categories must present a cer- (f) Professional Examination. (1) When tificate of completion from a fire- the OCMI finds the applicant’s experi- fighting course of instruction which ence and training to be satisfactory has been approved by the Commandant. and the applicant is eligible in all The course must meet both the basic other respects, the OCMI will authorize and advanced sections of the Inter- the examination in accordance with national Maritime Organization’s the following requirements: (IMO) Resolution A.437 (XI) Training of (i) Any applicant for a deck or engi- Crews in Firefighting. (Available from neer officer endorsement limited to the International Maritime Organization vessels not exceeding 500 GRT, or an of- (IMO), 4 Albert Embankment, London ficer endorsement limited to SE1 7SR, England, telephone: + 44 (0)20 uninspected fishing-industry vessels, 7735 7611, http://www.imo.org). The may request an oral-assisted examina- course must have been completed with- tion in lieu of any written or other tex- in five years before the date of applica- tual examination. If there are textual tion for the officer endorsement re- questions that the applicant has dif- quested. ficulty reading and understanding, the (1) Officer endorsement as master on OCMI will offer the oral-assisted exam- vessels of 200 GRT or less in ocean serv- ination. Each officer endorsement ice. based on an oral-assisted examination

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is limited to the specific route and type ing an officer endorsement or license of vessel upon which the applicant ob- as master. For service on vessels of tained the majority of service. under 200 gross tons, owners of vessels (ii) The general instructions for ad- may attest to their own service; how- ministration of examinations and the ever, those who do not own a vessel lists of subjects for all officer endorse- must obtain letters or other evidence ments appear in subpart I of this part. from licensed personnel or the owners The OCMI will place in the applicant’s of the vessels listed. The documentary file a record indicating the subjects evidence produced by the applicant covered. must contain the amount and nature (2) When the application of any per- (e.g. chief mate. assistant engineer, son has been approved, the applicant etc.) of the applicant’s experience, the should take the required examination vessel name, gross tonnage, shaft as soon as practicable. If the applicant horsepower and official numbers, the cannot be examined without delay at routes upon which the experience was the office where the application is acquired, and approximate dates of made, the applicant may request that service. the examination be given at another (b) Port engineer, shipyard super- office. intendent experience, instructor serv- (3) The qualification requirements ice, or similar related service may be for radar observer are contained in creditable for a maximum of six § 11.480 of this part. months of service for raise of grade of (4) An examination is not required an engineer or deck officer endorse- for a staff officer or radio officer en- ment, as appropriate, using the fol- dorsement. lowing: (g) Practical demonstration of skills. (1) Port engineer or shipyard super- Each candidate for an original STCW intendent experience is creditable on a endorsement must successfully com- three-for-one basis for a raise of grade. plete any practical demonstrations re- (Twelve months of experience equals quired under this part and appropriate four months of creditable service.) to the particular endorsement con- (2) Service as a bona fide instructor cerned, to prove that he or she is suffi- at a school of navigation or marine en- ciently proficient in skills required gineering is creditable on a two-for-one under subpart I of this part. The OCMI basis for a raise of grade. (Twelve must be satisfied with the authenticity months of experience equals six and acceptability of all evidence that months of creditable service). each candidate has successfully com- (c) Service on mobile offshore drill- pleted the demonstrations required ing units is creditable for raise of grade under this part in the presence of a des- of officer endorsement. Evidence of one ignated examiner. The OCMI will place year’s service as mate or equivalent a written or electronic record of the while holding a license as third mate, skills required, the results of the prac- or as engineering officer of the watch tical demonstrations, and the identi- or equivalent while holding an officer fication of the designated examiner in endorsement or license as third assist- whose presence the requirements were ant engineer, is acceptable for a raise fulfilled in the file of each candidate. of grade to second mate or second as- [USCG–2006–24371, 74 FR 11237, Mar. 16, 2009] sistant engineer, respectively; however, any subsequent raises of grade of un- §§ 11.207–11.210 [Reserved] limited, nonrestricted officer licenses or endorsements must include a min- § 11.211 Creditable service and equiva- imum of six months of service on con- lents for officer endorsements. ventional vessels. (a) Sea service may be documented (d) Service on a Dual Mode Inte- for the purposes of this part in various grated Tug Barge (ITB) unit is cred- forms such as certificates of discharge, itable for original or raise of grade of pilotage service and billing forms, and any deck officer endorsement. Service letters or other official documents on a Dual Mode ITB with an aggregate from marine companies signed by ap- tonnage of over 1600 gross tons is cred- propriate officials, or individuals hold- itable on a two-for-one basis (two days

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experience equals one day of creditable manding officer or engineer officer, re- service) for up to 50 percent of the total spectively. service on vessels over 1600 gross tons (b) Service in deck ratings on mili- required for an unlimited officer en- tary vessels such as seaman apprentice, dorsement. The remaining required seaman, boatswain’s mate, quarter- service on vessels of over 1600 gross master, or radarman are considered tons must be obtained on conventional deck service for the purposes of this vessels or Push Mode ITBs. part. Service in other ratings may be (e) Other experience in a marine re- considered if the applicant establishes lated area, other than at sea, or sea that his or her duties required a service performed on unique vessels, watchstanding presence on or about will be evaluated by the OCMI and for- the bridge of a vessel. Service in engi- warded to the Commandant for a deter- neer ratings on military vessels such as mination of equivalence to traditional fireman apprentice, fireman, service. engineman, machinists, mate, machin- [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as ery technician or boiler tender are con- amended at 54 FR 135, Jan. 4, 1989; USCG– sidered engineer service for the pur- 2006–24371, 74 FR 11238, Mar. 16, 2009] poses of this part. There are also other ratings such as electrician, hull techni- § 11.213 Sea service as a member of the cian, or damage controlman which may Armed Forces of the United States be credited when the applicant estab- and on vessels owned by the United States as qualifying experience. lishes that his or her duties required watchstanding duties in an operating (a) Sea service as a member of the engine room. Armed Forces of the United States will (c) In addition to underway service, be accepted as qualifying experience members of the Armed Forces may ob- for an original, raise of grade, or in- tain creditable service for periods of crease in scope of all officer endorse- assignment to vessels at times other ments. In most cases, military sea than underway, such as in port, at an- service will have been performed upon chor, or in training. Normally, a 25% ocean waters; however, inland service, factor is applied to these time periods. as may be the case on smaller vessels, will be credited in the same manner as This experience can be equated with conventional evaluations. The appli- general shipboard familiarity, training, cant must submit an official transcript ship’s business, and other related du- of sea service as verification of the ties. service claimed when the application is (d) Sea service obtained on sub- submitted. The applicant must also marines is creditable, as if it were sur- provide the Officer in Charge, Marine face vessel service, for deck and engi- Inspection other necessary information neer officer endorsements under the as to tonnage, routes, horsepower, per- provision of paragraph (a) of this sec- centage of time underway, and as- tion. For application to deck officer signed duties upon the vessels which he endorsements, submarine service may or she served. Such service will be eval- be creditable if at least 25 percent of uated by the OCMI and forwarded to all service submitted for the endorse- the Commandant for a determination ment was obtained on surface vessels of its equivalence to sea service ac- (e.g. If four years’ total service were quired on merchant vessels and the ap- submitted for an original officer en- propriate grade, class, and limit of offi- dorsement, at least one year must have cer endorsement for which the appli- been obtained on surface craft in order cant is eligible. Normally, 60 percent of for the submarine service to be eligible the total time on board is considered for evaluation). equivalent underway service; however, (e) Service gained in a civilian capac- the periods of operation of each vessel ity as commanding officer, master, may be evaluated separately. In order mate, engineer, or pilot, etc., of any to be eligible for a master’s or chief en- vessel owned and operated by the gineer’s unlimited officer endorsement, United States, in any service, in which the applicant must have acquired mili- a license or officer endorsement as tary service in the capacity of com- master, mate, engineer, or pilot was

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not required at the time of such serv- sections of the preceding examination. ice, is evaluated by the OCMI and for- If the applicant does not successfully warded to the National Maritime Cen- complete all parts of the examination ter for a determination of equivalence. during a 3-month period from the ini- [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as tial test date, a complete reexamina- amended by USCG–2008–0906, 73 FR 56508, tion must be taken after a lapse of at Sept. 29, 2008; USCG–2006–24371, 74 FR 11238, least 2 months from the date of the last Mar. 16, 2009] retest, and a new examination fee is required. § 11.215 [Reserved] (b) If the OCMI refuses to grant an applicant the endorsement for which § 11.217 Examination procedures and denial of officer endorsements. applied due to failing to pass a required examination, the Coast Guard will pro- (a)(1) The examinations for all deck vide the applicant a written statement and engineer unlimited officer endorse- setting forth the portions of the exam- ments are administered at periodic in- ination which must be retaken and the tervals. The examination fee set out in date by which the examination must be table 10.219(a) in § 10.219 of this chapter completed. must be paid before the applicant may take the first examination section. If [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as an applicant fails three or more sec- amended at 54 FR 135, Jan. 4, 1989; CGD 91– tions of the examination, a complete 002, 58 FR 15238, Mar. 19, 1993; CGD 94–029, 61 reexamination must be taken, but may FR 47064, Sept. 6, 1996; USCG–1997–2799, 64 FR be taken during any of the scheduled 42815, Aug. 5, 1999; USCG–2006–24371, 74 FR exam periods. On the subsequent exam, 11239, Mar. 16, 2009] if the applicant again fails three or §§ 11.219–11.223 [Reserved] more sections, at least 3 months must lapse before another complete examination is attempted, and a new exam- Subpart C—Training Schools with ination fee is required. If an applicant Approved Courses fails one or two sections of an examination, the applicant may be retested § 11.301 Applicability. twice on these sections during the next This subpart prescribes the general 3 months. If the applicant does not suc- requirements applicable to all ap- cessfully complete these sections with- proved courses which may be accepted in the 3 month period, complete reex- in lieu of service experience or exam- amination must be taken after a lapse ination required by the Coast Guard, or of at least 3 months from the date of which satisfy course completion re- the last retest, and a new examination quirements. fee is required. The 3 month retest period may be extended by the OCMI if § 11.302 Course approval. the applicant presents discharges docu- menting sea time which prevented the (a) The Coast Guard approves courses taking of a retest during the 3 month satisfying regulatory requirements and period. The retest period may not be those that substitute for a Coast Guard extended beyond 7 months from the ini- examination or a portion of a sea serv- tial examination. ice requirement. The owner or operator (2) The scheduling of all other deck of a training school desiring to have a and engineer officer endorsement ex- course approved by the Coast Guard aminations will be at the discretion of shall submit a written request to the the OCMI. The examination fee set out Commanding Officer, National Mari- in table 10.219(a) in § 10.219 of this chap- time Center, NMC–42, 100 Forbes Drive, ter must be paid before the applicant Martinsburg WV 25404, that contains: may take the first examination sec- (1) A list of the curriculum including tion. In the event of a failure, the ap- a description of and the number of plicant may be retested twice whenever classroom hours required in each sub- the examination can be rescheduled ject; with the OCMI. The applicant must be (2) A description of the facility and examined in all of the unsatisfactory equipment;

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(3) A list of instructors including the writing of its intention to suspend the experience, background, and the quali- approval and the reasons for suspen- fications of each; and sion. If the approval holder fails to cor- (4) Specify the Coast Guard training rect the reasons for suspension, the requirements the course is intended to course will be suspended and the mat- satisfy. ter referred to the Commanding Offi- (b) The Coast Guard notifies each ap- cer, National Maritime Center. The plicant in writing whether or not an Commanding Officer, National Mari- approval is granted. If a request for ap- time Center, will notify the approval proval is denied, the Coast Guard in- holder that the specific course fails to forms the applicant the reasons for the meet applicable requirements, and ex- denial and describes what corrections plain how those deficiencies can be cor- are required for an approval. rected. The Commanding Officer, Na- (c) Unless sooner surrendered, sus- tional Maritime Center, may grant the pended or withdrawn, an approval for a approval holder up to 60 days in which course at a training school that meets to correct the deficiencies. Coast Guard standards expires 24 (f) Withdrawal of approval. (1) The months after the month in which it is Commanding Officer, National Mari- issued, when the school closes, when time Center, may withdraw approval the school gives notice that it will no for any course when the approval hold- longer offer the course, or on the date er fails to correct the deficiency(ies) of of any change in the ownership of the a suspended course within a time pe- school for which it was issued, which- riod allowed under paragraph (e) of this ever occurs first. section. (d) If the owner or operator of a (2) The Commanding Officer, Na- training school desires to have a course tional Maritime Center, may withdraw approval renewed, they shall submit a approval of any or all courses by an ap- written request to the address listed in proval holder upon a determination paragraph (a) of this section. For the that the approval holder has dem- request to be approved, the Coast onstrated a pattern or history of: Guard must be satisfied that the con- (i) Failing to comply with the appli- tent and quality of instruction remain cable regulations or the requirements satisfactory. Unless sooner surren- of course approvals; dered, suspended or withdrawn, a re- (ii) Substantial deviations from their newal of the approval expires 60 approved course curricula; or months after the month it is issued, (iii) Presenting courses in a manner when the school closes, when the that is insufficient to achieve learning school gives notice that it will no objectives. longer offer the course, or on the date (g) Appeals of suspension or withdrawal of any change in ownership of the of approval. Anyone directly affected school for which it is issued, whichever by a decision to suspend or withdraw occurs first. an approval may appeal the decision to (e) Suspension of approval. If the the Commandant via the Commanding Coast Guard determines that a specific Officer, National Maritime Center, as course does not comply with the provi- provided in § 1.03–40 of this chapter. sions of 46 CFR parts 10, 11, 12, 13 or 15, or the requirements specified in the [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as amended by CGD 95–072, 60 FR 50460, Sept. 29, course approval; or substantially devi- 1995; USCG–1998–4442, 63 FR 52189, Sept. 30, ates from the course curriculum pack- 1998; USCG–1998–3824, 64 FR 4984, Feb. 2, 1999; age as submitted for approval; or if the USCG–2004–18884, 69 FR 58342, Sept. 30, 2004; course is being presented in a manner USCG–2008–0906, 73 FR 56508, Sept. 29, 2008; that is insufficient to achieve learning USCG–2006–24371, 74 FR 11239, Mar. 16, 2009; objectives; the cognizant OCMI may USCG–2010–0759, 75 FR 60002, Sept. 29, 2010] suspend the approval, may require the holder to surrender the certificate of § 11.303 General standards. approval, if any, and may direct the Each school with an approved course holder to cease claiming the course is must: Coast Guard approved. The Cognizant (a) Have a well maintained facility OCMI will notify the approval holder in that accommodates the students in a

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safe and comfortable environment con- Commandant may be substituted for a ducive to learning. portion of the required service for (b) Have visual aids for realism, in- many deck and engineer officer en- cluding simulators where appropriate, dorsements and for qualified rating en- which are modern and well maintained dorsements. The list of all currently and sufficient for the number of stu- approved courses of instruction, includ- dents to be accommodated. ing the equivalent service and applica- (c) Give appropriate written or prac- ble endorsements, is maintained by the tical examinations in the course mate- National Maritime Center. Satisfac- rial to each student of such a degree of tory completion of an approved train- difficulty that a student who success- ing course may be substituted for not fully completes them could reasonably more than two-thirds of the required assume that he or she would pass, on service on deck or in the engine depart- the first attempt, an examination pre- ment for deck or engineer officer en- pared by the Coast Guard based upon dorsements, respectively, and qualified knowledge requirements of the position rating endorsements. or endorsement for which the student (b) Service time gained at an ap- is being trained. proved training course does not satisfy (d) Keep for at least one year after recent service requirements nor does the end of each student’s enrollment: training on a simulator; however, any (1) Each written examination, or in underway service at an approved the case of a practical test, a report of course may be used for this purpose. such test; and An applicant who had met the recent (2) A record of each student’s class- service requirement before entering room attendance. school will not be penalized by attend- (e) Not change its approved cur- ing the approved training course. riculum unless approved, in writing, (c) Training obtained before receiv- after the request for change has been ing an officer endorsement may not be submitted in writing to the Com- used for subsequent 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 officer endorsement (3) Assign personnel to observe or transaction. participate in the course of instruc- (e) Except as provided in § 11.202 of tion; and this part, when a candidate both ap- (4) Supervise or administer the re- plies for an STCW endorsement as quired examinations or practical dem- OICNW, on the basis of training or sea onstrations. service, and uses completion of ap- [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as proved training to substitute for re- amended at 54 FR 132, Jan. 4, 1989; CGD 95– quired service, then not less than one 072, 60 FR 50460, Sept. 29, 1995; USCG–1998– year of the remaining service must be 4442, 63 FR 52189, Sept. 30, 1998; USCG–1998– part of approved training that meets 3824, 64 FR 4984, Feb. 2, 1999; USCG–2004–18884, 69 FR 58342, Sept. 30, 2004; USCG–2008–0906, 73 the appropriate requirements of Chap- FR 56508, Sept. 29, 2008] ter II of STCW (incorporated by reference, see § 11.102) and the require- § 11.304 Substitution of training for re- ments of subpart C of this part. The quired service, use of training- training of a candidate must be docu- record books, and use of towing of- mented in a Coast Guard-accepted ficer assessment records. training-record book. (a) Satisfactory completion of cer- (f) Except as provided in § 11.202 of tain training courses approved by the this part, each candidate who applies

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for an STCW endorsement as an OICEW ing vessels, and each master or mate of on the basis of training or sea service self-propelled vessels of greater than for service on seagoing vessels, shall 200 GRT seeking an endorsement for complete onboard training as part of towing vessels, shall complete a towing approved training that meets the ap- officers’ assessment record that con- propriate requirements of Chapter III tains at least the following: of STCW (incorporated by reference, (1) Identification of the candidate, in- see § 11.102) and the requirements of cluding full name, home address, pho- subpart C of this part. The training tograph or photo-image, and personal must be documented in a Coast Guard- signature. accepted training-record book. (2) Objectives of the training and as- (g) The training-record book referred sessment. to in paragraphs (e) and (f) of this sec- (3) Tasks to perform or skills to dem- tion must contain at least the fol- onstrate. lowing: (4) Criteria to use in determining (1) The identity of the candidate. that the tasks or skills have been per- (2) The tasks to be performed or the formed properly. skills to be demonstrated, with ref- (5) A place for a qualified instructor erence to the standards of competence or credentialed officer (with authority set forth in the tables of the appro- to operate a towing vessel) to indicate priate sections in part A of the STCW by his or her initials that the can- Code (incorporated by reference, see didate has received training in the § 11.102). proper performance of the tasks or (3) The criteria to be used in deter- skills. mining that the tasks or skills have (6) A place for a designated examiner been performed properly, again with to indicate by his or her initials that reference to the standards of com- the candidate has successfully competence set forth in the tables of the pleted a practical demonstration and appropriate sections in part A of the has proved proficient in the task or STCW Code (incorporated by reference, skill under the criteria. see § 11.102). (7) Identification of each qualified in- (4) A place for a qualified instructor structor or credentialed officer (with to indicate by his or her initials that authority to operate a towing vessel) the candidate has received training in by full name, home address, employer, the proper performance of the task or job title, ship name or business ad- skill. dress, MMC, license, or document held, (5) A place for a designated examiner and personal signature. 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, serial number of the skill under the criteria, when assess- TWIC, MMC, license, or document held, ment of competence is to be docu- and personal signature confirming that mented in the record books. his or her initials certify that he or she (6) The identity of each qualified in- has witnessed the practical demonstra- structor, including any MMC endorse- tion of a particular task or skill by the ments, license, or document held, and candidate. the instructor’s signature. (i) The training-record book referred (7) The identity of each designated to in paragraphs (e) and (f) of this sec- examiner, when any assessment of tion may be maintained electronically, competence is recorded, including any if the electronic record meets Coast MMC endorsement, license, or docu- Guard-accepted standards for accuracy, ment held, and the examiner’s signa- integrity, and availability. ture confirming that his or her initials (j) Substitution of a training pro- certify that he or she has witnessed the gram in lieu of required service for an practical demonstration of a particular endorsement as mate (pilot) of towing task or skill by the candidate. vessels is governed by § 11.465(a) and (h) Each applicant for an endorse- Table 11.465–1 of this part. ment as master or mate (pilot) of tow- [CGD 81–059, 52 FR 38623, Oct. 16, 1987]

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EDITORIAL NOTE: For FEDERAL REGISTER ci- (E) Safety precautions associated tations affecting § 11.304, see the List of CFR with use and maintenance of marine Sections Affected, which appears in the radar. Finding Aids section of the printed volume and at www.fdsys.gov. (F) Measurement of ranges and bearings. § 11.305 Radar-Observer certificates (G) Effect of size, shape, composition, and qualifying courses. and distance of vessels and terrestrial (a) A student who takes an approved targets on echo. course of training, which includes pass- (iii) Interpretation and analysis of ing both a radar-theory examination radar information: and a practical demonstration on a (A) Radar navigation (including vis- simulator, and who meets the require- ual techniques)—determining posi- ments of this section is entitled to an tions, and detecting changes in the rel- appropriate Radar-Observer certifi- ative motion, of other vessels. cate— (B) Collision-avoidance, including (1) In a form prescribed by the school visual techniques, appropriate to the and acceptable to the Coast Guard; and circumstances and the equipment in (2) Signed by the head of the school. use. (b) The following Radar-Observer cer- (C) Determining the course and speed tificates are issued under this section: of another vessel. (1) Radar Observer (Unlimited). (D) Determining the time and dis- (2) Radar Observer (Inland Waters tance of closest point of approach of a and Gulf-Intracoastal Waterway crossing, meeting, overtaking, or over- [GIWW]). taken vessel. (3) Radar Observer (Rivers). (E) Detecting changes of course or (4) Radar Observer (Unlimited: Re- speed of another vessel after its initial newal). course and speed have been established. (5) Radar Observer (Inland Waters (F) Applying the Navigational Rules, and GIWW: Renewal). Chapters 30 and 34 of Title 33 U.S. Code (6) Radar Observer (Rivers: Renewal). [Commandant Instruction M16672.2C, as (c) A school with an approved Radar- amended, or equivalent], and other fac- Observer course may issue a certificate tors to consider when determining listed in paragraph (b) of this section changes of course or speed of a vessel after the student has successfully com- to prevent collisions on the basis of pleted the appropriate curriculum as radar observation. follows: (G) Use of radar in maintaining situ- (1) Radar Observer (Unlimited). ational awareness. Classroom instruction—including dem- (iv) Plotting (by any graphically-cor- onstration and practical exercises rect method): using simulators—and examination, in (A) Principles and methods of plot- the following subjects: ting relative and true motion. (i) Fundamentals of radar: (B) Practical-plotting problems. (A) How radar works. (2) Radar Observer (Inland Waters (B) Factors affecting the perform- and GIWW). Classroom instruction— ance and accuracy of marine radar. with emphasis on situations and prob- (C) Purposes and functions of the lems encountered on inland waters and main components that constitute a the GIWW, including demonstration typical marine-radar system. and practical exercises using simula- (ii) Operation and use of radar: tors—and examination, in the fol- (A) Purpose and adjustment of con- lowing subjects: trols. (i) Fundamentals of radar: (B) Detection of malfunctions, false (A) How radar works. and indirect echoes, and other radar (B) Factors affecting the perform- phenomena. ance and accuracy of marine radar. (C) Effects of sea return, weather, (C) Purpose and functions of the and other environmental conditions. main components that constitute a (D) Limitations of radar resulting typical marine-radar system. from design factors. (ii) Operation and use of radar:

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(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. ings, recognizing limited use of radar (G) Effect of size, shape, composition, bearings in curving, narrow channels. and distance of vessels and terrestrial (G) Effect of size, shape, composition, targets on echo. and distance of vessels and terrestrial (iii) Interpretation and analysis of targets on echo. radar information: (iii) Interpretation and analysis of 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 circumstances and the equipment in circumstances and the equipment in use. use. (C) Determining the course and speed (C) Applying the Navigational Rules, of another vessel. and other factors to consider when de- (D) Determining the time and dis- termining changes of course or speed of tance of closest point of approach of a a vessel to prevent collisions on the crossing, meeting, overtaking, or over- basis of radar observation. taken vessel. (D) Use of radar in maintaining situ- (E) Detecting changes of course or ational awareness. speed of another vessel after its initial (4) Radar Observer (Unlimited: Re- course and speed have been established. newal). Classroom instruction—includ- (F) Applying the Navigational Rules, ing demonstration and practical exer- and other factors to consider when de- cises using simulators—and examina- termining changes of course or speed of tion, in the following subjects: a vessel to prevent collisions on the (i) Interpretation and analysis of basis of radar observation. radar information: (G) Use of radar in maintaining situ- (A) Radar navigation (including vis- ational awareness. ual techniques)—determining posi- (3) Radar Observer (Rivers). Class- tions, and detecting changes in the rel- room instruction—with emphasis on ative motion, of other vessels. situations and problems encountered (B) Collision-avoidance, including on rivers, including demonstration and visual techniques, appropriate to the practical exercises using simulators— circumstances and the equipment in and examination, in the following sub- use. jects: (C) Determining the course and speed (i) Fundamentals of radar: of another vessel. (A) How radar works. (D) Determining the time and dis- (B) Factors affecting the perform- tance of closest point of approach of a ance and accuracy of marine radar. crossing, meeting, overtaking, or over- (C) Purpose and functions of the taken vessel. main components that constitute a (E) Detecting changes of course or typical marine-radar system. speed of another vessel after its initial (ii) Operation and use of radar: course and speed have been established.

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(F) Applying the Navigational Rules, termining changes of course or speed of and other factors to consider when de- a vessel to prevent collisions on the termining changes of course or speed of basis of radar observation. a vessel to prevent collisions on the (iv) Use of radar in maintaining situ- basis of radar observation. ational awareness. (G) Use of radar in maintaining situ- ational awareness. [CGD 94–041, 62 FR 11303, Mar. 11, 1997] (ii) Plotting (by any graphically-correct method): § 11.306 [Reserved] (A) Principles and methods of plot- § 11.307 Training schools with ap- ting relative and true motion. proved radar observer courses. (B) Practical-plotting problems. (5) Radar Observer (Inland Waters The Commanding Officer, National and GIWW: Renewal). Classroom in- Maritime Center, NMC–42, 100 Forbes struction—including demonstration Drive, Martinsburg WV 25404 maintains and practical exercises using simula- the list of approved schools and spe- tors—and examination, in the interpre- cific courses. This information is avail- tation and analysis of radar informa- able upon request by writing the afore- tion, including: mentioned address or calling (202) 493– (i) Radar navigation (including visual 1025 (also available on the internet at: techniques—determining positions, and http://www.uscg.mil/STCW//). detecting changes in the relative mo- [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as tion, of other vessels. amended at 54 FR 132, Jan. 4, 1989; CGD 95– (ii) Collision-avoidance, including 072, 60 FR 50460, Sept. 29, 1995; USCG–1998– visual techniques, appropriate to the 4442, 63 FR 52189, Sept. 30, 1998; USCG–2004– circumstances and the equipment in 18884, 69 FR 58342, Sept. 30, 2004; USCG–2007– use. 29018, 72 FR 53964, Sept. 21, 2007; USCG–2008– (iii) Determining the course and 0906, 73 FR 56508, Sept. 29, 2008] speed of another vessel. (iv) Determining the time and dis- § 11.309 Coast Guard-accepted training tance of closest point of approach of a other than approved courses. crossing, meeting, overtaking, or over- (a) When the training and assessment taken vessel. of competence required by this part are (v) Detecting changes of course or not subject to Coast Guard approval speed of another vessel after its initial under § 11.302, but are used to qualify to course and speed have been established. hold an STCW endorsement, such (vi) Applying the Navigational Rules, training and assessment must meet the and other factors to consider when de- following requirements: termining changes of course or speed of (1) The training and assessment must a vessel to prevent collisions on the have written, clearly defined objectives basis of radar observation. that emphasize specific knowledge, (vii) Use of radar in maintaining situ- skills, and abilities, and that include ational awareness. criteria to be used in establishing a (6) Radar Observer (Rivers: Renewal). student’s successful achievement of the Classroom instruction—including dem- training objectives. onstration and practical exercises using simulators—and examination, in (2) The training must be set out in a the interpretation and analysis of written syllabus that conforms to a radar information, including: Coast Guard-accepted outline for such (i) Radar navigation (including visual training and includes— techniques)—determining positions, (i) The sequence of subjects to be cov- and detecting changes in the relative ered; motion, of other vessels. (ii) The number of hours to be de- (ii) Collision-avoidance, including voted to instruction in relevant areas visual techniques, appropriate to the of knowledge; circumstances and the equipment in (iii) The identity and professional use. qualifications of the instructor(s) to be (iii) Applying the Navigational Rules, conducting the training or providing and other factors to consider when de- instruction;

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(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 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) (i) Have experience, training, or in- of this section, the offeror must ei- struction in effective instructional ther— techniques; (i) Be regulated as a maritime acad- (ii) Are qualified in the task for emy or marine academy pursuant to 46 which the training is being conducted; CFR part 310; or and (ii) Monitor the training in accord- (iii) Hold the level of license, officer ance with a Coast Guard-accepted QSS, endorsement, or other professional cre- which must include the following fea- dential required of those who would tures: apply on board a vessel the relevant (A) The training must be provision- level of knowledge, skills, and abilities ally certified, on the basis of an initial described in the training objectives. independent evaluation conducted (4) Neither a specialist in a particular under a Coast Guard-accepted QSS, as field of nonmaritime education, such being capable of meeting its objective. as mathematics or first aid, nor a per- (B) The training must be periodically son with at least 3 years of service as a monitored in accordance with the member of the Armed Forces of the schedule stipulated under the Coast United States, specializing in the field Guard-accepted QSS. in which he or she is to conduct train- (C) Each person conducting the ini- ing, need hold a maritime license, tial evaluation or the subsequent peri- MMC, or document to conduct training odic monitoring of the training shall be in that field. knowledgeable about the subjects (5) A simulator may be used in train- being evaluated or monitored and ing if— about the national and international (i) The simulator meets applicable requirements that apply to the train- performance standards; ing, and shall not himself or herself be (ii) The instructor has gained prac- involved in the training and assess- tical operational experience on the par- ment of students. ticular type of simulator being used; (D) Each person evaluating or moni- and toring the training shall have access to (iii) The instructor has received ap- all appropriate documents and facili- propriate guidance in instructional ties, and shall have opportunities both techniques involving the use of simula- to observe all appropriate activities tors. and to conduct confidential interviews (6) Essential equipment and instruc- when necessary. tional materials must afford all stu- (E) Arrangements must be such as to dents adequate opportunity to partici- ensure that no person evaluating or pate in exercises and acquire practice monitoring the training is penalized or in performing required skills. rewarded, directly or indirectly, by the (7) A process for routinely assessing sponsor of the training for making any the effectiveness of the instructors, in- particular observations or for reaching cluding the use of confidential evalua- any particular conclusions. tions by students, is in place. (11) Each person conducting the ini- (8) Documentary evidence is readily tial evaluation under paragraph available to establish that any evalua- (a)(10)(ii)(A) of this section or the peri- tion of whether a student is competent odic monitoring of the training under in accordance with standards, methods, paragraph (a)(10)(ii)(B) of this section

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shall communicate his or her conclu- tional training or assessment is docu- sions to the Commanding Officer, Na- mented. 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, (12) Each offeror of the training shall Sept. 21, 2007; USCG–2008–0906, 73 FR 56508, let the Coast Guard or someone author- Sept. 29, 2008; USCG–2006–24371, 74 FR 11239, ized by the Coast Guard observe the Mar. 16, 2009] records of a student’s performance and records otherwise relating to para- Subpart D—Professional graphs (a)(1) through (10) of this sec- Requirements for Deck Officers tion. (b) The Coast Guard will maintain a § 11.401 Ocean and near-coastal officer list of training each of whose offerors or STCW endorsements. submits a certificate, initially not less (a) Any license or MMC endorsement than 45 calendar days before offering for service as master or mate on ocean training under this section, and annu- waters qualifies the mariner to serve in ally thereafter, signed by the offeror or the same grade on any waters, subject its authorized representatives, stating to the limitations of the endorsement. that the training fully complies with (b) A license or MMC endorsement requirements of this section, and iden- issued for service as master or mate on tifying the Coast Guard-accepted QSS near-coastal waters qualifies the mar- being used for independent monitoring. iner to serve in the same grade on Training programs on this list will near-coastal, Great Lakes, and inland offer the training necessary for officer waters, subject to the limitations of and STCW endorsements under this the endorsement. part. The Coast Guard will update this (c) Near-coastal endorsements for list periodically and make it available any gross tons require the same num- to members of the public on request. ber of years of service as the ocean-un- (c) If the Coast Guard determines, on limited endorsements. The primary dif- the basis of observations or conclusions ferences in these endorsements are the either of its own or of someone author- nature of the service and the profes- ized by it to monitor the training, that sional examination as explained in sub- particular training does not satisfy one part I of this part. or more of the conditions described in (d) A mariner having a master or paragraph (a) of this section— mate near-coastal license or MMC en- (1) The Coast Guard will so notify the dorsement obtained with ocean service offeror of the training by letter, enclos- may have an MMC endorsed for ocean ing a report of the observations and service by completing the appropriate conclusions; examination deficiencies, provided that (2) The offeror may, within a period the additional service requirements of specified in the notice, either appeal paragraph (e) of this section do not the observations or conclusions to the apply. Commandant (CG-543) or bring the (e) Master or third mate near-coastal training into compliance; and unlimited endorsements may be ob- (3) If the appeal is denied—or the detained by completing the prescribed ex- ficiency is not corrected in the allotted amination in subpart I of this part and time, or within any additional period satisfying the requirements of para- judged by the Coast Guard to be appro- graph (g) of this section while holding priate, considering progress toward a license or MMC endorsement as un- compliance—the Coast Guard will re- limited master or mate, respectively, move the training from the list main- upon Great Lakes and inland waters. tained under paragraph (b) of this sec- To have a near-coastal-unlimited en- tion until it can verify full compliance; dorsement obtained in this manner en- and it may deny applications for li- dorsed for ocean service, the mariner censes for officer or STCW endorse- must obtain 12 months of service as a ments based in whole or in part on deck-watch officer or higher on ocean training not on the list, until addi- waters on vessels of 1,600 GRT or over,

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in addition to completing the examina- completion of the signaling examination topics. tion. (f) Masters and mates endorsements [USCG–2006–24371, 74 FR 11240, Mar. 16, 2009] for service on vessels of more than 200 gross tons may be endorsed for sail or § 11.402 Tonnage requirements for auxiliary sail as appropriate. The ap- ocean or near coastal endorsements plicant must present the equivalent for vessels of over 1600 gross tons. total qualifying service required for (a) To qualify for an ocean or near conventional officer endorsements in- coastal endorsement for vessels of any cluding at least one year of deck expe- gross tons, all the required experience rience on that specific type of vessel. must be obtained on vessels of over 200 For example, for an officer endorse- gross tons. At least one-half of the re- ment as a master of vessels of not more quired experience must be obtained on than 1,600 gross tons endorsed for auxil- vessels of over 1600 gross tons. iary sail, the applicant must meet the (b) If the applicant for an endorse- total experience requirements for the ment as master or mate does not have the service on vessels over 1600 gross conventional officer endorsement, in- tons required by paragraph (a) of this cluding time as mate and the proper section, or is qualifying for third mate tonnage experience, including at least under the provisions of § 11.407(c) of one year of deck service on appro- this subpart, a tonnage limitation is priately sized auxiliary-sail vessels. placed on the endorsement based on For an endorsement to serve on vessels the applicant’s qualifying experience. of 200 gross tons or less, see individual The endorsement is limited to the endorsement requirements. maximum tonnage on which at least 25 (g) In order to obtain a master or percent of the required experience was mate endorsement with a tonnage obtained, or 150 percent of the max- limit above 200 gross tons, or an en- imum tonnage on which at least 50 per- dorsement for 200 gross tons or less cent of the service was obtained, with an ocean route, whether an origi- whichever is higher. Limitations are in nal, raise in grade, or increase in the multiples of 1000 gross tons, using the scope of the endorsement authority to next higher figure when an inter- a higher tonnage category, the appli- mediate tonnage is calculated. When cant must successfully complete the the calculated limitation equals or ex- following training and examination re- ceeds 10,000 gross tons, the applicant is quirements: issued an unlimited tonnage endorse- (1) Approved firefighting course; ment. (2) Approved radar-observer course; (c) Tonnage limitations imposed and under paragraph (b) of this section may be raised or removed in the following (3) Qualification as an able seaman manner: unlimited or able seaman limited (able (1) When the applicant has six seaman special or able seaman offshore months of service on vessels of over supply vessels satisfy the able seaman 1600 gross tons in the highest grade en- requirement for endorsements permit- dorsed, all tonnage limitations are re- ting service on vessels of 1,600 gross moved. tons or less). (2) When the applicant has a total of (h) Each applicant for a deck officer six months of service on vessels of over endorsement, which authorizes service 1600 gross tons in any capacity as an of- on vessels above 1,600 gross tons on ficer other than the highest grade for ocean or near-coastal waters, whether which endorsed, all tonnage limita- original or raise of grade, must pass a tions for the grade in which the service practical-signaling examination (flash- is performed are removed and the next ing light). An applicant who fails in higher grade endorsement is raised to practical signaling, but passes every the tonnage of the vessel on which the other part of the examination, may be majority of the service was performed. issued an endorsement with a 1,600 The total cumulative service before gross ton limitation. The tonnage limi- and after issuance of the limited li- tation can be removed upon successful cense or MMC endorsement may be

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considered in removing all tonnage graph (c) of this section to increase the limitations. tonnages of their licenses or endorse- (3) When the applicant has 12 months ments. of service as able seaman on vessels over 1600 gross tons while holding a li- [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as cense or endorsement as third mate, all amended at 54 FR 135, Jan. 4, 1989; USCG– tonnage limitations on the third 2006–24371, 74 FR 11240, Mar. 16, 2009] mate’s license or MMC endorsement § 11.403 Structure of deck officer en- are removed. dorsements. (d) Individuals holding licenses or endorsements as master or mate of ves- The following diagram illustrates the sels of not more than 1600 gross tons, deck officer endorsement structure, in- not more than 500 gross tons, or not cluding cross over points. The section more than 25–200 gross tons are prohib- numbers on the diagram refer to the ited from using the provisions of para- specific requirements applicable.

[USCG–2006–24371, 74 FR 11240, Mar. 16, 2009] license or MMC endorsement as chief mate of ocean steam or motor vessels § 11.404 Service requirements for mas- as follows: ter of ocean or near coastal steam (1) A minimum of six months of serv- or motor vessels of any gross tons. ice as chief mate; and, The minimum service required to (2) Service as officer in charge of a qualify an applicant for an endorse- navigational watch accepted on a two- ment as master of ocean or near coast- for-one basis (12 months as second or al steam or motor vessels of any gross third mate equals six months of cred- tons is: itable service). (a) One year of service as chief mate on ocean steam or motor vessels; or, [CGD 81–059, 52 FR 38623, Oct. 16, 1987. Redes- ignated and amended by USCG–2006–24371, 74 (b) One year of service on ocean FR 11216 and 11241, Mar. 16, 2009] steam or motor vessels while holding a

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§ 11.405 Service requirements for chief tons by completing the prescribed ex- mate of ocean or near coastal steam amination in subpart I of this part. or motor vessels of any gross tons. [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as The minimum service required to amended at 54 FR 138, Jan. 4, 1989; USCG– qualify an applicant for an endorse- 2006–24371, 74 FR 11241, Mar. 16, 2009] ment as chief mate of ocean or near § 11.407 Service requirements for third coastal steam or motor vessels of any mate of ocean or near coastal steam gross tons is one year of service as offi- or motor vessels of any gross tons. cer in charge of a navigational watch (a) The minimum service or training on ocean steam or motor vessels while required to qualify an applicant for an holding a license or MMC endorsement endorsement as third mate of ocean or as second mate. near coastal steam or motor vessels of [CGD 81–059, 52 FR 38623, Oct. 16, 1987. Redes- any gross tons is: ignated and amended by USCG–2006–24371, 74 (1) Three years of service in the deck FR 11216 and 11241, Mar. 16, 2009] department on ocean steam or motor vessels, six months of which shall have § 11.406 Service requirements for sec- been as able seaman, boatswain, or ond mate of ocean or near coastal quartermaster, while holding a certifi- steam or motor vessels of any gross cate or endorsement as able seaman. tons. Experience gained in the engine de- The minimum service required to partment on vessels of appropriate ton- qualify an applicant for an endorse- nage may be creditable for up to three ment as second mate of ocean or near months of the service requirements for coastal steam or motor vessels of any this officer endorsement; or, gross tons is: (2) Graduation from: (i) The U.S. Merchant Marine Acad- (a) One year of service as officer in emy (deck curriculum); charge of a navigational watch on (ii) The U.S. Coast Guard Academy ocean steam or motor vessels while and qualification as an underway offi- holding a license or endorsement as cer in charge of a navigational watch; third mate; or, (iii) The U.S. Naval Academy and (b) While holding a license or MMC qualification as an underway officer in endorsement as third mate of ocean charge of a navigational watch; or, steam or motor vessels of any gross (iv) The deck class of a maritime tons, 12 months of service on deck as academy approved by and conducted follows: under rules prescribed by the Maritime (1) A minimum of six months service Administrator and listed in part 310 of as officer in charge of a deck watch on this title, including the ocean option ocean steam or motor vessels; in com- program in the deck class of the Great bination with, Lakes Maritime Academy; or, (2) Service on ocean steam or motor (3) Satisfactory completion of a three vessels as boatswain, able seaman, or year apprentice mate training program quartermaster while holding a certifi- approved by the Commandant. cate or MMC endorsement as able sea- (b) Graduation from the deck class of man, which may be accepted on a two- the Great Lakes Maritime Academy with no ocean sea service will qualify for-one basis to a maximum allowable the graduate to be examined for an en- substitution of six months (12 months dorsement as third mate near coastal of experience equals 6 months of cred- steam or motor vessels of any gross itable service); or, tons. (c) An individual holding an endorse- (c) While holding a license or MMC ment or license as master of Great endorsement as master of ocean or Lakes and inland steam or motor ves- near coastal steam or motor vessels of sels of any gross tons or master of in- not more than 1,600 gross tons, one land steam or motor vessels of any year of service as master on vessels of gross tons, may obtain an endorsement over 200 gross tons operating on ocean as second mate of ocean or near coastal or near coastal waters will qualify the steam or motor vessels of any gross applicant for an endorsement as third

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mate of ocean or near coastal steam or sels. One year of the service as master, motor vessels of any gross tons. mate, master or mate (pilot) of towing [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as vessels, or equivalent supervisory posi- amended by USCG 2002–13213, 67 FR 64315, tion must have been on vessels of over Oct. 18, 2002; USCG–2006–24371, 74 FR 11241, 100 gross tons; or, Mar. 16, 2009] (b) An applicant holding a license or MMC endorsement as chief mate or § 11.410 Requirements for deck officer second mate of ocean or near coastal endorsements for vessels of not more than 1600 gross tons. steam or motor vessels of over 1600 gross tons is eligible for this endorse- (a) Endorsements as master and mate ment upon completion of a limited ex- of vessels of not more than 1600 gross amination. tons are issued in the following tonnage categories: [CGD 81–059, 54 FR 138, Jan. 4, 1989, as amend- (1) Not more than 1,600 gross tons; ed by USCG–1999–6224, 64 FR 63228, Nov. 19, (2) Not more than 500 gross tons; or, 1999; 66 FR 20936, Apr. 26, 2001; USCG–2006– (3) Between 25–200 gross tons in 50 ton 24371, 74 FR 11241, Mar. 16, 2009] increments and with appropriate mode of propulsion such as steam or motor, § 11.414 Service requirements for mate sail, or auxiliary sail. of ocean steam or motor vessels of (b) Experience gained in the engine not more than 1600 gross tons. department on vessels of appropriate The minimum service required to tonnage may be creditable for up to 25 qualify an applicant for an endorse- percent of the service requirements for ment as mate of ocean steam or motor any mate endorsement in this cat- vessels of not more than 1600 gross tons egory. is: (c) An officer’s endorsement in this (a) Three years total service in the category obtained with an orally-as- deck department of ocean or near sisted examination will be limited to coastal steam or motor, sail, or auxil- 500 gross tons. In order to raise that iary sail vessels. Service on Great tonnage limit to 1,600 gross tons, the Lakes and inland waters may sub- written examination and service re- stitute for up to 18 months of the requirements must be satisfied. quired service. One year of the required [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as service must have been on vessels of amended at 54 FR 138, Jan. 4, 1989; USCG– over 100 gross tons. One year of the re- 2006–24371, 74 FR 11241, Mar. 16, 2009] quired service must have been as a § 11.412 Service requirements for mas- master, mate master or mate (pilot) of ter of ocean or near coastal steam towing vessels, or equivalent super- or motor vessels of not more than visory position while holding a license 1600 gross tons. or MMC endorsement as master, mate, The minimum service required to master or mate (pilot) of towing ves- qualify an applicant for an endorse- sels. Six months of the required service ment as master of ocean or near coast- as master, mate, master or mate (pilot) al steam or motor vessels of not more of towing vessels, or equivalent super- than 1600 gross tons is: visory position must have been on ves- (a) Four years total service on ocean sels of over 100 gross tons; or, or near coastal waters. Service on (b) Three years total service in the Great Lakes and inland waters may deck department on ocean or near substitute for up to two years of the re- coastal steam or motor, sail, or auxil- quired service. Two years of the re- iary sail vessels of over 200 gross tons. quired service must have been on ves- Six months of the required service sels of over 100 gross tons. Two years of must have been as able seaman. the required service must have been as a master, mate master or mate (pilot) [CGD 81–059, 54 FR 138, Jan. 4, 1989, as amend- of towing vessels, or equivalent super- ed by USCG–1999–6224, 64 FR 63228, Nov. 19, visory position while holding a license 1999; 66 FR 20936, Apr. 26, 2001; USCG–2006– or MMC endorsement as master, mate, 24371, 74 FR 11241, Mar. 16, 2009] master or mate (pilot) of towing ves-

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§ 11.416 Service requirements for mate near-coastal routes and completion of a of near coastal steam or motor ves- limited examination. 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; USCG–2006–24371, 74 FR 11242, Mar. 16, qualify an applicant for an endorse- 2009] ment as mate of near coastal steam or motor vessels of not more than 1600 § 11.420 Service requirements for mate of ocean steam or motor vessels of gross tons is two years total service in not more than 500 gross tons. the deck department of ocean or near coastal steam or motor, sail, or auxil- The minimum service required to qualify an applicant for an endorse- iary sail vessels. Service on Great ment as mate of ocean steam and Lakes and inland waters may sub- motor vessels of not more than 500 stitute for up to one year of the re- gross tons is two years total service in quired service. One year of the required the deck department of ocean or near service must have been on vessels of coastal steam or motor, sail, or auxil- over 100 gross tons. Six months of the iary sail vessels. Service on Great required service must have been as able Lakes and inland waters may sub- seaman, boatswain, quartermaster, or stitute for up to one year of the re- equivalent position on vessels of over quired service. One year of the required 100 gross tons while holding a certifi- service must have been as a master, cate or endorsement as able seaman. mate, or equivalent supervisory posi- [CGD 81–059, 54 FR 138, Jan. 4, 1989, as amend- tion while holding a license or endorse- ed by USCG–2006–24371, 74 FR 11242, Mar. 16, ment as master, mate, or operator of 2009] uninspected passenger vessels. Six months of the required service as mas- § 11.418 Service requirements for master, mate, or equivalent supervisory ter of ocean or near coastal steam position must have been on vessels of or motor vessels of not more than over 50 gross tons. 500 gross tons. The minimum service required to [CGD 81–059, 54 FR 138, Jan. 4, 1989, as amended by USCG–1999–6224, 64 FR 63228, Nov. 19, qualify an applicant for an endorse- 1999; USCG–2006–24371, 74 FR 11242, Mar. 16, ment as master of ocean or near coast- 2009] al steam or motor vessels of not more than 500 gross tons is: § 11.421 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 an endorse- required service. Two years of the re- ment as mate of near coastal steam or quired service must have been as a motor vessels of not more than 500 master, mate, or equivalent super- gross tons is two years total service in visory position while holding a license the deck department of ocean or near or MMC endorsement as master, mate, coastal steam or motor, sail, or auxil- or operator of uninspected passenger iary sail vessels. Service on Great vessels. One year of the required serv- Lakes and inland waters may sub- ice as master, mate, or equivalent su- stitute for up to one year of the re- pervisory position must have been on quired service. One year of the required vessels of over 50 gross tons. service must have been on vessels of (b) The holder of a license or MMC over 50 gross tons. Three months of the endorsement as master or mate (pilot) required service must have been as able of towing vessels authorizing service seaman, boatswain, quartermaster, or on oceans or near-coastal routes is eli- equivalent position on vessels of over gible for an endorsement as master of 50 gross tons while holding a certificate ocean or near-coastal steam or motor or endorsement as able seaman. vessels of not more than 500 gross tons [CGD 81–059, 54 FR 138, Jan. 4, 1989, as amend- after both 1 year of service as master ed by USCG–2006–24371, 74 FR 11242, Mar. 16, or mate of towing vessels on oceans or 2009]

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§ 11.422 Tonnage limitations and quali- less, the officer endorsement will be fying requirements for endorse- limited to vessels of not more than 25 ments as master or mate of vessels gross tons. of not more than 200 gross tons. [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as (a) Except as noted in paragraph (e), amended by CGD 81–059, 54 FR 139, Jan. 4, all endorsements issued for master or 1989; USCG–2006–24371, 74 FR 11242, Mar. 16, mate of vessels of not more than 200 2009] gross tons are issued in 50 gross ton increments based on the applicant’s § 11.424 Service requirements for mas- qualifying experience. The endorse- ter of ocean steam or motor vessels ment is limited to the maximum ton- of not more than 200 gross tons. nage on which at least 25 percent of the (a) The minimum service required to required experience was obtained, or qualify an applicant for an officer en- 150 percent of the maximum tonnage dorsement as master of ocean steam or on which at least 50 percent of the motor vessels of not more than 200 service was obtained, whichever is gross tons is: higher. Limitations are in multiples of (1) Three years total service on ocean 50 gross tons using the next higher fig- or near coastal waters. Service on ure when an intermediate tonnage is Great Lakes and inland waters may calculated. substitute for up to 18 months of the (b) The tonnage limitation on these required service. Two years of the re- endorsements may be raised upon com- quired service must have been as mas- pletion of: ter, mate, or equivalent supervisory (1) At least 45 days of additional serv- position while holding a license or ice on deck on a vessel of a higher ton- MMC endorsement as master, as mate, nage for a tonnage increase on a mate’s or as operator of uninspected passenger endorsement; or, vessels; or, (2) At least 90 days of additional serv- (2) Two years total service as a mas- ice on deck on a vessel of a higher ton- ter or mate of ocean or near-coastal nage for a tonnage increase on a mas- towing vessels. Completion of a limited ter’s endorsement; or, examination is also required. (3) Additional service, which, when (b) In order to obtain an officer en- combined with all previously accumu- dorsement for sail or auxiliary sail ves- lated service, will qualify the applicant sels, the applicant must submit evi- for a higher tonnage officer endorse- dence of 12 months of service on sail or ment under the basic formula; or, auxiliary sail vessels. The required 12 (4) Six months additional service in months of service may have been ob- the deck department on vessels within tained prior to issuance of the master’s the highest tonnage increment on the license or MMC endorsement. officer’s license or MMC endorsement. (c) In addition to any required exam- In this case, the tonnage limitation ination, the applicant must comply may be raised one increment. with the requirements listed in (c) When the service is obtained on § 11.401(g). vessels upon which no personnel need [CGD 81–059, 54 FR 139, Jan. 4, 1989, as amend- an officer endorsement or license, the ed by USCG–1999–6224, 64 FR 63228, Nov. 19, OCMI must be satisfied that the nature 1999; USCG–2006–24371, 74 FR 11242, Mar. 16, of this qualifying service (i.e., size of 2009] vessel, route, equipment, etc.) is a reasonable equivalent to the duties per- § 11.426 Service requirements for mas- formed on vessels which are required to ter of near coastal steam or motor engage individuals with officer en- vessels of not more than 200 gross dorsements. tons. (d) Service gained in the engine room (a) The minimum service required to on vessels of not more than 200 gross qualify an applicant for an endorse- tons may be creditable for up to 25 per- ment as master of near coastal steam cent of the deck service requirements or motor vessels of not more than 200 for mate. gross tons is: (e) When the qualifying service is ob- (1) Two years total service on ocean tained upon vessels of five gross tons or or near coastal waters. Service on

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Great Lakes and inland waters may sels, the applicant must submit evi- substitute for up to one year of the re- dence of six months of deck service on quired service. One year of the required sail or auxiliary sail vessels. service must have been as a master, (d) A license or MMC endorsement as mate, or equivalent supervisory posi- master of near coastal steam or motor tion while holding a license or endorse- vessels may be endorsed as mate of sail ment as master, as mate, or as oper- or auxiliary sail vessels upon presen- ator of uninspected passenger vessels; tation of three months of service on or, sail or auxiliary sail vessels. (2) One year of total service as mas- (e) In order to obtain a tonnage enter or mate of towing vessels on oceans dorsement for over 100 gross tons, the or near-coastal routes. Completion of a applicant must complete the additional limited examination is also required. examination topics indicated in sub- (b) In order to obtain an this officer part I of this part. endorsement for sail or auxiliary sail [CGD 81–059, 52 FR 38623, Oct. 16, 1987. Redes- vessels, the applicant must submit evi- ignated and amended by CGD 81–059, 54 FR dence of 12 months of service on sail or 139, Jan. 4, 1989; USCG–2006–24371, 74 FR 11242, auxiliary sail vessels. The required 12 Mar. 16, 2009] months of service may have been obtained prior to issuance of the master’s § 11.428 Service requirements for mas- license or MMC endorsement. ter of near coastal steam or motor vessels of not more than 100 gross [CGD 81–059, 54 FR 139, Jan. 4, 1989, as amend- tons. ed by USCG–1999–6224, 64 FR 63228, Nov. 19, 1999; USCG–2006–24371, 74 FR 11242, Mar. 16, (a) The minimum service required to 2009] qualify an applicant for an endorsement as master of near coastal steam § 11.427 Service requirements for mate or motor vessels of not more than 100 of near coastal steam or motor ves- gross tons is two years total service in sels of not more than 200 gross tons. the deck department of steam or (a) The minimum service required to motor, sail, or auxiliary sail vessels on qualify an applicant for endorsement ocean or near coastal waters. Service as mate of near coastal steam or motor on Great Lakes and inland waters may vessels of not more than 200 gross tons substitute for up to one year of the re- is: quired service. (1) Twelve months total service in (b) In order to obtain an endorsement the deck department of ocean or near for sail or auxiliary sail vessels, the ap- coastal steam or motor, sail, or auxil- plicant must submit evidence of 12 iary sail vessels. Service on Great months of service on sail or auxiliary Lakes and inland waters may sub- sail vessels. The required 12 months of stitute for up to six months of the re- service may have been obtained prior quired service; or, to issuance of the license or MMC en- (2) Three months of service in the dorsement. deck department of steam or motor [CGD 81–059, 54 FR 139, Jan. 4, 1989, as amend- vessels operating on ocean, near coast- ed by USCG–2006–24371, 74 FR 11242, Mar. 16, al, Great Lakes or inland waters while 2009] holding a license or MMC endorsement as master of inland steam or motor, § 11.429 Service requirements for lim- sail or auxiliary sail vessels of not ited master of near coastal steam or more than 200 gross tons. motor vessels of not more than 100 (b) The holder of a license or MMC gross tons. endorsement as operator of (a) Limited masters’ endorsements uninspected passenger vessels with a for near coastal vessels of not more near coastal route endorsement may than 100 gross tons may be issued to obtain this endorsement by success- applicants to be employed by organiza- fully completing an examination on tions such as yacht clubs, marinas, for- rules and regulations for small pas- mal camps and educational institu- senger vessels. tions. An endorsement issued under (c) In order to obtain this officer en- this section is limited to the specific dorsement for sail or auxiliary sail ves- activity and the locality of the yacht

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club, marina or camp. In order to ob- ward of the International Regulations tain this restricted endorsement, an for Preventing Collisions at Sea applicant must: (COLREGS) demarcation line as de- (1) Have four months of service on fined in 33 CFR part 80, the applicant any waters in the operation of the type must complete an examination on the of vessel for which the endorsement is COLREGS or the endorsement must ex- requested; clude such waters. (2) Satisfactorily complete a safe boating course approved by the Na- [CGD 81–059, 54 FR 139, Jan. 4, 1989, as amend- tional Association of State Boating ed by USCG–2006–24371, 74 FR 11242, Mar. 16, Law Administrators, or a safe boating 2009] course conducted by the U.S. Power § 11.431 Tonnage requirements for Squadron or the American Red Cross, Great Lakes and inland endorse- or a Coast Guard approved course. This ments for vessels of over 1600 gross course must have been completed with- tons. in five years before the date of application; and, (a) All required experience for Great (3) Pass a limited examination appro- Lakes and inland unlimited endorse- priate for the activity to be conducted ments must be obtained on vessels of and the route authorized. over 200 gross tons. At least one-half of (b) The first aid and cardiopulmonary the required experience must be ob- resuscitation (CPR) course certificates tained on vessels of 1600 gross tons or required by § 11.205(e) will only be re- over. quired when, in the opinion of the (b) Tonnage limitations may be im- OCMI, the geographic area over which posed on these endorsements in accord- service is authorized precludes obtain- ance with § 11.402 (b) and (c). ing medical services within a reason- [CGD 81–059, 52 FR 38623, Oct. 16, 1987. Redes- able time. ignated and amended by USCG–2006–24371, 74 (c) In order to obtain an endorsement FR 11216 and 11242, Mar. 16, 2009] for sail or auxiliary sail vessels, the applicant must submit evidence of four § 11.433 Service requirements for mas- months of service on sail or auxiliary ter of Great Lakes and inland steam sail vessels. The required four months or motor vessels of any gross tons. of service may have been obtained The minimum service required to prior to issuance of the license or MMC qualify an applicant for an endorse- endorsement. ment as master of Great Lakes and in- [CGD 81–059, 54 FR 139, Jan. 4, 1989, as amend- land steam or motor vessels of any ed by USCG-2000–7790, 65 FR 58458, Sept. 29, gross tons is: 2000; USCG–2006–24371, 74 FR 11242, Mar. 16, (a) One year of service as mate or 2009] first class pilot while acting in the ca- § 11.430 Endorsements for the Great pacity of first mate of Great Lakes Lakes and inland waters. steam or motor vessels of more than 1600 gross tons; or, Any license or MMC endorsement issued for service on the Great Lakes (b) Two years of service as master of and inland waters is valid on all of the inland (excluding the Great Lakes) inland waters of the United States as steam or motor vessels of more than defined in this part. Any license or 1600 gross tons; or, MMC endorsement issued for service on (c) One year of service upon Great inland waters is valid for the inland Lakes waters while holding a license or waters of the United States, excluding MMC endorsement as mate or first the Great Lakes. Licenses and MMC class pilot of Great Lakes and inland endorsements with either a Great steam or motor vessels of more than Lakes and inland or an inland route 1600 gross tons. A minimum of six are valid for service on the sheltered months of this service must have been waters of the Inside Passage between in the capacity of first mate. Service as Puget Sound and Cape Spencer, Alas- second mate is accepted for the re- ka. As these licenses and MMC endorse- mainder on a two-for-one basis to a ments authorize service on waters sea- maximum of six months (12 months of

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service equals six months of creditable months of the service requirements service). under paragraph (a)(1) of this section. [CGD 81–059, 52 FR 38623, Oct. 16, 1987. Redes- [CGD 81–059, 52 FR 38623, Oct. 16, 1987. Redes- ignated and amended by USCG–2006–24371, 74 ignated and amended by USCG–2006–24371, 74 FR 11216 and 11243, Mar. 16, 2009] FR 11216 and 11243, Mar. 16, 2009]

§ 11.435 Service requirements for mas- § 11.442 Service requirements for master of inland steam or motor vessels ter of Great Lakes and inland steam of any gross tons. or motor vessels of not more than 1600 gross tons. The minimum service required to qualify an applicant for an endorse- The minimum service required to ment as master of inland (excluding qualify an applicant for an endorse- the Great Lakes) steam or motor ves- ment as master of Great Lakes and in- sels of any gross tons is: land steam or motor vessels of not more than 1600 gross tons is: (a) One year of service as first class pilot (of other than canal and small (a) Three years total service on vessels. Eighteen months of the required lakes routes) or mate of Great Lakes or service must have been on vessels of inland steam or motor vessels of more over 100 gross tons. One year of the re- than 1,600 gross tons; or, quired service must have been as a (b) Two years of service as master, mate, or equivalent super- wheelsman or quartermaster while visory position on vessels of over 100 holding a mate/first class pilot license gross tons while holding a license or or MMC endorsement. MMC endorsement as master, as mate, [CGD 81–059, 52 FR 38623, Oct. 16, 1987. Redes- or as master of towing vessels; or, ignated and amended by USCG–2006–24371, 74 (b) Six months of service as operator FR 11216 and 11243, Mar. 16, 2009] on vessels of over 100 gross tons while holding a license or MMC endorsement § 11.437 Service requirements for mate as master of towing vessels. of Great Lakes and inland steam or motor vessels of any gross tons. [CGD 81–059, 54 FR 140, Jan. 4, 1989, as amended by USCG–1999–6224, 64 FR 63228, Nov. 19, (a) The minimum service required to 1999; USCG–2006–24371, 74 FR 11243, Mar. 16, qualify an applicant for an endorse- 2009] ment as mate of Great Lakes and inland steam or motor vessels of any § 11.444 Service requirements for mate gross tons is: of Great Lakes and inland steam or motor vessels of not more than 1600 (1) Three years of service in the deck gross tons. department of steam or motor vessels, at least three months of which must The minimum service required to have been on vessels on inland waters qualify an applicant for an endorse- and at least six months of which must ment as mate of Great Lakes and inland steam or motor vessels of not have been as able seaman, inland mate, more than 1600 gross tons is: boatswain, wheelsman, quartermaster, (a) Two years total service in the or equivalent position; deck department of steam or motor, (2) Graduation from the deck class of sail, or auxiliary sail vessels. One year the Great Lakes Maritime Academy; of the required service must have been or, on vessels of over 100 gross tons. Six (3) While holding a license or MMC months of the required service must endorsement as master of Great Lakes have been as able seaman, boatswain, and inland steam or motor vessels of quartermaster, or equivalent position not more than 1600 gross tons, one year on vessels of over 100 gross tons while service as master on vessels of over 200 holding a certificate or endorsement as gross tons. able seaman; or, (b) Service gained in the engine de- (b) One year total service as master partment on vessels of appropriate ton- of steam or motor, sail, or auxiliary nage may be creditable for up to six sail vessels, or operator of uninspected passenger vessels, of over 50 gross tons

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while holding a license or MMC en- vessels. One year of the required serv- dorsement as master steam or motor, ice must have been on vessels of over 50 sail, or auxiliary sail vessels of not gross tons. Three months of the re- more than 200 gross tons or operator of quired service must have been as able uninspected passenger vessels; or, seaman, boatswain, quartermaster, or (c) Six months total service as mate equivalent position on vessels of over (pilot) of towing vessels on vessels of 50 gross tons while holding a certificate over 100 gross tons. or endorsement as able seaman. [CGD 81–059, 54 FR 140, Jan. 4, 1989, as amend- [CGD 81–059, 54 FR 140, Jan. 4, 1989, as amended by USCG–1999–6224, 64 FR 63228, Nov. 19, ed by USCG–2006–24371, 74 FR 11243, Mar. 16, 1999; USCG–2006–24371, 74 FR 11243, Mar. 16, 2009] 2009] § 11.450 Tonnage limitations and quali- § 11.446 Service requirements for mas- fying requirements for endorse- ter of Great Lakes and inland steam ments as master or mate of Great or motor vessels of not more than Lakes and inland vessels of not 500 gross tons. more than 200 gross tons. The minimum service required to (a) Except as noted in subparagraph qualify an applicant for an endorse- (d), all endorsements issued for master ment as master of Great Lakes and in- or mate of vessels of not more than 200 land steam or motor vessels of not gross tons are issued in 50 ton incre- more than 500 gross tons is: ments based on the applicants quali- (a) Three years total service on ves- fying experience in accordance with sels. One year of the required service the provisions of § 11.422. See the ton- must have been as a master, mate, or nage and qualifying service discussion equivalent supervisory position on ves- in § 11.422 for further clarification. sels of over 50 gross tons while holding (b) Service gained in the engineroom a license or MMC endorsement as mas- on vessels of not more than 200 gross ter, as mate, or as operator of tons may be creditable for up to 25 per- uninspected passenger vessels. cent of the deck service requirements (b) An applicant holding a license or for mate. MMC endorsement as master of ocean, (c) When the service is obtained on near coastal, or Great Lakes and in- vessels upon which personnel with li- land towing vessels is eligible for this censes or endorsements are not re- endorsement after six months of serv- quired, the OCMI must be satisfied that ice as master of towing vessels and the nature of this qualifying service completion of a limited examination. (i.e., size of vessel, route, equipment, This requires three and one-half years etc.) is a reasonable equivalent to the of service. Two years of this service duties performed on vessels which are must have been served while holding a required to engage individuals with en- license or MMC endorsement as master dorsements. or mate (pilot) of towing vessels, or (d) When the qualifying service is ob- mate. tained upon vessels of five gross tons or less, the endorsement will be limited to [CGD 81–059, 54 FR 140, Jan. 4, 1989, as amend- vessels of not more than 25 gross tons. ed by USCG 1999–6224, 64 FR 63228, Nov. 19, 1999; USCG–2006–24371, 74 FR 11243, Mar. 16, [CGD 81–059, 52 FR 38623, Oct. 16, 1987. Redes- 2009] ignated and amended by USCG–2006–24371, 74 FR 11216 and 11243, Mar. 16, 2009] § 11.448 Service requirements for mate of Great Lakes and inland steam or § 11.452 Service requirements for mas- motor vessels of not more than 500 ter of Great Lakes and inland steam gross tons. or motor vessels of not more than The minimum service required to 200 gross tons. qualify an applicant for an endorse- (a) The minimum service required to ment as mate of Great Lakes and in- qualify an applicant for an endorse- land steam or motor vessels of not ment as master of Great Lakes and in- more than 500 gross tons is two years land steam or motor vessels of not total service in the deck department of more than 200 gross tons is one year of steam or motor, sail, or auxiliary sail service on vessels. Six months of the

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required service must have been as completing an examination on rules master, mate, or equivalent super- and regulations for small passenger visory position while holding a license vessels. To obtain authority to serve or MMC endorsement as master, mate, on the Great Lakes, three months of master or mate (pilot) of towing ves- the required service must have been on sels, or operator of uninspected pas- Great Lakes waters, otherwise the en- senger vessels. To obtain authority to dorsement will be limited to the inland serve on the Great Lakes, three waters of the United States (excluding months of the required service must the Great Lakes). have been on Great Lakes waters, oth- (e) In order to obtain a tonnage en- erwise the endorsement will be limited dorsement of over 100 gross tons, the to the inland waters of the United applicant must complete the additional States (excluding the Great Lakes). examination topics indicated in sub- (b) In order to obtain an endorsement part I of this part. for sail or auxiliary sail vessels, the ap- [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as plicant must have six months of serv- amended at 54 FR 140, Jan. 4, 1989; USCG– ice on sail or auxiliary sail vessels. The 2006–24371, 74 FR 11243, Mar. 16, 2009] required six months of service may have been obtained prior to issuance of § 11.455 Service requirements for mas- the master’s license or MMC endorse- ter of Great Lakes and inland steam ment. or motor vessels of not more than 100 gross tons. [CGD 81–059, 54 FR 140, Jan. 4, 1989, as amended by USCG–1999–6224, 64 FR 63228, Nov. 19, (a) The minimum service required to 1999; USCG–2006–24371, 74 FR 11243, Mar. 16, qualify an applicant for an endorse- 2009] ment as master of Great Lakes and inland steam or motor vessels of not § 11.454 Service requirements for mate more than 100 gross tons is one year of of Great Lakes and inland steam or total service in the deck department of motor vessels of not more than 200 steam or motor, sail, or auxiliary sail gross tons. vessels. To obtain authority to serve (a) The minimum service required to on the Great Lakes, three months of qualify an applicant for an endorse- the required service must have been on ment as mate of Great Lakes and in- Great Lakes waters, otherwise the en- land steam or motor vessels of not dorsement will be limited to the inland more than 200 gross tons is six months waters of the United States (excluding of service in the deck department of the Great Lakes). steam or motor, sail, or auxiliary sail (b) In order to obtain an endorsement vessels. To obtain authority to serve for sail or auxiliary sail vessels, the ap- on the Great Lakes, three months of plicant must submit evidence of six the required service must have been on months of service on sail or auxiliary Great Lakes waters, otherwise the en- sail vessels. The required six months of dorsement will be limited to the inland service may have been obtained prior waters of the United States (excluding to issuance of the endorsement. the Great Lakes). [CGD 81–059, 54 FR 140, Jan. 4, 1989, as amend- (b) In order to obtain an endorsement ed by USCG–2006–24371, 74 FR 11243, Mar. 16, for sail or auxiliary sail vessels, the ap- 2009] plicant must submit evidence of three months of service on sail or auxiliary § 11.456 Service requirements for lim- sail vessels. ited master of Great Lakes and in- (c) An endorsement as master of land steam or motor vessels of not steam or motor vessels may be en- more than 100 gross tons. dorsed as mate of sail or auxiliary sail Limited masters’ endorsements for vessels upon presentation of three vessels of not more than 100 gross tons months service on sail or auxiliary sail upon Great Lakes and inland waters vessels. may be issued to applicants to be em- (d) The holder of a license or MMC ployed by organizations such as formal endorsement as operator of inland camps, educational institutions, yacht uninspected passenger vessels may ob- clubs, and marinas with reduced serv- tain this endorsement by successfully ice requirements. An endorsement

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issued under this paragraph is limited to issuance of the license or MMC en- to the specific activity and the locality dorsement. of the camp, yacht club or marina. In [CGD 81–059, 52 FR 38623, Oct. 16, 1987. Redes- order to obtain this restricted endorse- ignated and amended by CGD 81–059, 54 FR ment, an applicant must: 141, Jan. 4, 1989; USCG–2006–24371, 74 FR 11243, (a) Have four months of service in the Mar. 16, 2009] operation of the type of vessel for which the endorsement is requested; § 11.459 Service requirements for mas- and, ter or mate of rivers. (b) Satisfactorily complete a safe (a) An applicant for an endorsement boating course approved by the Na- as master of river steam or motor ves- tional Association of State Boating sels of any gross tons must meet the Law Administrators, a public edu- same service requirements as master of cation course conducted by the U.S. inland steam or motor vessels of any Power Squadron or the American Red gross tons. Cross, or a Coast Guard approved (b) An applicant for an endorsement course. This course must have been as master or mate of river steam or completed within five years before the motor vessels, with a limitation of 25– date of application; and, 1600 gross tons, must meet the same (c) Pass a limited examination appro- service requirements as those required priate for the activity to be conducted by this subpart for the corresponding and the route authorized. tonnage Great Lakes and inland steam (d) The first aid and cardiopulmonary or motor endorsement. Service on the resuscitation (CPR) course certificates Great Lakes is not, however, required. required by § 11.205(e) of this part will [CGD 81–059, 54 FR 141, Jan. 4, 1989, as amend- only be required when, in the opinion ed by USCG–2006–24371, 74 FR 11244, Mar. 16, of the OCMI, the geographic area over 2009] which service is authorized precludes obtaining medical services within a § 11.462 Endorsements for master or reasonable time. mate of uninspected fishing industry vessels. [CGD 81–059, 52 FR 38623, Oct. 16, 1987. Redes- (a) This section applies to endorse- ignated and amended by CGD 81–059, 54 FR ments for masters and mates of all ves- 140, Jan. 4, 1989; USCG–2000–7790, 65 FR 58458, sels, however propelled navigating the Sept. 29, 2000; USCG–2006–24371, 74 FR 11243, Mar. 16, 2009] high seas, which are documented to engage in the fishing industry, with the § 11.457 Service requirements for mas- exception of: ter of inland steam or motor vessels (1) Wooden ships of primitive build; of not more than 100 gross tons. (2) Unrigged vessels; and, (a) An applicant for an endorsement (3) Vessels of less than 200 gross tons. as master of inland steam or motor (b) Endorsements as master or mate vessels of not more than 100 gross tons of uninspected fishing industry vessels must present one year of service on are issued for either ocean or near- any waters. In order to raise the ton- coastal routes, depending on the exam- nage limitation over 100 gross tons, the ination completed. To qualify for an examination topics indicated in sub- uninspected fishing industry vessel en- part I of this part must be completed in dorsement, the applicant must satisfy addition to satisfying the experience the training and examination requirements of § 11.401(g) of this subpart. requirements of § 11.452(a). (c) An applicant for an endorsement (b) In order to obtain an endorsement as master of uninspected fishing indus- for sail or auxiliary sail vessels, the ap- try vessels must have four years of plicant must submit evidence of six total service on ocean or near coastal months of service on sail or auxiliary routes. Service on Great Lakes or in- sail vessels. The required six months of land waters may substitute for up to service may have been obtained prior two years of the required service. One year of the required service must have

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been as master, mate, or equivalent su- (iv) Six months service as mate on pervisory position while holding a li- vessels over 1600 gross tons results in cense or MMC endorsement as master, raising the limitation for master to the mate, master or mate (pilot) of towing tonnage on which at least 50 percent of vessels, or OUPV. the service was obtained; (1) To qualify for an endorsement for (v) Two years of service as a deck- not more than 500 gross tons, at least hand on a vessel while holding a license two years of the required service, in- or MMC endorsement as master results cluding the one year as master, mate in a limitation on the MMC equal to or equivalent, must have been on ves- 150 percent of the tonnage of that vessels of more than 50 gross tons. sel up to 5,000 gross tons; or (2) To qualify for an endorsement for (vi) One year of service as deckhand not more than 1,600 gross tons, at least on a vessel while holding a license or two years of the required service, in- MMC endorsement as master results in cluding the one year as master, mate, a limitation on the MMC equal to the or equivalent, must have been on ves- tonnage of that vessel. sels of more than 100 gross tons. (d) An applicant for an endorsement (3) To qualify for an endorsement for as mate of uninspected fishing industry more than 1,600 gross tons, but not vessels must have three years of total more than 5,000 gross tons, the vessel service on ocean or near-coastal routes. Service on Great Lakes or inland wa- tonnage upon which the four years of ters may substitute for up to 18 months required service was obtained will be of the required service. used to compute the tonnage. The en- (1) To qualify for an endorsement of dorsement is limited to the maximum not more than 500 gross tons, at least tonnage on which at least 25 percent of one year of the required service must the required service was obtained or 150 have been on vessels of more than 50 percent of the maximum tonnage on gross tons. which at least 50 percent of the service (2) To qualify for an endorsement of was obtained, whichever is higher. not more than 1,600 gross tons, at least Limitations are in multiples of 1,000 one year of the required service must gross tons, using the next higher figure have been on vessels of more than 100 when an intermediate tonnage is cal- gross tons. culated. An endorsement as master of (3) To qualify for an endorsement of uninspected fishing industry vessels more than 1,600 gross tons, but not authorizing service on vessels more more than 5,000 gross tons, the vessel than 1,600 gross tons also requires one tonnage upon which the three years of year as master, mate, or equivalent on required service was obtained will be vessels more than 100 gross tons. used to compute the tonnage. The en- (4) The tonnage limitation for this dorsement is limited to the maximum endorsement may be raised using one tonnage on which at least 25 percent of of the following methods but cannot the required service was obtained, or exceed 5,000 gross tons. Limitations are 150 percent of the maximum tonnage in multiples of 1,000 gross tons, using on which at least 50 percent of the the next higher figure when an inter- service was obtained, whichever is mediate tonnage is calculated. higher. Limitations are in multiples of (i) Three months service as master on 1,000 gross tons, using the next higher a vessel results in a limitation in that figure when an intermediate tonnage is capacity equal to the tonnage of that calculated. vessel rounded up to the next multiple (4) The tonnage limitation on this en- of 1000 gross tons; dorsement may be raised using one of (ii) Six months service as master on the following methods, but cannot ex- a vessel results in a limitation in that ceed 5,000 gross tons. Limitations are capacity equal to 150% of the tonnage in multiples of 1000 gross tons, using of that vessel; the next higher figure when an inter- (iii) Six months service as master on mediate tonnage is calculated. vessels over 1600 gross tons results in (i) Three months service as mate on a raising the limitation to 5000 gross vessel results in a limitation in that tons; capacity equal to the tonnage of that

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vessel rounded up to the next multiple (1) Master of towing vessels. of 1000 gross tons; (2) Master of towing vessels, limited. (ii) Six months service as mate on a (3) Mate (pilot) of towing vessels. vessel results in a limitation in that (4) Mate (pilot) of towing vessels, capacity equal to 150% of the tonnage limited. of that vessel; (5) Apprentice mate (steersman). (iii) Six months service as mate on vessels over 1600 gross tons results in (6) Apprentice mate (steersman), lim- raising the limitation to 5000 gross ited. tons; (b) An endorsement as master of tow- (iv) One year of service as deckhand ing vessels means an endorsement to on vessels more than 1,600 gross tons operate towing vessels not restricted to while holding a license or MMC en- local areas designated by OCMIs. This dorsement as mate, results in raising also applies to a mate (pilot) of towing the limitation on the MMC to 5,000 vessels. gross tons; (c) For this section, limited means an (v) Two years of service as a deck- endorsement to operate a towing vessel hand on a vessel while holding a license of less than 200 gross tons limited to a or MMC endorsed as mate results in a local area within the Great Lakes, in- limitation on the MMC equal to 150 land waters, or Western Rivers des- percent of the tonnage of that vessel up ignated by the OCMI. to 5,000 gross tons; or (vi) One year of service as deckhand [USCG–1999–6224, 64 FR 63228, Nov. 19, 1999, as on a vessel while holding a license or amended at 66 FR 20936, Apr. 26, 2001; 68 FR MMC endorsement as mate results in a 35812, June 17, 2003; USCG–2006–24371, 74 FR limitation on the MMC equal to the 11244, Mar. 16, 2009] tonnage of that vessel. (e) Applicants may request an oral § 11.464 Requirements for endorse- examination on the subjects listed in ments as master of towing vessels. subpart I of this part. (a) If you would like to obtain an en- [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as dorsement as master of towing vessels amended at 54 FR 141, Jan. 4, 1989; USCG– with a route listed in column 1 of table 1999–6224, 64 FR 63228, Nov. 19, 1999; USCG– 11.464(a) of this section, then you must 2006–24371, 74 FR 11244, Mar. 16, 2009] complete the service requirements indicated in columns 2 through 5. You § 11.463 General requirements for endorsements as master, mate (pilot), may serve on the subordinate routes and apprentice mate (steersman) of listed in column 6 without further en- towing vessels. dorsement. (a) The Coast Guard issues the following endorsements:

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

TOS 3 on T/V as Subordinate Total TOS 3 on T/V as TOS 3 on Route endorsed 2 mate (pilot) not as route service mate (pilot) harbor assist particular route authorized

1 2 3 4 5 6

(1) OCEANS (O) ...... 48 18 of 48 ...... 12 of 18 ...... 3 of 18 ...... NC, GL–I (2) NEAR-COASTAL (NC) ...... 48 18 of 48 ...... 12 of 18 ...... 3 of 18 ...... GL–I (3) GREAT LAKES—INLAND (GL–I) ... 48 18 of 48 ...... 12 of 18 ...... 3 of 18. (4) WESTERN RIVERS (WR) ...... 48 18 of 48 ...... 12 of 18 ...... 3 of 18. 1 If you hold an endorsement as master of towing vessels you may have an endorsement-as mate (pilot) of towing vessels for a route superior to your current route on which you have no operating experience—placed on your MMC after passing an examination for that additional route. After you complete 90 days of experience and complete a Towing Officer’s Assessment Record on that route, we will add it to your endorsement as master of towing vessels and remove the one for mate (pilot) of towing vessels. 2 Service is in months. 3 TOS is time of service.

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(b) If you would like to obtain an en- requirements listed in columns 2 dorsement as master of towing vessels through 5 of table 11.464(b) of this sec- (limited), then you must complete the tion.

TABLE 11.464(b)—REQUIREMENTS FOR ENDORSEMENT AS MASTER OF TOWING VESSELS [Limited]

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

1 2 3 4 5

LIMITED LOCAL AREA (LLA) ...... 36 18 of 48 ...... 12 of 18 ...... 3 of 18. 1 Service is in months. 2 TOS is time of service.

(c) If you hold a license or MMC en- (g) If you began your service or train- dorsement as mate (pilot) of towing ing in the towing industry before May vessels, you may have master of towing 21, 2001, you may receive a license as vessels (limited) added to your MMC master of towing vessels if before May for a limited local area within the 21, 2004, you complete the examination scope of your current route. required by 46 CFR 10.903(a)(18)(i) and (d) Before you serve as master of tow- meet either of the following two re- ing vessels on the Western Rivers, you quirements: must possess 90 days of observation and (1) Three years of service, including— training and have your MMC include (i) Two years on deck aboard a vessel an endorsement for Western Rivers. 8 meters (26 feet) or more in length; (e) Each company must maintain evi- (ii) One year on deck aboard a towing dence that every vessel it operates is vessel, with at least 6 months of train- under the direction and control of a ing or duty in the wheelhouse of the mariner with the appropriate endorse- towing vessel; and ment and experience, including 30 days (iii) Three months in each particular of observation and training on the in- geographic area for which you are tended route other than Western Riv- seeking authority; or ers. (2) Three years of service aboard tow- (f) If you hold a license or MMC en- ing vessels, including— dorsement as a master of steam or (i) One year on deck, with at least 6 motor vessels of greater than 200 gross months of training or duty in the register tons, you may operate towing wheelhouse of the towing vessel; and vessels within any restrictions on your (ii) Three months in each particular endorsement if you: geographic area for which you are (1) Have a minimum of 30 days of seeking authority. training and observation on towing Your license does not need a towing vessels for the route being assessed, ex- endorsement if you hold a TOAR or a cept as noted in paragraph (e) of this course completion certificate. 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 35812, June 17, 2003; USCG–2008–0906, 73 FR Assessment Record (TOAR) described 56508, Sept. 29, 2008; USCG–2006–26202, 73 FR in § 11.304(h) that shows evidence of as- 52794, Sept. 11, 2008; USCG–2006–24371, 74 FR sessment of practical demonstration of 11244, Mar. 16, 2009] skills; or (ii) Complete an approved training § 11.465 Requirements for endorse- course. ments as mate (pilot) of towing ves- (3) Your license or MMC does not sels. need to include a towing endorsement (a) If you would like to obtain an en- if you hold a TOAR or complete an ap- dorsement as mate (pilot) of towing proved training course. vessels endorsed with a route listed in

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column 1 of table 11.465(a) of this sec- column 1 authorizes service on the sub- tion, then you must complete the serv- ordinate routes listed in column 7 ice in columns 2 through 5. If you hold without further endorsement. Time of a license or MMC endorsement as mas- service requirements as an apprentice ter of towing vessels (limited) and mate (steersman) of towing vessels would like to upgrade it to mate (pilot) may be reduced by an amount equal to of towing vessels, then you must com- the time specified in the approval let- plete the service in columns 5 and 6. An ter for the completed Coast Guard-ap- endorsement with a route endorsed in proved training programs.

TABLE 11.465–1—REQUIREMENTS FOR ENDORSEMENT AS MATE (PILOT 1) OF TOWING VESSELS

3 4 3 TOS TOAR 30 days of observation and TOS on T/V on or an training while Subordi- Route endorsed Total as appren- par- ap- holding master (limited) nate route service 2 tice mate 5 ticular proved and pass a limited authorized (steersman) route course examination

1 2 3 4 5 6 7

(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 (3) GREAT LAKES-INLAND (GL-I) 30 12 of 30 ...... 3 of 12 YES .... YES ...... (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 endorsement as pilot of towing vessels is equivalent to that as mate of towing vessels. All qualifications and equivalencies are the same. 2 Service is in months unless otherwise indicated. 3 TOS is time of service. 4 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.

(b) Before you serve as mate (pilot) of (3) Your license or MMC does not towing vessels on the Western Rivers, need to include a towing endorsement you must possess 90 days of observation if you hold a TOAR or a course comple- and training and have your MMC in- tion certificate. clude an endorsement for Western Riv- (e) If you hold any endorsement as a ers. master of steam or motor vessels of (c) Each company must maintain evi- any tonnage that is 200 GRT or less, ex- dence that every vessel it operates is cept for the limited masters endorse- under the direction and control of a ments specified in 46 CFR 11.429 and mariner with the appropriate endorse- 11.456, then you may obtain an endorsement and experience, including 30 days ment as mate (pilot) of towing vessels of observation and training on the in- by meeting the following requirements: tended route other than Western Riv- (1) Providing proof of 36 months of ers. service as a master under the authority of an endorsement described in para- (d) If you hold a license or MMC en- graph (e) of this section; dorsement as a mate of inspected, self- (2) Successfully completing the ap- propelled vessels of greater than 200 propriate TOAR; GRT or one as first-class pilot, then (3) Successfully completing the ap- you may operate towing vessels within propriate apprentice mate exam; and any restrictions on your credential if (4) Having a minimum of 30 days of you: training and observation on towing (1) Have a minimum of 30 days of vessels for the route being assessed, ex- training and observation on towing cept as noted in paragraph (b) of this vessels for the route being assessed, ex- section. cept as noted in paragraph (b) of this (f) An approved training course for section; and mate (pilot) of towing vessels must in- (2) Hold a completed Towing Officer’s clude formal instruction and practical Assessment Record (TOAR) described demonstration of proficiency either on- in § 11.304(h) that shows evidence of as- board a towing vessel or at a shoreside sessment of practical demonstration of training facility before a designated skills. examiner, and must cover the material

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(dependent upon route) required by able seaman special, including 3 § 11.910–2 for apprentice mate months in each particular geographic (steersman), towing vessels on ocean area for which you seek an endorse- and near coastal routes; apprentice ment; and either— mate (steersman), towing vessels on (A) Two months of training or duty Great Lakes and inland routes; or, in the wheelhouse; or steersman, towing vessels on Western (B) One month of training or duty in Rivers routes. the wheelhouse combined with comple- (g) If you began your service or train- tion of a course of training as towboat ing before May 21, 2001, you may re- operator approved by the Commanding ceive a license as mate of towing ves- Officer, National Maritime Center, sels if before November 21, 2003, you under subpart C of this part. complete the examination required by § 10.903(a)(18)(i) and meet the require- [USCG–1999–6224, 64 FR 63232, Nov. 19, 1999, as ments in either paragraph (f)(1)(i) or amended at 66 FR 20940, Apr. 26, 2001; 68 FR (f)(1)(ii) of this section: 35814, June 17, 2003; USCG–2006–26202, 73 FR (1) You must have served at least 18 52794, Sept. 11, 2008; USCG–2006–24371, 74 FR months on deck, including 12 months 11245, Mar. 16, 2009] on towing vessels. This service must have included— § 11.466 Requirements for endorse- (i) At least 3 months of training or ments as apprentice mate (steersman) of towing vessels. duty in the wheelhouse of towing vessels, and 3 months of service in each (a) As Table 11.466(a) shows, if you particular geographic area for which would like to obtain an endorsement as you seek endorsement on the license; apprentice mate (steersman) of towing and vessels listed in column 1, endorsed (ii) At least 6 months on towing ves- with a route listed in column 2, then sels while holding a merchant mari- you must complete the service require- ner’s document endorsed as able sea- ments indicated in columns 3 through man unlimited, able seaman limited, or 6.

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

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

1 2 3 4 5 6

(1) APPRENTICE MATE (STEERSMAN) ...... OCEANS (0) ...... 18 12 of 18 ... 3 of 18 ..... YES. NEAR-COASTAL (NC) ...... 18 12 of 18 ... 3 of 18 ..... YES. GREAT LAKES ...... 18 12 of 18 ... 3 of 18 ..... YES. INLAND (GL–I) ...... 18 12 of 18 ... 3 of 18 ..... YES. WESTERN RIVERS (WR) 18 12 of 18 ... 3 of 18 ..... YES. (2) APPRENTICE MATE (STEERSMAN) (LIM- NOT APPLICABLE ...... 18 12 of 18 ... 3 of 18 ..... YES. ITED). 1 Service is in months. 2 TOS is time of service. 3 The examination for apprentice mate is specified in subpart I of this part. The examination for apprentice mate (limited) is a limited examination. 4 For all inland routes, as well as Western Rivers, the endorsement as steersman is equivalent to that as apprentice mate. All qualifications and equivalencies are the same.

(b) If you hold a license or endorse- operating experience. Upon completion ment as apprentice mate (steersman) of 3 months of experience on that of towing vessels you may obtain a re- route, you may have the restriction restricted endorsement as limited ap- moved. prentice mate (steersman). This en- [USCG–1999–6224, 64 FR 63234, Nov. 19, 1999, as dorsement will go on your MMC after amended at 66 FR 20942, Apr. 26, 2001; 68 FR you pass an examination for a route 35816, June 17, 2003; USCG–2006–24371, 74 FR that is not included in the current en- 11246, Mar. 16, 2009] dorsements and on which you have no

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§ 11.467 Endorsement as operators of National Red Cross or a Coast Guard- uninspected passenger vessels of approved course; less than 100 gross tons. (3) Pass a limited examination appro- (a) This section applies to an appli- priate for the activity to be conducted cant for the endorsement to operate an and the route authorized; and uninspected vessel of less than 100 (4) The first aid and cardiopulmonary gross tons, equipped with propulsion resuscitation (CPR) course certificates machinery of any type, carrying six or required by § 11.205(e) of this part will less passengers. only be required when, in the opinion (b) An endorsement for OUPV issued of the OCMI, the geographic area over for ocean waters will be limited to which service is authorized precludes near-coastal waters not more than 100 obtaining medical services within a miles offshore. An endorsement issued reasonable time. for inland waters will include all inland [USCG–2006–24371, 74 FR 11247, Mar. 16, 2009] waters, except Great Lakes. An endorsement may be issued for a par- § 11.468 Officer endorsements for mo- ticular local area under paragraph (g) bile offshore drilling units. of this section. Officer endorsements for service on (c) For an endorsement as OUPV on mobile offshore drilling units (MODUs) near-coastal waters, an applicant must authorize service on units of any gross have a minimum of 12-months experi- tons upon ocean waters while on loca- ence in the operation of vessels, includ- tion or while underway, as restricted ing at least three-months service on on the endorsement, except when mov- vessels operating on ocean or near- ing independently under their own coastal waters. power. (d) For an endorsement as OUPV on [CGD 81–059a, 55 FR 14799, Apr. 18, 1990, as the Great Lakes and inland waters, an amended by USCG–2006–24371, 74 FR 11244, applicant must have 12-months service Mar. 16, 2009] on Great Lakes or inland waters, including at least three-months service § 11.470 Officer endorsements as off- operating vessels on Great Lakes wa- shore installation manager. ters. (a) Officer endorsements as offshore (e) For an endorsement as OUPV on installation manager (OIM) include: inland waters, an applicant must have (1) OIM Unrestricted; a minimum of 12-months experience in (2) OIM Surface Units on Location; the operation of vessels. (3) OIM Surface Units Underway; (f) An endorsement as OUPV, limited (4) OIM Bottom Bearing Units on Lo- to undocumented vessels, may be cation; or issued to a person who is not a citizen (5) OIM Bottom Bearing Units Under- of the United States. way. (g) Limited OUPV endorsements may (b) To qualify for an endorsement as be issued to applicants to be employed OIM unrestricted, an applicant must: by organizations such as formal camps, (1) Present evidence of the following yacht clubs, educational institutions, experience: and marinas. An endorsement issued (i) Four years of employment as- under this paragraph will be limited to signed to MODUs including at least one the specific activity and the locality of year of service as driller, assistant the camp, yacht club, or marina. In driller, toolpusher, assistant order to obtain this restricted endorse- toolpusher, barge supervisor, mechan- ment, an applicant must: ical supervisor, electrician, crane oper- (1) Have three-months service in the ator, ballast control operator or equiv- operation of the type of vessel for alent supervisory position on MODUs, which the endorsement is requested; with a minimum of 14 days of that su- (2) Satisfactorily complete a safe- pervisory service on surface units; or boating course approved by the Na- (ii) A degree from a program in engi- tional Association of State Boating neering or engineering technology Law Administrators, or those public which is accredited by the Accredita- education courses conducted by the tion Board for Engineering and Tech- U.S. Power Squadron or the American nology (ABET). Commanding Officer,

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National Maritime Center will give (1) Present evidence of the following consideration to accepting education experience: credentials from programs having (i) Four years of employment as- other than ABET accreditation. An ap- signed to MODUs including at least one plicant qualifying through a degree year of service as driller, assistant program must also have at least 168 driller, toolpusher, assistant days of service as driller, assistant toolpusher, barge supervisor, mechan- driller, toolpusher, assistant ical supervisor, electrician, crane oper- toolpusher, barge supervisor, mechan- ator, ballast control operator or equiv- ical supervisor, electrician, crane oper- alent supervisory position on MODUs, ator, ballast control operator, or equiv- with a minimum of 14 days of that su- alent supervisory position on MODUs, pervisory service on surface units; or with a minimum of 14 days of that su- (ii) A degree from a program in engi- pervisory service on surface units; neering or engineering technology (2) Present evidence of training which is accredited by the Accredita- course completion as follows: tion Board for Engineering and Tech- (i) A certificate from a Coast Guard- nology (ABET). Commanding Officer, approved stability course approved for National Maritime Center will give a license or MMC endorsement as OIM consideration to accepting education unrestricted; credentials from programs having (ii) A certificate from a Coast Guard other than ABET accreditation. An ap- approved survival suit and survival plicant qualifying through a degree craft training course; program must also have at least 168 (iii) A certificate from a U.S. Min- days of service as driller, assistant erals Management Service approved driller, toolpusher, assistant blowout prevention and well control toolpusher, barge supervisor, mechan- training program for the driller, toolpusher, or operator representative ical supervisor, electrician, crane oper- position; ator, ballast control operator or equivalent supervisory position of MODUs, (iv) A certificate from a firefighting with a minimum of 14 days of that su- training course as required by § 11.205(d) of this part; and pervisory service on surface units; and (3) Provide a recommendation signed (2) Present evidence of training by a senior company official which: course completion as follows: (i) Provides a description of the ap- (i) A certificate from a Coast Guard- plicant’s experience and qualifications; approved stability course approved for a license or MMC endorsement as OIM (ii) Certifies that the individual has successfully directed, while under the surface units; supervision of an experienced rig (ii) A certificate from a Coast Guard mover, two rig moves each of surface approved survival suit and survival units and of bottom bearing units; and craft training course; (iii) Certifies that one of the rig (iii) A certificate from a U.S. Min- moves required under paragraph erals Management Service approved (b)(3)(ii) of this section was completed blowout prevention and well control within one year preceding date of ap- training program for the driller, plication. toolpusher, or operator representative (c) An applicant for an endorsement position; and as OIM unrestricted who holds an un- (iv) A certificate from a firefighting limited license or MMC endorsement as training course as required by master or chief mate must satisfy the § 11.205(d) of this part. requirements in paragraphs (b)(2) and (e) An applicant for an endorsement (b)(3) of this section and have at least as OIM surface units on location who 84 days of service on surface units and holds an unlimited license or MMC en- at least 28 days of service on bottom dorsement as master or chief mate bearing units. must satisfy the requirements of para- (d) To qualify for an endorsement as graph (d)(2) of this section and have at OIM surface units on location, an ap- least 84 days of service on surface plicant must: units.

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(f) To qualify for an endorsement as (1) Provides a description of the ap- OIM surface units underway, an appli- plicant’s experience and qualifications; cant 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 an endorsement as supervision of an experienced rig OIM bottom bearing units on location, mover, three rig moves of surface 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 operator, ballast control operator or equiv- (A) Provides a description of the ap- alent supervisory position on MODUs; plicant’s experience and company or qualifications program completed; (ii) A degree from a program in engi- (B) Certifies that the applicant has neering or engineering technology witnessed ten rig moves either as an which is accredited by the Accredita- observer in training or as a rig mover tion Board for Engineering and Tech- under supervision; nology (ABET). Commanding Officer, (C) Certifies that the individual has National Maritime Center will give successfully directed, while under the consideration to accepting education supervision of an experienced rig credentials from programs having mover, five rig moves of surface units; other than ABET accreditation. An ap- and plicant qualifying through a degree (D) Certifies that one of the rig program must also have at least 168 moves required under paragraph days of service as driller, assistant (f)(1)(ii)(C) of this section was com- driller, toolpusher, assistant pleted within one year preceding date toolpusher, barge supervisor, mechan- of application; and ical supervisor, electrician, crane oper- (2) Present evidence of training ator, ballast control operator or equiv- course completion as follows: alent supervisory position on MODUs; (i) A certificate from a Coast Guard- and approved stability course approved for (2) Present evidence of training an OIM surface units endorsement; course completion as follows: (ii) A certificate from a Coast Guard (i) A certificate from a Coast Guard approved survival suit and survival approved survival suit and survival craft training course; and craft training course; (iii) A certificate from a firefighting (ii) A certificate from a U.S. Minerals training course as required by Management Service approved blowout § 11.205(d) of this part. prevention and well control training (g) An applicant for endorsement as program for the driller, toolpusher, or OIM surface units underway who holds operator representative position; and an unlimited license or MMC endorse- (iii) A certificate from a firefighting ment as master or chief mate must sat- training course as required by isfy the requirements in paragraph § 11.205(d) of this part. (f)(2) of this section and provide a com- (i) An applicant for an endorsement pany recommendation signed by a sen- as OIM bottom bearing units on loca- ior company official which: tion who holds an unlimited license or

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MMC endorsement as master or chief must satisfy the requirements in para- mate must satisfy paragraph (h)(2) of graph (j)(2) of this section and provide this section and have at least 28 days of a company recommendation signed by service on bottom bearing units. a senior company official, which: (j) To qualify for an endorsement as (1) Provides a description of the ap- OIM bottom bearing units underway, plicant’s experience and qualifications; an applicant 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 (h)(1) of this sec- mover, three rig moves of bottom bear- tion with a recommendation signed by ing units; and a senior company official which: (3) Certifies that one of the rig moves (A) Provides a description of the ap- required under paragraph (k)(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 [CGD 81–059a, 55 FR 14799, Apr. 18, 1990, as supervision of an experienced rig amended by CGD 95–072, 60 FR 50460, Sept. 29, mover, three rig moves of bottom bear- 1995; CGD 95–028, 62 FR 51195, Sept. 30, 1997; ing units; and USCG–1998–4442, 63 FR 52189, Sept. 30, 1998; (C) Certifies that one of the rig USCG–2006–24371, 74 FR 11247, Mar. 16, 2009] moves required under paragraph (j)(1)(i)(B) of this section was com- § 11.472 Officer endorsements as barge pleted within one year preceding date supervisor. of application; or (a) To qualify for an endorsement as (ii) A recommendation signed by a barge supervisor (BS), an applicant senior company official which: 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 observer in training or as a rig mover driller, toolpusher, assistant tool push- under supervision; er, mechanic, electrician, crane oper- (C) Certifies that the individual has ator, subsea specialist, ballast control successfully directed, while under the operator or equivalent supervisory po- supervision of an experienced rig sition on MODUs. At least 84 days of mover, five rig moves of bottom bear- that service shall have been as a bal- ing units; and last control operator or barge super- (D) Certifies that one of the rig visor trainee; or moves required under paragraph (ii) A degree from a program in engi- (j)(1)(ii)(C) of this section was com- neering or engineering technology pleted within one year preceding date which is accredited by the Accredita- of application; and 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 a license or MMC endorsement as OIM other than ABET accreditation. An ap- bottom bearing units; 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; and driller, toolpusher, assistant (iii) A certificate from a firefighting toolpusher, mechanic, electrician, training course as required by crane operator, subsea specialist, bal- § 11.205(d) of this part. last control operator or equivalent su- (k) An applicant for endorsement as pervisory position on MODUs. At least OIM bottom bearing units underway 84 days of that service shall have been who holds an unlimited license or MMC as a ballast control operator or barge endorsement as master or chief mate supervisor trainee; and

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(2) Present evidence of training a license or MMC endorsement as barge course completion as follows: supervisor or ballast control operator; (i) A certificate from a Coast Guard (ii) A certificate from a Coast Guard approved stability course approved for approved survival suit and survival a license or MMC endorsement as barge craft training course; and supervisor; (iii) A certificate from a firefighting (ii) A certificate from a Coast Guard training course as required by approved survival suit and survival § 11.205(d) of this part. craft training course; and (b) An applicant for an endorsement (iii) A certificate from a firefighting as BCO who holds an unlimited license training course as required by or MMC endorsement as master, mate, § 11.205(d) of this part. chief engineer, or assistant engineer (b) An applicant for an endorsement must satisfy the requirements in para- as BS who holds an unlimited license graph (a)(2) of this section and have at or MMC endorsement as master or least 28 days of service as a trainee mate must satisfy the requirements in under the supervision of an individual paragraph (a)(2) of this section and holding an endorsement as ballast con- have at least 84 days of service as bal- trol operator. last control operator or barge super- [CGD 81–059a, 55 FR 14801, Apr. 18, 1990, as visor trainee. amended by CGD 95–072, 60 FR 50460, Sept. 29, [CGD 81–059a, 55 FR 14801, Apr. 18, 1990, as 1995; CGD 95–028, 62 FR 51196, Sept. 30, 1997; amended by CGD 95–072, 60 FR 50460, Sept. 29, USDA–1998–4442, 63 FR 52189, Sept. 30, 1998; 1995; CGD 95–028, 62 FR 51195, Sept. 30, 1997; USCG–2006–24371, 74 FR 11248, Mar. 16, 2009] USCG–1998–4442, 63 FR 52189, Sept. 30, 1998; USCG–2006–24371, 74 FR 11248, Mar. 16, 2009] § 11.476 [Reserved]

§ 11.474 Officer endorsements as bal- § 11.480 Radar observer. last control operator. (a) This section contains the require- (a) To qualify for an endorsement as ments that an applicant must meet to ballast control operator (BCO), an ap- qualify as a radar observer. (Part 15 of plicant must: this chapter specifies who must qualify (1) Present evidence of the following as a radar observer.) experience: (b) If an applicant meets the require- (i) One year of employment assigned ments of this section, one of the fol- to MODUs including at least 28 days of lowing Radar-Observer endorsements service as a trainee under the super- will be added to his or her MMC: vision of an individual holding a li- (1) Radar Observer (Unlimited). cense or MMC endorsement as ballast (2) Radar Observer (Inland Waters control operator; or and GIWW). (ii) A degree from a program in engi- (3) Radar Observer (Rivers). neering or engineering technology (c) Radar Observer (Unlimited) is which is accredited by the Accredita- valid on all waters. Radar Observer (In- tion Board for Engineering and Tech- land Waters and GIWW) is valid only nology (ABET). Commanding Officer, for those waters other than the Great National Maritime Center will give Lakes covered by the Inland Naviga- consideration to accepting education tional Rules. Radar Observer (Rivers) credentials from programs having is valid only on any river, canal, or other than ABET accreditation. An ap- similar body of water designated by the plicant qualifying through a degree OCMI, but not beyond the boundary program must also have at least 28 line. days of service as a trainee under the (d) Except as provided by paragraphs supervision of an individual holding a (e) and (f) of this section, each appli- license or MMC endorsement as ballast cant for a Radar-Observer endorsement control operator; and or for renewal of an endorsement must (2) Present evidence of training complete the appropriate course ap- course completion as follows: proved by the Coast Guard, receive the (i) A certificate from a Coast Guard appropriate certificate of training, and approved stability course approved for present the certificate to the OCMI.

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(e) An applicant who possesses a vessel within the scope of the license or Radar-Observer endorsement, resides in MMC. a remote geographic area, and can sub- (d) The period of validity of the en- stantiate to the satisfaction of the dorsement is the same as the license or OCMI that the applicant’s absence will MMC on which it is included, and it disrupt normal movement of com- may be renewed with the MMC. merce, or that the applicant cannot attend an approved Radar-Observer re- [CGD 87–017, 53 FR 18562, May 24, 1988, as newal course, may have his or her en- amended by USCG-1999–6224, 64 FR 63235, dorsement renewed upon successful Nov. 19, 1999; USCG–2006–24371, 74 FR 11248, completion of an examination adminis- Mar. 16, 2009] tered by the Coast Guard, or by a third § 11.491 Officer endorsements for serv- party acceptable to the Coast Guard. ice on offshore supply vessels. (f) A Radar-Observer endorsement issued under this section is valid for 5 Each officer endorsements for service years after the month of issuance of on offshore supply vessels (OSVs) au- the certificate of training from a thorizes service on OSVs as defined in course approved by the Coast Guard. 46 U.S.C. 2101(19) and as interpreted (g) A Radar-Observer endorsement under 46 U.S.C. 14104(b), subject to any may be renewed at any time. restrictions placed on the license or (h) An applicant for renewal of a li- MMC. cense or MMC that does not need a [CGD 95–062, 62 FR 34532, June 26, 1997, as Radar-Observer endorsement may amended by USCG–2006–24371, 74 FR 11248, renew without meeting the require- Mar. 16, 2009] ments for the endorsement. (i) An applicant seeking to raise the § 11.493 Master (OSV). grade of a license or MMC endorsement (a) Except as provided by paragraph or increase its scope, where the in- (b) of this section, to qualify for an en- creased grade or scope requires a dorsement as Master (OSV), an appli- Radar-Observer certificate, may use an cant shall present evidence that he or expired certificate to fulfill that re- she meets the appropriate require- quirement. ments of STCW Regulation II/2. [CGD 94–041, 62 FR 11305, Mar. 11, 1997, as (b) The OCMI may exempt an appli- amended by USCG–2006–26202, 73 FR 52795, cant from meeting any requirement Sept. 11, 2008; USCG–2006–24371, 74 FR 11248, under STCW Regulation II/2 that the Mar. 16, 2009] OCMI determines to be inappropriate or unnecessary for service on an OSV, § 11.482 Assistance towing. or that the applicant meets under the (a) This section contains the require- equivalency provisions of Article IX of ments to qualify for an endorsement STCW. authorizing a mariner to engage in assistance towing. The endorsement ap- [CGD 95–062, 62 FR 34532, June 26, 1997, as plies to all MMCs except master and amended by USCG–2006–24371, 74 FR 11248, mate (pilot) of towing vessels and mas- Mar. 16, 2009] ter or mate authorizing service on in- § 11.495 Chief Mate (OSV). spected vessels over 200 gross tons. Holders of any of these endorsements (a) Except as provided by paragraph may engage in assistance towing with- (b) of this section, to qualify for an en- in the scope of their MMC or license. dorsement as Chief Mate (OSV), an ap- (b) An applicant for an assistance plicant shall present evidence that he towing endorsement shall pass a writ- or she meets the appropriate require- ten examination demonstrating his or ments of STCW Regulation II/2. her knowledge of assistance towing (b) The OCMI may exempt an appli- safety, equipment, and procedures. cant from meeting any requirement (c) The holder of a license or MMC under STCW Regulation II/2 that the for master, mate, or operator endorsed OCMI determines to be inappropriate for assistance towing is authorized to or unnecessary for service on an OSV, engage in assistance towing on any or that the applicant meets under the

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equivalency provisions of Article IX of (3) Chief engineer (limited-oceans) STCW. may serve on ocean waters. [CGD 95–062, 62 FR 34532, June 26, 1997, as (c) Engineer licenses or MMC en- amended by USCG–2006–24371, 74 FR 11248, dorsements issued in the grades of des- Mar. 16, 2009] ignated duty engineer of steam and/or motor vessels allow the holder to serve § 11.497 Mate (OSV). within stated horsepower limitations (a) Except as provided by paragraph on vessels of not more than 500 gross (b) of this section, to qualify for an en- tons in the following manner: dorsement as Mate (OSV), an applicant (1) Designated duty engineers limited shall present evidence that he or she to vessels of not more than 1000 horse- meets the appropriate requirements of power or 4000 horsepower may serve STCW Regulation II/1. only on near coastal or inland waters; (b) The OCMI may exempt an appli- (2) Designated duty engineers with no cant from meeting any requirement horsepower limitations may serve on under STCW Regulation II/1 that the any waters. OCMI determines to be inappropriate (d) An engineer officer’s license or or unnecessary for service on an OSV, MMC endorsement authorizes service or that the applicant meets under the on either steam or motor vessels or equivalency provisions of Article IX of may authorize both modes of propul- STCW. sion. (e) A person holding an engineer li- [CGD 95–062, 62 FR 34532, June 26, 1997, as amended by USCG–2006–24371, 74 FR 11248, cense or MMC endorsement which is re- Mar. 16, 2009] stricted to near coastal waters may serve within the limitations of the license or MMC upon near coastal, Great Subpart E—Professional Lakes, and inland waters. Requirements for Engineer Officer [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as § 11.501 Grade and type of engineer amended at 54 FR 142, Jan. 4, 1989; USCG– endorsements issued. 2006–24371, 74 FR 11248, Mar. 16, 2009] (a) Engineer endorsements are issued § 11.502 Additional requirements for in the grades of: engineer endorsements. (1) Chief engineer; (2) First assistant engineer; (a) For all original and raise of grade (3) Second assistant engineer; of engineer licenses or MMC endorse- (4) Third assistant engineer; ments, at least one-third of the min- (5) Chief engineer (limited); imum service requirements must have (6) Assistant engineer (limited); been obtained on the particular mode (7) Designated duty engineer; of propulsion for which applied. (8) Chief engineer uninspected fishing (b) If an applicant desires to add a industry vessels; and, propulsion mode to his or her endorse- (9) Assistant engineer uninspected ment, the following alternative meth- fishing industry vessels. ods, while holding a license or MMC en- (b) Engineer endorsements issued in dorsement in that grade, are accept- the grades of chief engineer (limited) able: and assistant engineer (limited) of (1) Four months of service as an ob- steam and/or motor vessels allow the server in the same capacity as their en- holder to serve within any horsepower dorsement on vessels of the other pro- limitations on vessels of any gross tons pulsion mode; on inland waters and of not more than (2) Four months of service as an engi- 1600 gross tons in ocean, near coastal or neer officer at a lower level on vessels Great Lakes service in the following of the other propulsion mode; manner: (3) Six months of service as oiler, (1) Assistant engineer (limited— watertender, or junior engineer on ves- oceans) may serve on ocean waters; sels of the other propulsion mode; or, (2) Chief engineer (limited—near (4) Completion of a Coast Guard ap- coastal) may serve on near coastal wa- proved training course for this endorse- ters; and, ment.

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(c) Applicants for an original, raise in grade for which licensed or endorsed: grade, or increase in the scope, of an Removal of all horsepower limitations engineer license or MMC endorsement, for the grade in which service is per- other than an increase in horsepower formed and raise the next higher grade limitation, who have not previously endorsement to the horsepower of the done so must meet the requirements of vessel on which service was performed. § 11.205(d) of this part. The total cumulative service before [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as and after issuance of the limited li- amended at 54 FR 142, Jan. 4, 1989; USCG– cense or MMC endorsement may be 2006–24371, 74 FR 11249, Mar. 16, 2009] considered in removing all horsepower limitations. § 11.503 Horsepower limitations. (3) Twelve months of service as oiler (a) Engineer licenses and endorse- or junior engineer while holding a li- ments of all grades and types may be cense or MMC endorsement as third as- subject to horsepower limitations. sistant engineer or assistant engineer Other than as provided in § 11.524 of this (limited oceans): removal of all horse- part for the designated duty engineer power limitations on third assistant (DDE), the horsepower limitation engineer or assistant engineer’s (lim- placed on a license or MMC endorse- ited oceans) endorsement. ment is based on the applicant’s quali- (4) Six months of service as oiler or fying experience considering the total junior engineer while holding a license shaft horsepower of each vessel on or MMC endorsement as second assist- which the applicant has served. ant engineer: removal of all horsepower (b) When an applicant for an original limitations on third assistant engi- or raise of grade of an engineer license neer’s endorsement. or MMC endorsement, other than a (d) Raising or removing horsepower DDE, has not obtained at least 50 per- limitations based on service required cent of the required qualifying experi- by paragraph (c) of this section may be ence on vessels of 4,000 or more horse- granted without further written exam- power, a horsepower limitation is ination providing the OCMI who issued placed on the MMC based on the appli- the applicant’s license or MMC en- cant’s qualifying experience. The endorsement, considers further examina- dorsement is limited to the maximum tion unnecessary. horsepower on which at least 25 percent of the required experience was ob- [USCG–2006–24371, 74 FR 11249, Mar. 16, 2009] tained, or 150 percent of the maximum horsepower on which at least 50 per- § 11.504 Application of deck service for cent of the service was obtained, limited engineer endorsements. whichever is higher. Limitations are in Service gained in the deck depart- multiples of 1,000 horsepower, using the ment on vessels of appropriate tonnage next higher figure when an inter- may substitute for up to 25 percent or mediate horsepower is calculated. 6 months, whichever is less, of the serv- When the limitation as calculated ice requirement for an endorsement as equals or exceeds 10,000 horsepower, an chief engineer (limited), assistant engi- unlimited horsepower endorsement is neer (limited), or designated duty engi- issued. neer. (c) The following service on vessels of 4,000 horsepower or over will be consid- [CGD 81–059, 54 FR 142, Jan. 4, 1989, as amend- ered qualifying for the raising or re- ed by USCG–2006–24371, 74 FR 11249, Mar. 16, moving of horsepower limitations 2009] placed on an engineer license or MMC endorsement: § 11.505 Engineer officer structure. (1) Six months of service in the high- The following diagram illustrates the est-grade endorsed: removal of all engineering endorsement structure in- horsepower limitations. cluding cross over points. The section (2) Six months of service as an officer numbers on the diagram refer to the in any capacity other than the highest specific requirements applicable.

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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; USCG–2006–24371, 74 FR 11249, Mar. 16, 2009]

§ 11.510 Service requirements for chief (a) One year of service as first assist- engineer of steam and/or motor ves- ant engineer; or, sels. (b) One year of service while holding The minimum service required to a license or MMC endorsement as first qualify an applicant for endorsement assistant engineer. A minimum of six as chief engineer of steam and/or motor months of this service must have been vessels is: as first assistant engineer. Service as

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an assistant engineer is accepted on a (1) Three years of service in the two-for-one basis to a maximum of six engineroom of vessels, two years of months (12 months of service as a sec- which must have been as a qualified ond or third assistant engineer equals member of the engine department; six months of creditable service). (2) Three years of service as an ap- [CGD 81–059, 52 FR 38623, Oct. 16, 1987. Redes- prentice to the machinist trade en- ignated and amended by USCG–2006–24371, 74 gaged in the construction or repair of FR 11216 and 11251, Mar. 16, 2009] marine, locomotive, or stationary engines, together with one year service in § 11.512 Service requirements for first the engineroom as oiler, watertender, assistant engineer of steam and/or or junior engineer; motor vessels. (3) Graduation from: The minimum service required to (i) The U.S. Merchant Marine Acad- qualify an applicant for endorsement emy (engineering curriculum); as first assistant engineer of steam (ii) The U.S. Coast Guard Academy and/or motor vessels is one year of service as an assistant engineer, while and completion of an on-board engineer holding a license or MMC endorsement officer qualification program required as second assistant engineer. by the service; (iii) The U.S. Naval Academy and [CGD 81–059, 52 FR 38623, Oct. 16, 1987. Redes- completion of an on-board engineer of- ignated and amended by USCG–2006–24371, 74 ficer qualification program required by FR 11216 and 11251, Mar. 16, 2009] the service; § 11.514 Service requirements for sec- (iv) The engineering class of a Mari- ond assistant engineer of steam time Academy approved by and con- and/or motor vessels. ducted under the rules prescribed by The minimum service required to the Maritime Administrator and listed qualify an applicant for endorsement in part 310 of this title; as second assistant engineer of steam (4) Graduation from the marine engi- and/or motor vessels is: neering course of a school of tech- (a) One year of service as an assistant nology accredited by the Accreditation engineer, while holding a license or Board for Engineering and Technology, MMC endorsement as third assistant together with three months of service engineer; or, in the engine department of steam or (b) One year of service while holding motor vessels; a license or MMC endorsement as third (5) Graduation from the mechanical assistant engineer which includes: or electrical engineering course of a (1) A minimum of six months of serv- school of technology accredited by the ice as third assistant engineer; and, Accreditation Board for Engineering (2) Additional service as a qualified and Technology, together with six member of the engine department, cal- months of service in the engine depart- culated on a two-for-one basis; or, ment of steam or motor vessels; (c) One year of service as chief engi- (6) Satisfactory completion of a neer (limited-oceans) of steam or three-year apprentice engineers train- motor vessels, and completing the ap- ing program approved by the Com- propriate examination described in subpart I of this part. manding Officer, National Maritime Center; or, [CGD 81–059, 52 FR 38623, Oct. 16, 1987. Redes- (7) One year of service as chief engi- ignated and amended by USCG–2006–24371, 74 neer (limited-near coastal) of steam or FR 11216 and 11251, Mar. 16, 2009] motor vessels and completing the ap- § 11.516 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 endorsement over can be credited for up to three as third assistant engineer of steam and/or motor vessels is:

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months of the service requirements applicant and completion of appro- under paragraph (a)(1) of this section. priate examination. These MMCs are limited to vessels of not more than 500 [CGD 81–059, 52 FR 38623, Oct. 16, 1987 and CGD 81–059, 54 FR 132, Jan. 4, 1989, as amend- gross tons on certain waters as speci- ed by CGD 95–072, 60 FR 50460, Sept. 29, 1995; fied in § 11.501 of this part. USCG-1998–4442, 63 FR 52189, Sept. 30, 1998; (b) The service requirements for en- USCG–2006–24371, 74 FR 11251, Mar. 16, 2009] dorsements as DDE are: (1) For designated duty engineer of § 11.518 Service requirements for chief steam and/or motor vessels of any engineer (limited oceans) of steam horsepower, the applicant must have and/or motor vessels. three years of service in the The minimum service required to engineroom. Eighteen months of this qualify an applicant for endorsement service must have been as a qualified as chief engineer (limited oceans) of member of the engine department or steam and/or motor vessels is five equivalent supervisory position. years total service in the engineroom (2) For designated duty engineer of of vessels. Two years of this service steam and/or motor vessels of not more must have been as an engineer officer. than 4,000 horsepower, the applicant Thirty months of the service must must have two years of service in the have been as a qualified member of the engineroom. One year of this service engine department (QMED) or equiva- must have been as a qualified member lent supervisory position. of the engine department or equivalent supervisory position. [USCG–2006–24371, 74 FR 11251, Mar. 16, 2009] (3) For designated duty engineer of § 11.520 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 endorsement must have been as a qualified member as chief engineer (limited near coastal) of the engine department or equivalent of steam and/or motor vessels is four supervisory position. years total service in the engineroom [CGD 81–059, 52 FR 38623, Oct. 16, 1987. Redes- of vessels. One year of this service ignated and amended by USCG–2006–24371, 74 must have been as an engineer officer. FR 11216 and 11251, Mar. 16, 2009] Two years of the service must have been as a QMED or equivalent super- § 11.530 Endorsements for engineers of visory position. uninspected fishing industry vessels. [USCG–2006–24371, 74 FR 11251, Mar. 16, 2009] (a) This section applies to endorsements for chief and assistant engineers § 11.522 Service requirements for assistant engineer (limited oceans) of of all vessels, however propelled, navi- steam and/or motor vessels. gating the high seas, which are documented to engage in the fishing indus- The minimum service required to try, with the exception of: qualify an applicant for endorsement (1) Wooden ships of primitive build; as assistant engineer (limited oceans) (2) Unrigged vessels; and, of steam and/or motor vessels is three (3) Vessels of less than 200 gross tons. years of service in the engineroom of (b) Endorsements as chief engineer vessels. Eighteen months of this serv- and assistant engineer of uninspected ice must have been as a QMED or fishing industry vessels are issued for equivalent supervisory position. ocean waters and with horsepower lim- [USCG–2006–24371, 74 FR 11251, Mar. 16, 2009] itations in accordance with the provisions of § 11.503 of this part. § 11.524 Service requirements for des- (c) For an endorsement as chief engi- ignated duty engineer of steam and/ neer, the applicant must have served or motor vessels. four years in the engineroom of vessels. (a) DDE endorsements are issued in One year of this service must have been three levels of horsepower limitations as an assistant-engineer officer or dependent upon the total service of the equivalent supervisory position.

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(d) For an endorsement as assistant tation upon presentation of satisfac- engineer, an applicant must have tory evidence of the required self-pro- served three years in the engine room pelled sea service and completion of of vessels. any additional required examination. (e) Two-thirds of the service required [CGD 81–059a, 55 FR 14802, Apr. 18, 1990, as under this section must have been on amended by CGD 81–059a, 59 FR 10756, Mar. 8, motor vessels. 1994; USCG–2006–24371, 74 FR 11251, Mar. 16, (f) Applicants may request an orally 2009] assisted examination on the subjects listed in subpart I of this part. § 11.544 Endorsement as assistant engineer (MODU). [USCG–2006–24371, 74 FR 11251, Mar. 16, 2009] To qualify for an endorsement as as- § 11.540 Endorsements for engineers of sistant engineer (MODU) an applicant mobile offshore drilling units. must: (a) Present evidence of the following Endorsements as chief engineer experience: (MODU) or assistant engineer (MODU) (1) Three years of employment as- authorize service on certain self-pro- signed to MODUs including 18 months pelled or non-self-propelled units of of employment as mechanic, motor- any horsepower where authorized by man, subsea engineer, electrician, the vessel’s certificate of inspection. barge engineer, toolpusher, unit super- [USCG–2006–24371, 74 FR 11251, Mar. 16, 2009] intendent, crane operator or equivalent. Nine months of that employment § 11.542 Endorsement as chief engi- must have been assigned to self-pro- neer (MODU). pelled or propulsion assisted units; To qualify for an endorsement as (2) Three years of employment in the chief engineer (MODU) an applicant machinist trade engaged in the con- must: struction or repair of diesel engines (a) Present evidence of the following and one year of employment assigned experience: to MODUs in the capacity of mechanic, (1) Six years of employment assigned motorman, oiler, or equivalent. Nine to MODUs including three years of em- months of that employment must have ployment as mechanic, motorman, been assigned to self-propelled or pro- subsea engineer, electrician, barge en- pulsion assisted units; or gineer, toolpusher, unit super- (3) A degree from a program in ma- intendent, crane operator or equiva- rine, mechanical, or electrical engi- lent. Eighteen months of that employ- neering technology which is accredited ment must have been assigned to self- by the Accreditation Board for Engi- propelled or propulsion assisted units; neering and Technology (ABET). The or National Maritime Center will give (2) Two years of employment as- consideration to accepting education signed to MODUs as an assistant engi- credentials from programs having neer (MODU). Twelve months of that other than ABET accreditation. An ap- employment must have been assigned plicant qualifying through a degree to self-propelled or propulsion assisted program must also have at least six units; and months of employment in any of the (b) Present evidence of completion of capacities listed in paragraph (a)(1) of a firefighting training course as re- this section aboard self-propelled or quired by § 11.205(d) of this part. propulsion assisted units; and (c) If an applicant successfully com- (b) Present evidence of completion of pletes a modified examination and pos- a firefighting training course as re- sesses the total required sea service for quired by § 11.205(d) of this part. an endorsement as chief engineer (c) If an applicant successfully com- (MODU), but does not possess the re- pletes a modified examination and pos- quired sea service on board self-pro- sesses the total required sea service for pelled or propulsion assisted units, the an endorsement as an assistant engi- OCMI may issue the applicant an en- neer (MODU), but does not possess the dorsement limited to non-self-propelled required sea service on board self-pro- units. The OCMI may remove the limi- pelled or propulsion assisted units, the

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OCMI may issue the applicant an en- equivalency provisions of Article IX of dorsement limited to non-self-propelled STCW. units. The OCMI may remove the limi- [CGD 95–062, 62 FR 34533, June 26, 1997, as tation upon presentation of the satis- amended by USCG–2006–24371, 74 FR 11251, factory evidence of the required self- Mar. 16, 2009] propelled sea service and completion of any additional required examination. Subpart F—Credentialing of Radio [CGD 81–059a, 55 FR 14802, Apr. 18, 1990, as Officers amended by CGD 81–059a, 59 FR 10756, Mar. 8, 1994; CGD 95–072, 60 FR 50460, Sept. 29, 1995; § 11.601 Applicability. USCG-1998–4442, 63 FR 52189, Sept. 30, 1998; USCG–2006–24371, 74 FR 11251, Mar. 16, 2009] This subpart provides for endorsement as radio officers for employment § 11.551 Endorsements for service on on vessels, and for the issue of STCW offshore supply vessels. endorsements for those qualified to Each endorsement for service on serve as radio operators on vessels sub- OSVs as chief engineer (OSV) or engi- ject to the provisions on the Global neer (OSV) authorizes service on OSVs Maritime Distress and Safety System as defined in 46 U.S.C. 2101(19) and as (GMDSS) of Chapter IV of SOLAS. interpreted under 46 U.S.C. 14104(b), SOLAS is available from the Inter- subject to any restrictions placed on national Maritime Organization (IMO), 4 the MMC. Albert Embankment, London SE1 7SR, England, telephone: +44 (0)20 7735 7611, [USCG–2006–24371, 74 FR 11251, Mar. 16, 2009] http://www.imo.org. § 11.553 Chief Engineer (OSV). [USCG–2006–24371, 74 FR 39218, Aug. 6, 2009] (a) Except as provided by paragraph § 11.603 Requirements for radio offi- (b) of this section, to qualify for an en- cers’ endorsements and STCW endorsement as Chief engineer (OSV), an dorsements for GMDSS radio opera- applicant shall present evidence that tors. he or she meets the appropriate re- (a) Each applicant for an original en- quirements of STCW Regulation III/2. dorsement or renewal of license shall (b) The OCMI may exempt an appli- present a current first or second class cant from meeting any requirement radiotelegraph operator license issued under STCW Regulation III/2 that the OCMI determines to be inappropriate by the Federal Communications Com- or unnecessary for service on an OSV, mission. The applicant shall enter on or that the applicant meets under the the endorsement application form the equivalency provisions of Article IX of number, class, and date of issuance of STCW. his or her Federal Communications Commission license. [CGD 95–062, 62 FR 34532, June 26, 1997, as (b) [Reserved] amended by USCG–2006–24371, 74 FR 11251, (c) Each applicant who furnishes evi- Mar. 16, 2009] dence that he or she meets the stand- § 11.555 Engineer (OSV). ard of competence set out in STCW Regulation IV/2 (incorporated by ref- (a) Except as provided by paragraph erence, see § 11.102), including the com- (b) of this section, to qualify for an en- petence to transmit and receive infor- dorsement as Engineer (OSV), an appli- mation using subsystems of GMDSS, to cant shall present evidence that he or fulfill the functional requirements of she meets the appropriate require- GMDSS, and to provide radio services ments of STCW Regulation III/1. in emergencies is entitled to hold an (b) The OCMI may exempt an appli- STCW endorsement suitable for per- cant from meeting any requirement forming duties associated with under STCW Regulation III/1 that the GMDSS. OCMI determines to be inappropriate or unnecessary for service on an OSV, [USCG–2006–24371, 74 FR 11252, Mar. 16, 2009] or that the applicant meets under the

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Subpart G—Professional sels operating on the class of waters for Requirements for Pilots which pilotage is desired. (2) River routes. The applicant must have at least 36 months service in the SOURCE: CGD 81–059b, 52 FR 38659, Oct. 16, deck department of any vessel includ- 1987 unless otherwise noted. ing at least 12 months service on ves- § 11.701 Scope of pilot endorsements. sels operating on the waters of rivers while the applicant is serving in the ca- (a) An applicant for an endorsement pacity of quartermaster, wheelsman, as first-class pilot need not hold any apprentice pilot, or deckhand who other officer endorsement issued under stands watches at the wheel as part of this part. routine duties. (b) The issuance of an endorsement (3) Canal and small lakes routes. The as first-class pilot to an individual applicant must have at least 24 months qualifies that individual to serve as service in the deck department of any pilot over the route(s) specified on the vessel including at least 8 months serv- endorsement, subject to any limita- ice on vessels operating on canals or tions imposed under paragraph (c) of small lakes. this section. (b) A graduate of the Great Lakes (c) The OCMI issuing an endorsement Maritime Academy in the deck class as first-class pilot, imposes appropriate meets the service requirements of this limitations commensurate with the ex- section for a license as first class pilot perience of the applicant, with respect on the Great Lakes. to class or type of vessel, tonnage, (c) Completion of a course of pilot route, and waters. training approved by the National Mar- (d) A license or MMC endorsement itime Center under subpart C of this issued for service as a master, mate, or part may be substituted for a portion operator of uninspected towing vessels of the service requirements of this sec- authorizes service as a pilot under the tion in accordance with § 11.304 of this provisions of § 15.812 of this subchapter. part. Additionally, round trips made Therefore, first-class pilot endorse- during this training may apply toward ments will not be issued with tonnage the route familiarization requirements limitations of 1,600 gross tons or less. of § 11.705 of this part. An individual using substituted service must have at [USCG–2006–24371, 74 FR 11252, Mar. 16, 2009] least nine months of shipboard service. § 11.703 Service requirements. (d) An individual holding a license or MMC endorsement as master or mate (a) The minimum service required to of inspected steam or motor vessels of qualify an applicant for an endorse- over 1,600 gross tons meets the service ment as first-class pilot is predicated requirements of this section for an en- upon the nature of the waters for which dorsement as first class pilot. pilotage is desired. (1) General routes (routes not restricted [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as to rivers, canals and small lakes). The ap- amended at 54 FR 144, Jan. 4, 1989; CGD 95– 072, 60 FR 50460, Sept. 29, 1995; USCG–1998– plicant must have at least 36 months 4442, 63 FR 52189, Sept. 30, 1998; USCG–1999– service in the deck department of 6224, 64 FR 63235, Nov. 19, 1999; USCG–2006– steam or motor vessels navigating on 24371, 74 FR 11252, Mar. 16, 2009] oceans, coastwise, Great Lakes, or bays, sounds, and lakes other than the § 11.705 Route familiarization require- Great Lakes, as follows: ments. (i) 18 months of the 36 months service (a) The Officer in Charge, Marine In- must be as quartermaster, wheelsman, spection having jurisdiction deter- able seaman, apprentice pilot, or in an mines, within the range limitations equivalent capacity, standing regular specified in this section, the number of watches at the wheel or in the pilot- round trips required to qualify an ap- house as part of routine duties. plicant for a particular route, consid- (ii) At least 12 months of the 18 ering the following: months service required in paragraph (1) The geographic configuration of (a)(1)(i) of this section must be on ves- the waterway;

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(2) The type and size of vessels using months immediately preceding the the waterway; date of application. (3) The abundance or absence of aids [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as to navigation; amended at 54 FR 144, Jan. 4, 1989; USCG– (4) The background lighting effects; 2006–24371, 74 FR 11252, Mar. 16, 2009] (5) The known hazards involved, including waterway obstructions or con- § 11.707 Examination requirements. strictions such as bridges, narrow (a) An applicant for an endorsement channels, or sharp turns; and, as first-class pilot, except as noted in (6) Any other factors unique to the paragraph (b) of this section, is re- route that the OCMI deems appro- quired to pass the examination de- priate. scribed in subpart I of this part. (b) An applicant holding no other (b) An applicant for an extension of deck officer endorsement seeking an route, or an applicant holding a license endorsement as first-class pilot shall or MMC endorsement as master or furnish evidence of having completed a mate authorized to serve on vessels of minimum number of round trips, while over 1,600 gross tons seeking an en- serving as quartermaster, wheelsman, dorsement as first-class pilot, is re- able seaman, apprentice pilot, or in an quired to pass those portions of the examination described in subpart I of this equivalent capacity, standing regular part that concern the specific route for watches at the wheel or in the pilot which endorsement is sought. house as part of routine duties, over the route sought. Evidence of having [USCG–2006–24371, 74 FR 11252, Mar. 16, 2009] completed a minimum number of round trips while serving as an observer, § 11.709 Annual physical examination properly certified by the master and/or requirements. pilot of the vessel, is also acceptable. (a) This section applies only to an in- The range of round trips for an en- dividual who pilots a vessel of 1,600 dorsement is a minimum of 12 round gross tons and over. trips and a maximum of 20 round trips. (b) Every person holding a license or An applicant may have additional MMC endorsement as first-class pilot routes added to the first-class pilot en- shall have a thorough physical exam- dorsement by meeting the require- ination each year. ments in paragraph (c) of this section. (c) Each annual physical examination (c) An applicant who currently holds must meet the requirements specified a deck officer license or MMC endorse- in § 10.215 of this chapter. ment seeking an endorsement as first- (d) An individual’s first class pilot credential becomes invalid on the first class pilot for a particular route shall day of the month following the first furnish evidence of having completed anniversary of the individual’s most re- the number of round trips over the cent physical examination satisfac- route, specified by the OCMI, within torily completed; the individual may the range limitations of this para- not operate under the authority of that graph, for the particular grade of exist- credential until a physical examina- ing license or MMC endorsement held. tion has been satisfactorily completed. The range of round trips for an en- (e) A first class pilot must provide dorsement is a minimum of eight round the Coast Guard with a copy of his or trips and a maximum of 15 round trips. her most recent physical examination. (d) Unless determined impracticable by the OCMI, 25% of the round trips re- [CGD 81–059, 52 FR 38623, Oct. 16, 1987. Redes- ignated and amended by USCG–2006–24371, 74 quired by the OCMI under this section FR 11216 and 11252, Mar. 16, 2009] must be made during the hours of darkness. § 11.711 Tonnage requirements. (e) One of the round trips required by (a) In order to obtain a first class the OCMI under this section must be pilot endorsement authorizing service made over the route within the six on vessels of any gross tons over a particular route, the applicant must have

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sufficient experience on vessels of over day period preceding renewal will be 1,600 gross tons. valid for the duration of the renewed li- (b) If an applicant does not have suf- cense or MMC endorsement. ficient experience on vessels of over (b) For certain long or extended 1,600 gross tons, the endorsement will routes, the OCMI may, at his discre- be for a limited tonnage until the ap- tion, allow the re-familiarization re- plicant completes a number of addi- quirement to be satisfied by reviewing tional round trips, as determined by appropriate navigation charts, coast the OCMI, within the range contained pilots tide and current tables, local No- in § 11.705 (b) or (c), as appropriate, on tice to Mariners, and any other mate- vessels of over 1,600 gross tons. rials which would provide the pilot (c) For purposes of this section, an with current knowledge of the route. applicant is considered to have suffi- Persons using this method of re-famil- cient experience if the applicant has 18 iarization shall certify, when applying months experience as master, mate, for renewal of their license or MMC en- quartermaster, wheelsman, able sea- dorsement, the material they have re- man, apprentice pilot, or in an equiva- viewed and the dates on which this was lent capacity, standing regular watches accomplished. Review within the 90 day at the wheel or in the pilothouse as period preceding renewal is valid for part of routine duties, on vessels of the duration of the renewed MMC en- 1,600 gross tons or over, and two-thirds dorsement. of the minimum number of round trips [CGD 81–059, 52 FR 38623, Oct. 16, 1987. Redes- required for the route have been on ignated and amended by USCG–2006–24371, 74 vessels of 1,600 gross tons or over. FR 11216 and 11253, Mar. 16, 2009] (d) For purposes of this section, for experience with respect to tonnage on Subpart H—Registration of Staff towing vessels, the combined gross ton- Officers nage of the towing vessel and the vessel(s) towed will be considered. How- § 11.801 Applicability. ever, the OCMI may require that all or This subpart provides for the reg- a portion of the required number of istration of staff officers for employ- round trips be obtained on self-pro- ment on vessels documented or num- pelled vessels of 1,600 gross tons or bered under the laws of the United over, when the OCMI determines that States. Staff officers must be reg- due to the nature of the waters and the istered if serving on most vessels in overall experience of the applicant, ocean service or on the Great Lakes. self-propelled vessel experience is necessary to obtain a first class pilot en- § 11.803 [Reserved] dorsement that is not restricted to tug and barge combinations. § 11.805 General requirements. [CGD 81–059, 52 FR 38623, Oct. 16, 1987. Redes- (a) The applicant for an endorsement ignated and amended by USCG–2006–24371, 74 as staff officer is not required to take FR 11216 and 11253, Mar. 16, 2009] any examination; however, the applicant shall present to the OCMI a letter § 11.713 Requirements for maintaining justifying the need for the endorse- current knowledge of waters to be ment. navigated. (b) [Reserved] (a) If a first class pilot has not served (c) An applicant for a higher grade in over a particular route within the past the staff department shall apply in the 60 months, that person’s license or same manner as for an original en- MMC endorsement is invalid for that dorsement and shall surrender the pre- route, and remains invalid until the in- vious Coast Guard-issued credentials dividual has made one re-familiariza- upon issuance of the new MMC. A staff tion round trip over that route, except officer may serve in a lower grade of as provided in paragraph (b) of this sec- service for which he or she is reg- tion. Whether this requirement is sat- istered. isfied or not has no effect on the re- (d) Title 46 U.S.C. 8302 addresses uni- newal of a license or MMC endorse- forms for staff officers who are mem- ment. Round trips made within the 90 bers of the Naval Reserve.

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(e) A duplicate MMC may be issued geant, Medical Department, U.S.A.), or by the OCMI. (See § 10.229 of this chap- in the U.S. Air Force (not less than ter.) technical sergeant, Medical Depart- (f) An MMC is valid for a term of five ment, U.S.A.F.), and a period of satis- years from the date of issuance. Proce- factory service of at least one month in dures for renewing endorsements are a military hospital or U.S. Public found in § 10.227 of this chapter. Health Service Hospital. (g) Each applicant for an original or (b) Employment on shore in connec- a higher grade of endorsement, as de- tion with ship’s business may be ac- scribed by paragraph (c) of this section, cepted in lieu of service aboard vessels. shall produce evidence of having passed Related shore employment is accepted a chemical test for dangerous drugs or in the ratio of two months of shore of qualifying for an exception from service to count as one month of serv- testing in § 16.220 of this subchapter. An ice aboard vessels. applicant who fails a chemical test for (c) In computing the length of service dangerous drugs will not be issued an required of an applicant for an endorse- MMC. ment, service of one season on vessels [USCG–2006–24371, 74 FR 11253, Mar. 16, 2009] on the Great Lakes is counted as service of one year. § 11.807 Experience requirements for (d) In the event an applicant for an registry. endorsement, other than medical doc- (a) The applicant for a certificate of tor or professional nurse, presents evi- registry as staff officer shall submit dence of other qualifications which, in evidence of experience as follows: the opinion of the Officer in Charge, (1) Chief purser. Two years of service Marine Inspection, is equivalent to the aboard vessels performing duties relat- experience requirements of this section ing to work in the purser’s office. and is consistent with the duties of a (2) Purser. One year of service aboard staff officer, the Officer in Charge, Ma- vessels performing duties relating to rine Inspection may issue the MMC. work in the purser’s office. (3) Senior assistant purser. Six months [CGD 81–059, 52 FR 38623, Oct. 16, 1987. Redes- of service aboard vessels performing ignated and amended by USCG–2006–24371, 74 FR 11216 and 11253, Mar. 16, 2009] duties relating to work in purser’s office. § 11.809 [Reserved] (4) Junior assistant purser. Previous experience not required. § 11.811 Requirements to qualify for an (5) Medical doctor. A valid license as STCW endorsement as vessel secu- physician or surgeon issued under the rity officer. authority of a state or territory of the (a) The applicant for an endorsement United States, the Commonwealth of as vessel security officer must present Puerto Rico, or the District of Colum- satisfactory documentary evidence in bia. accordance with the requirements in 33 (6) Professional nurse. A valid license CFR 104.215. as a registered nurse issued under authority of a state or territory of the (b) All applicants for an endorsement United States, the Commonwealth of must meet the physical examination Puerto Rico, or the District of Colum- requirements in § 10.205(d)(1)–(2) of this bia. chapter. (7) Marine physician assistant. Suc- [USCG–2008–0028, 73 FR 29071, May 20, 2008] cessful completion of an accredited course of instruction for a physician’s Subpart I—Subjects of Examina- assistant or nurse practitioner program. tions and Practical Dem- (8) Hospital corpsman. A rating of at onstrations of Competence least hospital corpsman or health services technician, first class in the U.S. § 11.901 General provisions. Navy, U.S. Coast Guard, U.S. Marine (a) Each applicant for any endorse- Corps, or an equivalent rating in the ment listed in this part shall pass ex- U.S. Army (not less than staff ser- aminations on the appropriate subjects

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listed in this subpart, except as noted machinery of 3,000 kW [4,000 hp] of pro- in § 11.903(b). pulsion power or more. (b) If the endorsement is to be lim- (iv) Second engineer officer of a sea- ited in a manner which would render going vessel driven by main propulsion any of the subject matter unnecessary machinery of 3,000 kW [4,000 hp] of pro- or inappropriate, the examination may pulsion power or more. be amended accordingly by the OCMI. (v) Chief engineer officer of a sea- Limitations which may affect the ex- going vessel driven by main propulsion amination content are: machinery of between 750 kW [1,000 hp] (1) MMCs endorsed for restricted and 3,000 kW [4,000 hp] of propulsion routes for reduced service (master or power. mate of vessels of not more than 200 (vi) Second engineer officer of a sea- gross tons, OUPV or master or mate going vessel driven by main propulsion (pilot) of towing vessels); or machinery of between 750 kW [1,000 hp] (2) Engineer endorsements with and 3,000 kW [4,000 hp] of propulsion horsepower restrictions. power. (c) Except as provided in §§ 11.202 and (d) Simulators used in assessment of 10.227, each applicant for an STCW cer- competence under paragraph (c) of this tificate or endorsement in the fol- section must meet the appropriate per- lowing capacities on vessels that oper- formance standards set out in Section ate beyond the Boundary Line shall A-I/12 of the STCW Code. However, sim- also furnish sufficient documentary ulators installed or brought into use evidence that he or she has made a before February 1, 2002, need not meet practical demonstration(s) of com- them so far as they fulfill the objec- petence as set out under the appro- tives of the assessment of competence priate STCW Regulations (incorporated or demonstration of proficiency. by reference in § 11.102): (1) Deck Department. (i) Officer in [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as amended at 54 FR 144, Jan. 4, 1989; CGD 94– charge of the navigational watch on a 029, 61 FR 47064, Sept. 6, 1996; CGD 95–062, 62 seagoing vessel of 500 gross tons (GT) FR 34533, June 26, 1997; USCG–1998–4442, 63 or more. FR 52188, Sept. 30, 1998; USCG–1999–6224, 64 (ii) Officer in charge of the naviga- FR 63235, Nov. 19, 1999; USCG–1999–5610, 67 FR tional watch on a seagoing vessel of 66068, Oct. 30, 2002; USCG–2004–18884, 69 FR less than 500 GT not engaged on a near- 58342, Sept. 30, 2004; USCG–2006–24371, 74 FR coastal voyage. 11253, Mar. 16, 2009] (iii) Officer in charge of the naviga- § 11.903 Licenses requiring examina- tional watch on a seagoing vessel of tions. less than 500 GT engaged on a near- coastal voyage. (a) The following endorsements re- (iv) Master and chief mate on a sea- quire examinations for issuance: going vessel of 3,000 GT or more. (1) Master ocean/near coastal any (v) Master and chief mate on a sea- gross tons;1 going vessel of between 500 and 3,000 (2) Chief mate ocean/near coastal any GT. gross tons;1 (vi) Master on a seagoing vessel of (3) Second mate ocean/near coastal less than 500 GT not engaged on a near- any gross tons;1 coastal voyage. (4) Third mate ocean/near coastal any (vii) Master on a seagoing vessel of gross tons;1 less than 500 gross tons engaged on a (5) Master ocean/near coastal not near-coastal voyage. more than 500 or 1600 gross tons;1 (2) Engine Department. (i) Officer in (6) Mate ocean/near coastal not more charge of the engineering watch in a than 500 or 1600 gross tons;1 manned engine-room on a seagoing ves- (7) Mate near coastal not more than sel. 200 gross tons; (ii) Designated duty engineer in a pe- (8) Master near coastal not more riodically unmanned engine-room on a than 100 gross tons; seagoing vessel. (iii) Chief engineer officer of a sea- 1 Examination will vary depending upon going vessel driven by main propulsion route desired.

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(9) Master Great Lakes and inland grade from mate near coastal not more any gross tons; than 200 gross tons. Master ocean not (10) Mate Great Lakes and inland any more than 200 gross tons would, how- gross tons; ever, require an examination in celes- (11) Master inland any gross tons; tial navigation. (12) Master river any gross tons; (3) Master Great Lakes and inland, (13) Master Great Lakes and inland/ inland, and rivers not more than 200 river not more than 500 or 1600 gross gross tons when raising grade from tons;1 mate of the same route not more than (14) Mate Great Lakes and inland/ 200 gross tons. river not more than 500 or 1600 gross (4) Master or mate (pilot) of towing tons;1 vessels (endorsed for the same route). (15) Mate Great Lakes and inland/in- (c) Each candidate for any of the fol- land/river not more than 200 gross lowing endorsements shall meet the re- 1 tons; quirements of the appropriate STCW (16) Master Great Lakes and inland/ regulations and standards of com- inland/river not more than 100 gross 1 petence and those in part A of the tons; STCW Code (incorporated by reference, (17) First class pilot; see § 11.102), as indicated in table (18)(i) Apprentice mate (steersman) 11.903(c) of this section: of towing vessels; (ii) Apprentice mate (steersman) of (1) Master, oceans and near coastal, towing vessels, limited; any gross tons. (19) Operator uninspected passenger (2) Chief mate, oceans and near coast- vessels; al, any gross tons. (20) Master uninspected fishing indus- (3) Master, oceans and near coastal, try vessels; 500 to 1600 gross tons. (21) Mate uninspected fishing indus- (4) Second mate, oceans and near try vessels; coastal, any gross tons. (22) Chief engineer steam/motor ves- (5) Third mate, oceans and near sels; coastal, any gross tons. (23) First assistant engineer steam/ (6) Mate, oceans and near coastal, 500 motor vessels; to 1600 gross tons. (24) Second assistant engineer steam/ (7) Master or mate of towing vessels motor vessels; of over 200 gross tons, oceans and near- (25) Third assistant engineer steam/ coastal. motor vessels; (8) Master (OSV). (26) Chief engineer (limited) steam/ (9) Chief mate (OSV). motor vessels; (10) Mate (OSV). (27) Assistant engineer (limited) (11) Chief engineer, unlimited. steam/motor vessels; (12) 1st Assistant engineer, unlim- (28) Designated duty engineer steam/ ited. motor vessels; (29) Chief engineer uninspected fish- (13) 2nd Assistant engineer, unlim- ing industry vessels; ited. (30) Assistant engineer uninspected (14) 3rd Assistant engineer, unlim- fishing industry vessels. ited. (b) The following endorsements do (15) Chief engineer, limited—oceans. not require examinations: (16) Assistant engineer, limited- (1) Master ocean any gross tons when oceans. adding an endorsement as Offshore In- (17) Chief engineer, limited-near stallation Manager. coastal. (2) Master ocean or near coastal not (18) Chief engineer (OSV). more than 200 gross tons, when raising (19) Engineer (OSV).

TABLE 11.903(c)

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 ......

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TABLE 11.903(c)—Continued

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

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) Any candidate for an endorsement 4. Second mate, oceans/near coastal, any listed in paragraph (c) of this section, gross tons. who meets the requirements of the ap- 5. Third mate, oceans/near coastal, any propriate regulations and standards of gross tons. 6. Mate, oceans/near coastal, 500/1,600 gross competence in STCW and part A of the tons. STCW code (incorporated by reference, 7. Master, oceans/near coastal, and mate, see § 11.102) as indicated in table near coastal, 200 gross tons (includes master, 11.903(c) of this section, need not com- near coastal, 100 gross tons). ply with §§ 11.910 or 11.950, of this part. 8. Operator, uninspected passenger vessels, near coastal. [CGD 81–059, 52 FR 38623, Oct. 16, 1987] 9. Operator, uninspected passenger vessels, Great Lakes/inland. EDITORIAL NOTE: For FEDERAL REGISTER ci- tations affecting § 11.903, see the List of CFR 10. Apprentice mate, towing vessels, ocean Sections Affected, which appears in the (domestic trade) and near-coastal routes. Finding Aids section of the printed volume 11. Apprentice mate (steersman), towing and at www.fdsys.gov. vessels, Great Lakes and inland routes. 12. Steersman, towing vessels, Western § 11.910 Subjects for deck officer en- Rivers. dorsements. 13. Master, Great Lakes/inland, or master, inland, any gross tons. Table 11.910–1 gives the codes used in 14. Mate, Great Lakes/inland, any gross table 11.910–2 for all deck officers. tons. Table 11.910–2 indicates the examina- 15. Master, Great Lakes/inland, 500/1,600 tion subjects for each endorsement, by gross tons. code number. Figures in the body of 16. Mate, Great Lakes/inland, 500/1,600 gross tons. the table, in place of the letter ‘‘x’’, 17. Master or mate, Great Lakes/inland, 200 refer to notes. gross tons (includes master, Great Lakes/inland, 100 gross tons). TABLE 11.910–1 CODES FOR DECK OFFICER 18. Master, rivers, any gross tons. ENDORSEMENTS 19. Master, rivers, 500/1,600 gross tons. Deck Officer Endorsements: 20. Mate, rivers, 500/1,600 gross tons. 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.

TABLE 11.910–2—ENDORSEMENT 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

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TABLE 11.910–2—ENDORSEMENT 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

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 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

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TABLE 11.910–2—ENDORSEMENT 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

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 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

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TABLE 11.910–2—ENDORSEMENT 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

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 Credentialing Seamen...... 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 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 officer endorsements over 1600 gross tons. 7—For officer endorsements 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 are also tested in the subjects contained in this addendum.

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[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; USCG–2006–24371, 74 FR 11254, Mar. 16, 2009]

§ 11.920 Subjects for MODU endorse- Table 11.920–1 Codes for MODU Endorsements ments. 1. OIM/Unrestricted Table 11.920–1 gives the codes used in 2. OIM/Surface Units Underway 3. OIM/Surface Units on Location table 11.920–2 for MODU endorsements. 4. OIM/Bottom Bearing Units Underway Table 11.920–2 indicates the examina- 5. OIM/Bottom Bearing Units on Location tion subjects for each endorsement by 6. Barge Supervisor the code number. 7. Ballast Control Operator

TABLE 11.920–2—SUBJECTS FOR MODU LICENSES

Examination topics 1 2 3 4 5 6 7

Watchkeeping COLREGS ...... X X ...... X ...... X ...... ‘‘Basic Principles for Navigational Watch’’ ...... X X X X X X ...... MODU obstruction lights ...... X ...... X ...... X X ...... Meteorology and oceanography: Synoptic chart weather forecasting ...... X X X X X X ...... Characteristics of weather systems...... X X X X X X X Ocean current systems ...... X X X X X X ...... Tide and tidal current publications ...... X X X X X X ...... Stability, ballasting, construction and damage control: Principles of ship construction, structural members...... X X X X X X X Trim and stability ...... X X X X X X X Damaged trim and stability countermeasures ...... X X X X ...... X X Stability and trim calculations ...... X X X X X X Load line requirements ...... X X X X X X X Operating manual: Rig characteristics and limitations ...... X X X X X X X Hydrostatics data ...... X X X X ...... X X Tank tables ...... X X X X X X X KG limitations ...... X X X X ...... X X Severe storm instructions ...... X X X X X X X Transit instructions ...... X X ...... X ...... X X On-station instructions ...... X ...... X ...... X X X Unexpected list or trim ...... X X X X ...... X X Ballasting procedures ...... X X X ...... X X Operation of bilge system ...... X X X X ...... X X Leg loading calculations ...... X ...... X X ...... Completion of variable load form ...... X X X X X X X Evaluation of variable load form ...... X X X X X X X Emergency procedures ...... X X X X X X X Maneuvering and handling: Anchoring and anchor handling ...... X X X ...... X ...... Heavy weather operations ...... X X X X X X X Mooring, positioning ...... X X X X ...... X X Moving, positioning ...... X X ...... X ...... X ...... Fire prevention and firefighting appliances: Organization of fire drills ...... X X X X X X X Classes and chemistry of fire ...... X X X X X X X Firefighting systems ...... X X X X X X X Firefighting equipment and regulations...... X X X X X X X Basic firefighting and prevention of fires ...... X X X X X X X Emergency procedures and contingency plans: Temporary repairs ...... X X X X ...... X ...... Fire or explosion ...... X X X X X X X Abandon unit ...... X X X X X X X Man overboard ...... X X X X X X X Heavy weather ...... X X X X X X X Collision ...... X X X X X X X Failure of ballast control system ...... X X X ...... X X Mooring emergencies ...... X ...... X ...... X X Blowouts ...... X ...... X ...... X X X H2 S safety ...... X ...... X ...... X X X General Engineering—Power plants and auxiliary systems: Marine engineering terminology...... X X X X X X X Engineering equipment, operations and failures...... X X X X X X ...... Offshore drilling operations ...... X Deck seamanship—general: Transfer of personnel ...... X X X X X X ......

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TABLE 11.920–2—SUBJECTS FOR MODU LICENSES—Continued

Examination topics 1 2 3 4 5 6 7

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

[CGD 81–059a, 55 FR 14802, Apr. 18, 1990, as amended by USCG–2006–24371, 74 FR 11254, Mar. 16, 2009]

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A/E Ltd & DDE unlim. NDORSEMENTS E Chief engineer limited NGINEER E Unlimited 3rd asst. engineer UBJECTS FOR Unlimited 2nd asst. engineer 11.950—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: § 11.950 Subjects for engineer endorsements.

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VerDate Mar<15>2010 13:21 Nov 01, 2011 Jkt 223193 PO 00000 Frm 00198 Fmt 8010 Sfmt 8010 Q:\46\46V1.TXT ofr150 PsN: PC150 Coast Guard, DHS § 11.950 Motor Controllers...... Systems...... P-T P P-T P-T P-T P-T P-T P-T Motor P Systems...... P-T P P-T P-T P-T P-T P-T Propulsion P-T P-T P P-T P P-T Systems...... P-T P-T P-T P-T P-T P-T Distribution P-T P P P-T P P-T P-T P-T P-T Electronic P P P-T P P Batteries ...... P P P-T P P-T CommunicationsP-T P-T P-T P-T P P-T Boilers...... P ...... Control...... P P SafetyP P-T P P-T P-T P-T P-T Boilers...... P-T P P-T P P-T P-T P ...... P-T P-T P-T P-T P-T P P P-T Casualty P-T P P-T P P-T P P-T P-T P-T P-T P P P P-T P P-T P P-T P-T P P P-T P P-T P-T P-T P-T Steam P P-T P P-T ...... P P-T P-T Main P P P-T P-T Systems...... P-T P-T Auxiliary P-T Systems...... P P Systems...... P-T P-T P-T P-T P-T P-T Feedwater P-T P-T P-T P P-T Condensate P P-T P-T P Recovery Systems...... P-T P P-T Fuel P-T ...... P P-T P-T P-T Water...... P-T P-T P P-T P-T P-T P-T P P-T Fuel P-T P-T P-T P-T P-T P-T P-T Systems...... P-T P-T P-T P-T P-T P-T P P-T Boiler P-T Systems...... P-T P P-T P-T P-T P-T Control P-T P-T Turbine...... P P P-T P-T P-T P-T P-T P-T P-T Automation P P P-T Control...... Safety P-T Machines...... P-T ...... P-T P-T P-T P-T P-T Casualty P-T P P P-T P-T P-T P-T P-T P-T P-T P P P P P Turbine...... P P-T P Main P-T Systems...... P P-T P-T P P-T P P-T Auxiliary P P-T P P P-T P-T Systems...... P-T P Reciprocating P-T P Systems...... P-T P Systems...... P-T P P P-T Governor P-T P P-T P P-T P-T P Control P-T P-T P-T P-T P Systems...... P-T P Automation P-T P-T P-T P P-T P P-T P Lubrication P-T Engines...... P-T P P-T P Drive P-T P-T Control...... P-T P-T P P-T Safety P-T P P-T ...... P-T P Casualty P-T P P-T P-T P P-T P P-T P-T P P-T Engines...... P-T P P-T Main P-T P P-T P Systems...... P-T P P-T P-T P-T P-T P-T P-T P-T P Auxiliary P-T P-T P-T Systems...... P-T P Starting P P-T P P-T P-T P-T P P-T P-T P-T P-T P-T Lubrication P-T P Systems...... Fuel P P-T P ...... P-T P P-T P-T Systems...... P-T P-T P-T P-T P-T P-T P-T P P-T P P-T Fuel P-T P-T P-T P-T P-T P-T P-T Systems...... P-T P P-T P-T P-T P-T P-T P P P-T Combustion P-T P P-T Systems...... P P Intake P-T Systems...... P-T P P P-T Exhaust P-T P Systems...... P-T P P Cooling P-T P P-T P-T P P-T P Systems...... P-T P-T P P P-T P Supercharging P-T P P-T P P Systems...... P-T P P-T P P-T P P P-T P Drive P-T P-T P-T P Systems...... P-T P P-T P P-T P P P Control P-T P P-T P-T P P-T P P-T P P P-T P Automation P-T P P-T P-T P P-T P P-T P P-T Governors P-T P-T P P-T P ...... P-T P-T P P-T P-T P P-T P Turbines P ...... P-T P P-T P P-T P P-T P P P P-T P-T P P-T P P-T P P-T P P P-T P-T P-T P P-T P-T P P P-T P P-T P P-T P P-T P P-T P P-T P-T P P-T P-T P-T P-T P-T P-T P P-T P P– P P P P Steam Generators: Steam Engines: Motor:

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Subpart J—Ro-Ro Passenger Ships before you may serve on a passenger ship, you must— (a) Meet the appropriate require- SOURCE: CGD 95–062, 62 FR 34534, June 26, ments of the STCW Regulation V/3 and 1997, unless otherwise noted. of section A–V/3 of the STCW Code (in- § 11.1001 Purpose of regulations. corporated by reference, see § 11.102); and The purpose of the regulations in this (b) Hold documentary evidence to subpart is to establish requirements for show that you meet these requirements officers serving on roll-on/roll-off (Ro- through approved or accepted training. Ro) passenger ships. [USCG-1999–5610, 67 FR 66068, Oct. 30, 2002, as § 11.1003 Definition. amended by USCG–2006–24371, 74 FR 11254, Mar. 16, 2009] Roll-on/roll-off (Ro-Ro) passenger ship means a passenger ship with Ro-Ro PART 12—REQUIREMENTS FOR cargo spaces or special-category spaces as defined in the Convention for the RATING ENDORSEMENTS Safety of Life at Sea, 1974, as amended Subpart 12.01—General (SOLAS), to which a SOLAS certificate is issued. Sec. 12.01–1 Purpose of rules in this part. § 11.1005 General requirements for of- 12.01–3 Incorporation by reference. ficers. 12.01–6–12.01–7 [Reserved] 12.01–9 Paperwork approval. To serve on a Ro-Ro passenger ship, a 12.01–11 [Reserved] person endorsed as master, chief mate, mate, chief engineer, or engineer shall Subpart 12.02—General Requirements for meet the appropriate requirements of Certification STCW Regulation V/2 and Section A–V/ 2 of the STCW Code (incorporated by 12.02–3–12.02–5 [Reserved] 12.02–7 When documents are required. reference, see § 11.102) and shall hold 12.02–9–12.02–10 [Reserved] documentary evidence to show his or 12.02–11 General provisions respecting rat- her meeting these requirements. ing endorsements. 12.02–12–12.02–15 [Reserved] [USCG–2006–24371, 74 FR 11254, Mar. 16, 2009] 12.02–17 Examination procedures and denial of rating endorsements. Subpart K—Officers on a Pas- 12.02–18–12.02–29 [Reserved] senger Ship, Other Than a Ro- Subpart 12.03—Approved and Accepted Ro Passenger Ship, When on Training an International Voyage 12.03–1 Coast Guard-accepted training other than approved courses. SOURCE: USCG-1999–5610, 67 FR 66068, Oct. 30, 2002, unless otherwise noted. Subpart 12.05—Able Seamen § 11.1101 Purpose of rules. 12.05–1 Certification required. 12.05–3 General requirements. The rules in this subpart establish re- 12.05–5 [Reserved] quirements for officers serving on pas- 12.05–7 Service or training requirements. senger ships as defined in § 10.1103. 12.05–9 Examination and demonstration of ability. § 11.1103 Definitions. 12.05–11 General provisions respecting mer- Passenger ship in this subpart means chant mariner’s document endorsed for service as able seamen. a ship, other than a Ro-Ro passenger ship, carrying more than 12 passengers Subpart 12.07 [Reserved] when on an international voyage. Subpart 12.10—Lifeboatman § 11.1105 General requirements for officer’s endorsements. 12.10–1 Credentials required. 12.10–3 General requirements. If you are a master, mate, chief 12.10–5 Examination and demonstration of mate, engineer, or chief engineer, then, ability.

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12.10–7 General provisions respecting an 12.40–15 Alternative means of compliance. MMC or MMD endorsed as lifeboatman. 12.10–9 Endorsement for 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. 12.15–1 Credentials required. (a) The purposes of the regulations in 12.15–3 General requirements. this part are to provide— 12.15–5 Physical and medical requirements. (1) A comprehensive and adequate 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 an professional qualifications an applicant endorsement as qualified member of the must possess to be eligible for certifi- engine department. 12.15–13 Deck engine mechanic. cation to serve on merchant vessels of 12.15–15 Engineman. the United States; (2) A means of determining that an Subpart 12.25—Certificates of Service for applicant is competent to serve as a Ratings Other Than Able Seaman or ‘‘rating forming part of a navigational Qualified Member of the Engine De- watch’’ or a ‘‘rating forming part of an partment engine-room watch’’, or is otherwise ‘‘designated to perform duties in a peri- 12.25–1 Credentials required. 12.25–10 General requirements. odically unmanned engine-room’’, on a 12.25–20 Physical and medical requirements. seagoing ship, in accordance with the 12.25–25 Members of Merchant Marine Cadet provisions of the International Conven- Corps. tion on Standards of Training, Certifi- 12.25–30 Student observers. cation and Watchkeeping for Seafarers, 12.25–35 Apprentice engineers. 1978, as amended (STCW), and to re- 12.25–40 Apprentice mate. ceive the endorsement required by 12.25–45 GMDSS At-sea Maintainer. STCW; and Subpart 12.30—Ro-Ro Passenger Ships (b) The regulations in subpart 12.03 of this part prescribe the requirements 12.30–1 Purpose of regulations. applicable to all training and assess- 12.30–3 [Reserved] ment associated with meeting the 12.30–5 General requirements. standards of competence established by Subpart 12.35—Crewmembers on a Pas- STCW. senger Ship, Other Than a Ro-Ro Pas- [CGD 95–062, 62 FR 34534, June 26, 1997, as senger Ship, When on an International amended by USCG-1999–5610, 67 FR 66068, Oct. Voyage 30, 2002; USCG-2003–14500, 69 FR 531, Jan. 6, 2004; USCG–2006–24371, 74 FR 11254, Mar. 16, 12.35–1 Purpose of rules. 2009] 12.35–3 [Reserved] 12.35–5 General requirements. § 12.01–3 Incorporation by reference. Subpart 12.40—-Non-resident Alien Unli- (a) Certain material is incorporated censed Members of the Steward’s De- by reference into this part with the ap- partment on U.S. Flag Large Passenger proval of the Director of the Federal Vessels Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition 12.40–1 Purpose of rules. other than that specified in this sec- 12.40–3 [Reserved] tion, the Coast Guard must publish a 12.40–5 General application requirements. 12.40–7 Employer requirements. notice of change in the FEDERAL REG- 12.40–9 Basis for denial. ISTER and the material must be avail- 12.40–11 Citizenship and identity. able to the public. All approved mate- 12.40–13 Restrictions. rial is available for inspection at the

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National Archives and Records Admin- § 12.01–11 [Reserved] istration (NARA). For information on the availability of this material at Subpart 12.02—General NARA, call 202–741–6030 or go to http:// Requirements for Certification www.archives.gov/federallregister/ codeloflfederallregulations/ §§ 12.02–3–12.02–5 [Reserved] ibrllocations.html. Also, it is available for inspection at the Coast Guard, Of- § 12.02–7 When documents are required. fice of Operating and Environmental Standards (CG–5221), 2100 2nd St. SW., (a) Every seaman employed on any Stop 7126, Washington, DC 20593–7126, merchant vessel of the United States of 202–372–1405 and is available from the 100 gross tons or upward, except vessels sources indicated in this section. employed exclusively in trade on the navigable rivers of the United States, (b) International Maritime Organiza- must carry a valid merchant mariner tion (IMO), 4 Albert Embankment, Lon- credential (MMC) or merchant mari- don, SE1 7SR, England, telephone: + 44 ner’s document (MMD) with all appro- (0)20 7735 7611, http://www.imo.org. priate endorsements for the position (1) The International Convention on served and, beginning on April 15, 2009, Standards of Training, Certification a valid Transportation Worker Identi- and Watchkeeping for Seafarers, 1978, fication Credential (TWIC). Provisions as amended 1995 (the STCW Convention of this section are not applicable to or the STCW), incorporation by ref- unrigged vessels except seagoing erence approved for §§ 12.02–7, 12.02–11, barges and certain tank barges. 12.05–3, 12.05–11, 12.10–3; 12.10–5, 12.10–7, (b) Every seaman, as referred to in 12.10–9, 12.15–3, 12.30–5, and 12.35–5. paragraph (a) of this section, shall (2) The Seafarers’ Training, Certifi- produce a valid MMC or MMD with all cation and Watchkeeping Code, as applicable rating endorsements for the amended 1995 (the STCW Code), incor- position sought and, beginning on April poration by reference approved for 15, 2009, a valid TWIC to the master of §§ 12.02–11, 12.03–1, 12.05–3, 12.05–7, 12.10– the vessel at the time of his or her em- 5, 12.10–9, 12.15–3, 12.15–7, 12.25–45, 12.30– ployment before signing articles of 5, and 12.35–5. agreement. Seamen who do not possess one of these credentials may be em- [USCG–2006–24371, 74 FR 11254, Mar. 16, 2009, ployed at a foreign port or place. as amended by USCG–2009–0702, 74 FR 49225, (c)(1) Every person employed on any Sept. 25, 2009] merchant vessel of the United States of 100 gross tons and upward, except those §§ 12.01–6–12.01–7 [Reserved] navigating rivers exclusively and the smaller inland lakes, below the grades § 12.01–9 Paperwork approval. of officer and staff officer, must possess (a) This section lists the control a valid MMC or MMD with all appro- numbers assigned by the Office of Man- priate endorsements for the positions agement and Budget under the Paper- served; work Reduction Act of 1980 (Pub. L. 96– (2) No endorsements are required of 511) for the reporting and record keep- any person below the rank of officer ing requirements in this part. employed on any unrigged vessel ex- (b) The following control numbers cept seagoing barges and certain tank have been assigned to the sections indi- barges. (3) No endorsements are required of cated: any person below the rank of officer (1) OMB 1625–0079—46 CFR 12.02–17 employed on any sail vessel of less and 12.03–1. than 500 net tons while not carrying (2) [Reserved] passengers for hire and while not oper- [CGD 95–062, 62 FR 34535, June 26, 1997, as ating outside the line dividing inland amended by USCG-2004–18884, 69 FR 58343, waters from the high seas, as defined in Sept. 30, 2004] section 2 of the act of February 19, 1895, as amended (33 U.S.C. 151) and in 33 CFR part 82.

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(d) Each person serving as an able §§ 12.02–9–12.02–10 [Reserved] seaman or a rating forming part of a navigational watch on a seagoing ship § 12.02–11 General provisions respect- of 500 gross tonnage (200 GRT) or more ing rating endorsements. shall hold an STCW endorsement certi- (a)(1) An MMC with a deck officer en- fying him or her as qualified to per- dorsement will authorize the holder to form the navigational function at the serve in any rating capacity in the support level, in accordance with deck department, except able seaman. STCW (incorporated by reference, see If a deck officer qualifies as able sea- § 12.01–3). man, the MMC will be endorsed with (e) Each person serving as a qualified the appropriate able seaman and lifeboatman endorsement. STCW en- member of the engine department dorsements as RFPNW and PSC will (QMED) or a rating forming part of a also be entered upon qualification. watch in a manned engine-room or des- (2) An MMC issued to an engineer of- ignated to perform duties in a periodi- ficer endorsed for inspected vessels of cally unmanned engine-room, on a sea- over 2,000 horsepower will authorize going ship driven by main propulsion the holder to serve in any rating capac- machinery of 750 kW [1,000 hp] of pro- ity in the engine department. If an en- pulsion power or more, shall hold an gineer officer qualifies as a STCW endorsement certifying him or lifeboatman, the appropriate her as qualified to perform the marine- lifeboatman endorsement will be engineering function at the support placed on the MMC. STCW endorse- level, in accordance with STCW. ments as RFPEW and PSC will also be (f) Notwithstanding any other rule in entered upon qualification. this part, no person subject to this part (b) The authorized holder of any valid serving on any of the following vessels rating endorsement may serve in any needs to hold an STCW endorsement, capacity in the staff department of a either because he or she is exempt from vessel, except in those capacities re- application of the STCW, or because quiring a staff officer; except that the vessels are not subject to further whenever the service includes the han- obligation under STCW, on account of dling of food, no person may be so em- their special operating conditions as ployed unless his or her credential bears the food handler’s endorsement small vessels engaged in domestic voy- ‘‘(F.H.)’’. ages: (c) A rating endorsement as able sea- (1) Small passenger vessels subject to man or lifeboatman authorizes service subchapter T or K of title 46, CFR. as lifeboatman. (2) Vessels of less than 200 GRT (d) The OCMI will issue an STCW en- (other than passenger vessels subject dorsement if the applicant for or holder to subchapter H of title 46, CFR). of an MMC is qualified for the endorse- (3) Uninspected passenger vessels as ment. The OCMI will issue an STCW defined in 46 U.S.C. 2101(42). endorsement for the following ratings: (4) Fishing vessels as defined in 46 (1) A rating forming part of a naviga- U.S.C. 2101(11)(a). tional watch on a seagoing ship of 500 (5) Fishing vessels used as fish-tender GT or more if the holder of the creden- vessels as defined in 46 U.S.C. tial is qualified according to STCW 2101(11)(c). Regulation II/4 of the STCW Code (in- (6) Barges as defined in 46 U.S.C. corporated by reference, see § 12.01–3) to 2101(2), including non-self-propelled perform the navigational function at the support level. mobile offshore-drilling units. (2) A rating forming part of a watch (7) Vessels operating exclusively on in a manned engineroom, or designated the Great Lakes. to perform duties in a periodically un- [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as manned engineroom, on a seagoing ship amended by CGD 95–062, 62 FR 34535, June 26, driven by main propulsion machinery 1997; USCG-1999–5610, 67 FR 66068, Oct. 30, of 750 kW (1,000 hp) of propulsion power 2002; USCG–2006–24371, 74 FR 11254, Mar. 16, or more, if the holder is qualified in ac- 2009] cording to STCW Regulation III/4 and

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Section A-III/4 of the STCW Code, (in- (1) The training and assessment must corporated by reference, see § 12.01–3) to have written, clearly defined objectives perform the marine-engineering func- that emphasize specific knowledge, tion at the support level. skills, and abilities, and that include (e) At the request of the holder of the criteria to be used in establishing a document, the OCMI may add an en- student’s successful achievement of the dorsement to indicate that a qualified training objectives. holder has received basic-safety train- (2) The training must be set out in a ing or instruction required under Chap- written syllabus that conforms to a ter VI of STCW (incorporated by ref- Coast Guard-accepted outline for such erence, see § 12.01–3). training and includes— [USCG–2006–24371, 74 FR 11255, Mar. 16, 2009] (i) The sequence of subjects to be covered; §§ 12.02–12–12.02–15 [Reserved] (ii) The number of hours to be devoted to instruction in relevant areas § 12.02–17 Examination procedures of knowledge; and denial of rating endorsements. (iii) The identity and professional (a) Upon application for a rating en- qualifications of the instructor(s) to be dorsement, any required examination conducting the training or providing will be given as soon as practicable. instruction; (b) An applicant for a rating endorse- (iv) The identity of other media or fa- ment who has been duly examined and cilities to be used in conducting the refused a certificate by the Coast training; and Guard may come before the Coast (v) Measurements at appropriate in- Guard for reexamination at any time tervals of each candidate’s progress to- after the date of the initial examina- ward acquisition of the specific knowl- tion. The Coast Guard sets the time of edge, skills, and abilities stated in the reexamination based on the applicant’s training objectives. performance on the initial examina- (3) Except as provided in paragraph tion. However, the maximum waiting (a)(4) of this section, documentary evi- period after the initial failure will be dence must be readily available to es- 30 days, and the maximum waiting pe- tablish that all instructors— riod after a second or subsequent fail- (i) Have experience, training, or in- ure will be 90 days. struction in effective instructional (c) An applicant who has been exam- techniques; ined and refused a certificate by the (ii) Are qualified in the task for Coast Guard may not again make ap- which the training is being conducted; plication for examination until 30 days and after the applicant’s last failure of an (iii) Hold the level of Coast Guard examination or reexamination. credential or other professional creden- [USCG–2006–24371, 74 FR 11255, Mar. 16, 2009] tial required of those who would apply, on board a vessel, the relevant level of §§ 12.02–18–12.02–29 [Reserved] 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 (a) When the training and assessment United States, specializing in a par- of competence required by parts 10 or ticular field, need hold a Coast Guard 12 of this subchapter are not subject to credential to conduct training in that approval under § 11.302 of this chapter, field. but are used to qualify an applicant to (5) A simulator may be used in train- hold an STCW or rating endorsement, ing if— the training and assessment must meet (i) The simulator meets applicable the following requirements: performance standards;

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(ii) The instructor has gained prac- requirements that apply to the train- tical operational experience on the par- ing, and shall not himself or herself be ticular type of simulator being used; involved in the training and assess- and ment of students. (iii) The instructor has received ap- (D) Each person evaluating or moni- propriate guidance in instructional toring the training shall enjoy conven- techniques involving the use of simula- ient access to all appropriate docu- tors. ments and facilities, and opportunities (6) Essential equipment and instruc- both to observe all appropriate activi- tional materials must afford each stu- ties and to conduct confidential inter- dent adequate opportunity to partici- views when necessary. pate in exercises and acquire practice (E) Arrangements must be such as to in performing required skills. ensure that no person evaluating or (7) A process for routinely assessing monitoring the training is penalized or the effectiveness of the instructors, in- rewarded, directly or indirectly, by the cluding the use of confidential evalua- sponsor of the training for making any tions by students, is in place. particular observations or for reaching (8) Documentary evidence is readily any particular conclusions. available to establish that any evalua- (11) Each person conducting the ini- tion of whether a student is competent tial evaluation under paragraph in accordance with standards, methods, (a)(10)(ii)(A) of this section or the peri- and criteria set out in part A of the odic monitoring of the training under STCW Code (incorporated by reference paragraph (a)(10)(ii)(B) of this section in § 12.01–3) is conducted by a des- shall communicate his or her conclu- ignated examiner who has experience, sions to the Commanding Officer, Na- training, or instruction in assessment tional Maritime Center, NMC–2, 100 techniques. Forbes Drive, Martinsburg, West Vir- (9) Records of the student’s perform- ginia 25404, within 1 month of the com- ance are maintained for at least 1 year pletion or the evaluation of the moni- by the offeror of the training and as- toring. sessment. (12) Each offeror of the training shall (10) To ensure that the training is let the Coast Guard or someone author- meeting its objectives, and the require- ized by the Coast Guard observe the ments of paragraphs (a) (1) through (9) records of a student’s performance and 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 training necessary for both officer and schedule stipulated under the Coast STCW endorsements under this part. Guard-accepted quality-standards sys- The Coast Guard will update this list tem. periodically and make it available to (C) Each person conducting the ini- members of the public on request. tial evaluation or the subsequent peri- (c) If the Coast Guard determines, on odic monitoring of the training shall be the basis of observations or conclusions knowledgeable about the subjects either of its own or of someone author- being evaluated or monitored and ized by it to monitor the training, that about the national and international the particular training does not satisfy

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one or more of the conditions described (4) Able Seaman—Special (OSV). in paragraph (a) of this section— [CGD 80–131, 45 FR 69240, Oct. 20, 1980, as (1) The Coast Guard will so notify the amended by USCG–2006–24371, 74 FR 11256, offeror of the training by letter, enclos- Mar. 16, 2009] ing a report of the observations and conclusions; § 12.05–3 General requirements. (2) The offeror may, within a period (a) To qualify for an endorsement as specified in the notice, either appeal able seaman an applicant must: the observations or conclusions to the National Maritime Center (NMC) or (1) Be at least 18 years of age; bring the training into compliance; and (2) Pass the prescribed physical and (3) If the appeal is denied—or the de- medical examination in § 10.215 of this ficiency is not corrected in the allotted subchapter; time, or within any additional period (3) Meet the sea service or training judged by the Coast Guard to be appro- requirements set forth in this part; priate, considering progress towards (4) Pass an examination dem- compliance—the Coast Guard will re- onstrating ability as an able seaman move the training from the list main- and lifeboatman; and, tained under paragraph (b) of this sec- (5) Speak and understand the English tion until it can verify full compliance; language as would be required in per- and it may deny applications for li- forming the general duties of able sea- censes for STCW endorsement based in man and during an emergency aboard whole or in part on training not on the ship. list, until additional training or assess- (b) An STCW endorsement, will be ment is documented. issued or renewed only when the candidate for certification as an able sea- [CGD 95–062, 62 FR 34536, June 26, 1997, as amended by USCG-1998–4442, 63 FR 52189, man also produces satisfactory evi- Sept. 30, 1998; USCG-1999–5610, 67 FR 66068, dence, on the basis of assessment of a Oct. 30, 2002; USCG-2004–18884, 69 FR 58343, practical demonstration of skills and Sept. 30, 2004; USCG–2008–0906, 73 FR 56508, abilities, of having achieved or main- Sept. 29, 2008; USCG–2006–24371, 74 FR 11256, tained within the previous 5 years the Mar. 16, 2009] minimum standards of competence for the following 4 areas of basic safety: Subpart 12.05—Able Seamen (1) Personal survival techniques as set out in table A-VI/1-1 of the STCW § 12.05–1 Certification required. Code (incorporated by reference in (a) Every person serving under the § 12.01–3). authority of a rating endorsement as (2) Fire prevention and fire-fighting able seaman on any United States ves- as set out in table A-VI/1-2 of the sel requiring certificated able seamen, STCW Code. before signing articles of agreement, (3) Elementary first aid as set out in shall present to the master, his or her table A-VI/1-3 of the STCW Code. certificate as able seaman (issued in (4) Personal safety and social respon- the form of an MMC or MMD endorse- sibilities as set out in table A-VI/1-4 of ment). the STCW Code. (b) No MMD or MMC endorsed as able (c) An STCW endorsement as rating seaman is required of any person em- forming part of the navigational watch ployed on any tug or towboat on the will be issued or renewed when the can- bays and sounds connected directly didate for an endorsement meets the with the seas, or on any unrigged ves- requirements of STCW Regulation II/4 sel except seagoing barges or tank and of Section A–II/4 of the STCW Code barges. (incorporated by reference, see § 12.01– (c) The following categories of able 3). seaman are established: (1) Able Seaman—Any Waters, Un- [CGD 80–131, 45 FR 69240, Oct. 20, 1980, as 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. USCG–2006–24371, 74 FR 11256, Mar. 16, 2009]

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§ 12.05–5 [Reserved] (1) A graduate of a school ship may be rated as able seaman upon satisfac- § 12.05–7 Service or training require- tory completion of the course of in- ments. struction. For this purpose, school ship (a) The minimum service required to is interpreted to mean an institution qualify an applicant for the various which offers a complete course of in- categories of endorsement as able sea- struction, including a period of at sea man are listed in this paragraph. training, in the skills appropriate to (1) Able Seaman—Any Waters, Un- the rating of able seaman. limited. Three years service on deck on (2) Training programs, other than vessels operating on the oceans or the those classified as a school ship, may Great Lakes. be substituted for up to one third of 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 months service on deck on vessels oper- [CGD 80–131, 45 FR 69240, Oct. 20, 1980, as ating on the oceans, or the navigable amended by CGD 95–072, 60 FR 50460, Sept. 29, waters of the United States including 1995; CGD 95–062, 62 FR 34537, June 26, 1997; CGD 95–062, 62 FR 40140, July 25, 1997; USCG- the Great Lakes. 1998–4442, 63 FR 52189, Sept. 30, 1998; USCG- (4) Able Seaman—Special (OSV). Six 1999–5610, 67 FR 66068, Oct. 30, 2002; USCG– months service on deck on vessels oper- 2006–24371, 74 FR 11256, Mar. 16, 2009] ating on the oceans, or the navigable waters of the United States including § 12.05–9 Examination and demonstra- the Great Lakes. tion of ability. (5) After July 31, 1998, to receive an (a) Before an applicant is issued an STCW endorsement for service as a endorsement as an able seaman, he or ‘‘rating forming part of a navigational she shall prove to the satisfaction of watch’’ on a seagoing ship of 500 GT or the Coast Guard by oral or other means more, the applicant’s seagoing service of examination, and by actual dem- must include training and experience onstration, his or her knowledge of sea- associated with navigational manship and the ability to carry out watchkeeping and involve the perform- effectively all the duties that may be ance of duties carried out under the di- required of an able seaman, including rect supervision of the master, the offi- those of a lifeboatman. The applicant cer in charge of the navigational shall demonstrate that he or she: watch, or a qualified rating forming (1) Has been trained in all the oper- part of a navigational watch. The ations connected with the launching of training and experience must be suffi- lifeboats and liferafts, and in the use of cient to establish that the candidate oars; has achieved the standard of com- (2) Is acquainted with the practical petence prescribed in table A-II/4 of the handling of boats; and STCW Code (incorporated by reference (3) Is capable of taking command of in § 12.01–3), in accordance with the the boat’s crew. methods of demonstrating competence (b) The examination, whether admin- and the criteria for evaluating com- istered orally or by other means, must petence specified in that table. be conducted only in the English language and must consist of questions re- NOTE: Employment considerations for the garding: various categories of able seaman are con- (1) Lifeboats and liferafts, the names tained in § 157.20–15 of this chapter. of their essential parts, and a descrip- (b) Training programs approved by tion of the required equipment; the National Maritime Center, may be (2) The clearing away, swinging out, substituted for the required periods of and lowering of lifeboats and liferafts, service on deck as follows: and handling of lifeboats under oars

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and sails, including questions relative render him incompetent to perform the to the proper handling of a boat in a usual duties of an able seaman at sea. heavy sea; If such condition is believed to exist, (3) The operation and functions of the applicant shall be required to un- commonly used types of davits; dergo an examination to determine his (4) The applicant’s knowledge of nau- competency as set forth in § 10.215 of tical terms; boxing the compass, either this chapter. by degrees or points according to his [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as experience; running lights, passing sig- amended by CGD 71–161R, 37 FR 28263, Dec. nals, and fog signals for vessels on the 21, 1972; CGD 94–029, 61 FR 47064, Sept. 6, 1996; high seas, in inland waters, or on the USCG-2002–13058, 67 FR 61278, Sept. 30, 2002; Great Lakes depending upon the waters USCG-2004–18884, 69 FR 58343, Sept. 30, 2004; on which the applicant has had service; USCG–2006–24371, 74 FR 11256, Mar. 16, 2009] 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 endorsed for service as able sea- ing orders passed to him as wheelsman, men. and knowledge of the use of engineroom telegraph or bell-pull sig- (a) The holder of an MMC or MMD nals. endorsed for the rating of able seamen (c) In the actual demonstration, the may serve in any rating in the deck de- applicant shall show his ability by tak- partment without obtaining an addi- ing command of a boat and directing tional endorsement; provided, however, the operation of clearing away, swing- that the holder shall hold the appro- ing out, lowering the boat into the priate endorsement under the STCW water, and acting as coxswain in (incorporated by reference, see § 12.01–3) charge of the boat under oars. He shall when serving as a rating forming part demonstrate his ability to row by actu- of a navigational watch (RFPNW) on a ally pulling an oar in the boat. He shall seagoing ship of 500 GT or more. also demonstrate knowledge of the (b) An MMC or MMD endorsed as able principal knots, bends, splices, and seaman will also be considered an en- hitches in common use by actually dorsement as lifeboatman. making them. (c) This type of document will de- (d) The applicant must demonstrate scribe clearly the type of able seaman to the satisfaction of the Officer in certificate which it represents, e.g.: Charge, Marine Inspection, his knowl- able seaman—any waters; able sea- edge of pollution laws and regulations, man—any waters, 12 months; able sea- procedures for discharge containment man—Great Lakes, 18 months; able and cleanup, and methods for disposal seaman—on freight vessels, 500 gross of sludge and waste material from tons or less on bays or sounds, and on cargo and fueling operations. tugs, towboats, and barges on any wa- (e) Any person who holds a valid ters. MMC or MMD endorsed as able seaman, [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as any waters-12 months and who can amended by CGD 95–062, 62 FR 34537, June 26, produce documentary evidence of suffi- 1997; USCG-1999–5610, 67 FR 66068, Oct. 30, cient service to qualify for an endorse- 2002; USCG–2006–24371, 74 FR 11256, Mar. 16, ment as able seaman, any waters-un- 2009] limited, may be issued a new MMC bearing this endorsement without addi- Subpart 12.07 [Reserved] tional professional examination. The applicant shall surrender for cancella- Subpart 12.10—Lifeboatman tion the credential bearing the limited endorsement. No physical examination § 12.10–1 Credentials required. will be required at the time of this ex- Every person serving under the au- change unless it is found that the ap- thority of a rating endorsement as plicant obviously suffers from some lifeboatman on any United States ves- physical or mental infirmity to a de- sel requiring lifeboatmen must produce gree that in the opinion of the Officer an MMC or MMD endorsed as in Charge, Marine Inspection, would lifeboatman or able seaman to the

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United States Customs and Border Pro- STCW Regulation VI/2 (incorporated by tection Port Director or his or her rep- reference in § 12.01–3). resentative or master before signing [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as articles of agreement. No endorsement amended by CGD 95–072, 60 FR 50460, Sept. 29, as lifeboatman is required of any per- 1995; CGD 95–062, 62 FR 34537, June 26, 1997; son employed on any unrigged vessel, USCG-1998–4442, 63 FR 52189, Sept. 30, 1998; except on a seagoing barge and on a USCG-1999–5610, 67 FR 66068, Oct. 30, 2002; USCG-2004–18884, 69 FR 58343, Sept. 30, 2004; tank barge navigating waters other USCG–2006–24371, 74 FR 11256, Mar. 16, 2009] than rivers and/or canals. § 12.10–5 Examination and demonstra- [USCG–2006–24371, 74 FR 11256, Mar. 16, 2009] tion of ability. § 12.10–3 General requirements. (a) Before an applicant is issued an endorsement as a lifeboatman, he or (a) An applicant to be eligible for an she shall prove to the satisfaction of endorsement as lifeboatman must meet the Coast Guard by oral or other means one of the following requirements: of examination, and by actual dem- (1) At least 1 year’s sea service in the onstration, his or her knowledge of sea- deck department, or at least 2 years’ manship and the ability to carry out sea service in the other departments of effectively all the duties that may be ocean, coastwise, Great Lakes, and required of a lifeboatman. The appli- other lakes, bays, or sounds vessels. cant shall demonstrate that he or she: (2) Graduation from a schoolship ap- (1) Has been trained in all the oper- proved by and conducted under rules ations connected with the launching of prescribed by the National Maritime lifeboats and liferafts, and in the use of Center. oars; (3) Satisfactory completion of basic (2) Is acquainted with the practical handling of boats; and training by a Cadet of the United (3) Is capable of taking command of States Merchant Marine Cadet Corps. the boat’s crew. (4) Satisfactory completion of 3 (b) The examination, whether admin- years’ training at the U.S. Naval Acad- istered orally or by other means, must emy or the U.S. Coast Guard Academy be conducted only in the English lan- including two training cruises. guage and must consist of questions re- (5) Satisfactory completion of a garding: course of training approved by the Na- (1) Lifeboats and liferafts, the names tional Maritime Center, or service of their essential parts, and a descrip- aboard a training vessel. tion of the required equipment; (6) Successful completion of a train- (2) The clearing away, swinging out, ing course, approved by the National and lowering of lifeboats and liferafts, Maritime Center, such course to in- the handling of lifeboats under oars clude a minimum of 30 hours’ actual and sails, including questions relative lifeboat training; provided, however, to the proper handling of a boat in a heavy sea; and, that the applicant produces satisfac- (3) The operation and functions of tory evidence of having served a min- commonly used types of davits. imum of 6 months at sea board ocean (c) The practical examination shall or coastwise vessels. consist of a demonstration of the appli- (b) An applicant, to be eligible for an cant’s ability to carry out the orders endorsement as lifeboatman, shall be incident to launching lifeboats, and the able to speak and understand the use of the boat’s sail, and to row. English language as would be required (d) Each applicant for a in the rating of lifeboatman and in an lifeboatman’s endorsement with an emergency aboard ship. STCW endorsement for proficiency in (c) An applicant shall be 18 years old survival craft and rescue boats shall be to be eligible for an endorsement as not less than 18 years old and shall proficient in survival craft under produce satisfactory evidence that he or she meets the requirements of STCW Regulation VI/2 (incorporated by reference in § 12.01–3), paragraph 1, and the

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appropriate provisions of Section A-VI/ § 12.13–1 Documentary evidence re- 2 of the STCW Code (also incorporated quired. by reference in § 12.01–3). Each person designated to provide [CGFR 60–50, 30 FR 16640, Dec. 30, 1965, as medical first aid on board ship, or to amended by CGD 71–161R, 37 FR 28263, Dec. take charge of medical care on board 21, 1972; CGD 94–029, 61 FR 47064, Sept. 6, 1996; ship, shall hold documentary evidence CGD 95–062, 62 FR 34537, June 26, 1997; USCG- attesting that the person has attended 1999–5610, 67 FR 66068, Oct. 30, 2002; USCG– a course of training in medical first aid 2006–24371, 74 FR 11257, Mar. 16, 2009] or medical care, as appropriate. § 12.10–7 General provisions respect- [CGD 95–062, 62 FR 34537, June 26, 1997, as ing an MMC or MMD endorsed as amended by USCG-2004–18884, 69 FR 58343, lifeboatman. Sept. 30, 2004] An MMC or MMD endorsed as able seaman is the equivalent of an endorse- § 12.13–3 Basis of documentary evi- ment as lifeboatman and will be ac- dence. cepted wherever a lifeboatman is re- The Officer in Charge, Marine Inspec- quired by law; provided, however, that, tion will issue such documentary evi- when an able seaman has to be en- dence to the person, or endorse his or dorsed as either proficient in survival her MMC, on being satisfied that the craft and rescue boats or proficient in training required under section 12.13–1 fast rescue boats, he or she shall hold of this section establishes that he or an endorsement under the STCW (in- she meets the standards of competence corporated by reference, see § 12.01–3). set out in STCW Regulation VI/4 and [USCG–2006–24371, 74 FR 11257, Mar. 16, 2009] Section A-VI/4 of the STCW Code. [CGD 95–062, 62 FR 34537, June 26, 1997, as § 12.10–9 Endorsement for proficiency amended by USCG–2006–24371, 74 FR 11257, in fast rescue boats. Mar. 16, 2009] (a) Each person engaged or employed as a lifeboatman proficient in fast res- Subpart 12.15—Qualified Member cue boats must hold an appropriately of the Engine Department endorsed MMC or MMD. (b) To be eligible for an MMC en- § 12.15–1 Credentials required. dorsed for proficiency in fast rescue boats, an applicant must: (a) Every person serving under the (1) Be qualified as a lifeboatman with authority of a rating endorsement as proficiency in survival craft and fast qualified member of the engine depart- rescue boats under this subpart; and ment on any United States vessel re- (2) Furnish satisfactory proof that he quiring qualified members of the en- or she has met the requirements for gine department shall produce an en- training and competence of STCW Reg- dorsement as qualified member of the ulation, VI/2 paragraph 2, and the ap- engine department to the United propriate requirements of Section A- States Customs and Border Protection VI/2 of the STCW Code (incorporated by Port Director or his or her representa- reference in § 12.01–3). tive or master before signing articles of agreement. [CGD 95–062, 62 FR 34537, June 26, 1997, as (b) No endorsement as qualified amended by USCG-1999–5610, 67 FR 66069, Oct. member of the engine department is re- 30, 2002; USCG-2004–18884, 69 FR 58343, Sept. 30, 2004; USCG–2006–24371, 74 FR 11257, Mar. quired of any person employed on any 16, 2009] unrigged vessel, except seagoing barges. Subpart 12.13—Persons Des- [USCG–2006–24371, 74 FR 11257, Mar. 16, 2009] ignated To Provide Medical Care on Board Ship § 12.15–3 General requirements. (a) A qualified member of the engine SOURCE: CGD 95–062, 62 FR 34537, June 26, department is any person below officer 1997, unless otherwise noted. and above the rating of coal passer or

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wiper, who holds an MMC or MMD en- chinery of 750 kW [1,000 hp] propulsion dorsed as qualified member of the en- power or more. gine department issued by the Coast [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as Guard. amended by CGD 95–062, 62 FR 34538, June 26, (b) For purposes of administering 1997; USCG-2000–7790, 65 FR 58458, Sept. 29, this part the rating of assistant elec- 2000; USCG-1999–5610, 67 FR 66069, Oct. 30, trician is considered a rating equal to 2002; USCG–2006–24371, 74 FR 11257, Mar. 16, coal passer or wiper. 2009] (c) An applicant, to be eligible for an § 12.15–5 Physical and medical re- endorsement as qualified member of quirements. the engine department, shall be able to speak and understand the English lan- The physical and medical require- guage as would be required in the rat- ments for an endorsement as QMED are ing of qualified member of the engine found in § 10.215 of this chapter. department and in an emergency [USCG–2006–24371, 74 FR 11257, Mar. 16, 2009] aboard ship. (d) An STCW endorsement will be § 12.15–7 Service or training require- issued or renewed only when the can- ments. didate for endorsement as a qualified (a) An applicant for an endorsement member of the engine department also as qualified member of the engine de- produces satisfactory evidence, on the partment shall furnish the Coast Guard basis of assessment of a practical dem- proof of qualification based on six onstration of skills and abilities, of months’ service in a rating at least having achieved or maintained within equal to that of wiper or coal passer. the previous 5 years the minimum (b) Training programs approved by standards of competence for the fol- the Commanding Officer, National lowing 4 areas of basic safety: Maritime Center, may be substituted (1) Personal survival techniques as for the required service at sea in ac- set out in table A-VI/1-1 of the STCW cordance with the following: Code (incorporated by reference in (1) A graduate of a school ship may § 12.01–3). qualify for a rating endorsement as (2) Fire prevention and fire-fighting qualified member of the engine depart- as set out in table A-VI/1-2 of the ment upon satisfactory completion of STCW Code. the course of instruction. For this pur- (3) Elementary first aid as set out in pose, school ship is interpreted to mean table A-VI/1-3 of the STCW Code. an institution which offers a complete (4) Personal safety and social respon- course of instruction, including a pe- sibilities as set out in table A-VI/1-4 of riod of sea training, in the skills appro- the STCW Code. priate to the rating of qualified mem- (e) An STCW endorsement will be ber of the engine department. issued or renewed only when the can- (2) Training programs other than didate for endorsement as a qualified those classified as a school ship may be substituted for up to one-half of the re- member of the engine department quired service at sea. meets the standards of competence set out in STCW Regulation III/4 and Sec- (c) To qualify to receive an STCW endorsement for service as a ‘‘rating tion A-III/4 of the STCW Code (incor- forming part of a watch in a manned porated by reference, see § 12.01–3), if engine-room or designated to perform the candidate will be serving as a rat- duties in a periodically unmanned en- ing forming part of a watch in a gine-room’’ on a seagoing vessel driven manned engine-room, or designated to by main propulsion machinery 750 kW perform duties in a periodically un- [1,000 hp] propulsion power or more, an manned engine-room, on a seagoing applicant shall prove seagoing service ship driven by main propulsion ma- that includes training and experience associated with engine-room watchkeeping and involves the performance of duties carried out under

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the direct supervision of a qualified en- § 12.15–9 Examination requirements. gineer officer or a member of a qualified rating in the engine department. (a) Each applicant for endorsement The training must establish that the as a qualified member of the engine de- applicant has achieved the standard of partment in the rating of oiler, competence prescribed in table A-III/4 watertender, fireman, deck engineer, of the STCW Code (incorporated by ref- refrigeration engineer, junior engineer, erence in § 12.01–3), in accordance with electrician, or machinist shall be ex- the methods of demonstrating com- amined orally or by other means and petence and the criteria for evaluating only in the English language on the competence specified in that table. subjects listed in paragraph (b) of this [CGD 80–131, 45 FR 69241, Oct. 20, 1980, as section. The applicant’s general knowl- amended by CGD 95–072, 60 FR 50460, Sept. 29, edge of the subjects must be sufficient 1995; CGD 95–062, 62 FR 34538, June 26, 1997; to satisfy the examiner that he is CGD 95–062, 62 FR 40140, July 25, 1997; USCG- qualified to perform the duties of the 1998–4442, 63 FR 52189, Sept. 30, 1998; USCG- rating for which he makes application. 1999–5610, 67 FR 66069, Oct. 30, 2002; USCG– (b) List of subjects required: 2006–24371, 74 FR 11257, Mar. 16, 2009]

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 ...... 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 ......

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

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 an endorse- in any unqualified rating in the engine ment as a qualified member of the en- department without obtaining an addi- gine department in the rating of tional endorsement. This does not pumpman shall, by oral or other exam- mean that an endorsement of one ination, demonstrate sufficient knowl- qualified member of the engine depart- edge of the subjects peculiar to that ment rating authorizes the holder to rating to satisfy the Officer in Charge, serve in all qualified member of the en- Marine Inspection, that he or she is gine department ratings. Each quali- qualified to perform the duties of that fied member of the engine department rating. rating must be a separate endorsement. (d) Applicants for an endorsement as qualified members of the engine de- When, however, the applicant qualifies partment in the rating of deck engine for all ratings covered by an endorse- mechanic or engineman, who have ment as a QMED, the endorsement may proved eligibility for such endorsement read QMED—any rating. The ratings under either § 12.15–13 or § 12.15–15, will are as follows: not be required to take a written or (a) Refrigerating engineer. oral examination for such ratings. (b) Oiler. [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as (c) Deck engineer. amended by CGFR 66–46, 31 FR 13649, Oct. 22, (d) Fireman/Watertender. 1966; CGD 71–161R, 37 FR 28263, Dec. 21, 1972; (e) Junior engineer. CGD 74–75, 42 FR 24741, May 16, 1977; CGD 94– (f) Electrician. 029, 61 FR 47064, Sept. 6, 1996; USCG–2006– (g) Machinist. 24371, 74 FR 11257, Mar. 16, 2009] (h) Pumpman. § 12.15–11 General provisions respect- (i) Deck engine mechanic. ing an endorsement as qualified (j) Engineman. member of the engine department. [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as The holder of an endorsement with amended by CGFR 66–46, 31 FR 13649, Oct. 22, one or more qualified members of the 1966; CGD 74–45, 42 FR 24741, May 16, 1977; engine department ratings may serve USCG–2006–24371, 74 FR 11257, Mar. 16, 2009]

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§ 12.15–13 Deck engine mechanic. of a partially automated steam vessel of (a) An applicant for an endorsement 4,000 horsepower or over; or as deck engine mechanic shall be a per- (3) Satisfactory completion of a son holding an MMC or MMD endorsed course of training for engineman ac- as junior engineer. The applicant shall ceptable to the Commanding Officer, be eligible for such certification upon National Maritime Center. furnishing one of the 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 rating of junior engineer on steam ves- the requirements specified in this sec- sels of 4,000 horsepower or over; or, tion, will endorse this rating on the ap- (2) Documentary evidence from an plicant’s MMC. operator of an automated vessel that (c) Any holder of an MMC or MMD he has completed satisfactorily at least endorsed for any rating in the engine 4 weeks indoctrination and training in department, QMED—any rating or the engine department of an automated deck engine mechanic is qualified as an steam vessel of 4,000 horsepower or engineman and that endorsement will over; or, not be entered on his or her credential. (3) Satisfactory completion of a [CGFR 66–46, 31 FR 13650, Oct. 22, 1966, as course of training for deck engine me- amended by CGD 95–072, 60 FR 50460, Sept. 29, chanic acceptable to the Commanding 1995; CGD 95–028, 62 FR 51196, Sept. 30, 1997; Officer, National Maritime Center. USCG-1998–4442, 63 FR 52189, Sept. 30, 1998; (b) The Officer in Charge, Marine In- USCG–2006–24371, 74 FR 11258, Mar. 16, 2009] spection, who is satisfied that an applicant for the rating of deck engine me- Subpart 12.25—Certificates of chanic meets the requirements speci- Service for Ratings Other Than fied in this section, will endorse this Able Seaman or Qualified rating on the current MMC held by the Member of the Engine De- applicant. (c) Any holder of an MMC or MMD partment endorsed for any unlicensed rating in the § 12.25–1 Credentials required. engine department or QMED—any rating is qualified as a deck engine mechanic Every person employed in a rating and that endorsement will not be en- other than able seaman or qualified tered on his or her credential. member of the engine department of U.S. merchant vessels requiring such [CGFR 66–46, 31 FR 13649, Oct. 22, 1966, as persons shall produce an MMC or MMD amended by CGD 95–072, 60 FR 50460, Sept. 29, with the appropriate endorsement to 1995; CGD 95–028, 62 FR 51196, Sept. 30, 1997; USCG-1998–4442, 63 FR 52189, Sept. 30, 1998; the master, or person in charge if ap- USCG–2006–24371, 74 FR 11258, Mar. 16, 2009] propriate, before signing a shipping articles agreement. § 12.15–15 Engineman. [CGD 95–028, 62 FR 51196, Sept. 30, 1997, as (a) An applicant for an endorsement amended by USCG–2006–24371, 74 FR 11258, as engineman shall be a person holding Mar. 16, 2009] an MMC or MMD document endorsed as fireman/watertender and oiler, or jun- § 12.25–10 General requirements. ior engineer. The applicant shall be eli- (a) Rating endorsements shall be gible for such endorsement upon fur- issued without professional examina- nishing one of the following: tion to applicants in capacities other (1) Satisfactory documentary evi- than able seaman, lifeboatman, dence of sea service of 6 months in any tankerman, or QMED. For example, or- one or combination of junior engineer, dinary seaman, wiper, and steward’s fireman/watertender or oiler on steam department (F.H.) endorsements do not vessels of 4,000 horsepower or over; or, require an exam. Holders of MMCs or (2) Documentary evidence from an MMDs endorsed as ordinary seaman operator of a partially automated steam may serve in any unqualified rating in vessel that he has completed satisfac- the deck department. Holders of MMCs torily at least 2 weeks indoctrination or MMDs endorsed as wiper may serve and training in the engine department in any unqualified rating in the engine

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department. MMCs or MMDs endorsed § 12.25–35 Apprentice engineers. as steward’s department (F.H.) will au- (a) Persons enrolled in an apprentice thorize the holder’s service in any ca- engineer training program approved by pacity in the steward’s department. the Commanding Officer, National (See § 12.02–11(b) of this part for un- Maritime Center, and who present a qualified ratings in the staff depart- letter or other documentary evidence ment.) that they are so enrolled may be issued (b) When the holder of an endorse- an endorsement as apprentice engineer ment is qualified as a food handler, the and may be signed on ships as such. steward’s department endorsement will The endorsement apprentice engineer be followed by the further endorsement may be in addition to other endorse- (F.H.). ments. However, this endorsement of [USCG–2006–24371, 74 FR 11258, Mar. 16, 2009] apprentice engineer does not authorize the holder to fill any of the regular rat- § 12.25–20 Physical and medical re- ings. quirements. (b) Persons holding the endorsement The physical and medical require- apprentice engineer shall be deemed to ments for this subpart are found in be seamen. part 10 of this chapter. [CGFR 66–69, 31 FR 15669, Dec. 13, 1966, as [USCG–2006–24371, 74 FR 11258, Mar. 16, 2009] amended by CGD 95–072, 60 FR 50460, Sept. 29, 1995; CGD 95–028, 62 FR 51196, Sept. 30, 1997; § 12.25–25 Members of Merchant Ma- USCG-1998–4442, 63 FR 52189, Sept. 30, 1998; rine Cadet Corps. USCG–2006–24371, 74 FR 11258, Mar. 16, 2009] No ratings other than cadet (deck) or § 12.25–40 Apprentice mate. cadet (engine), as appropriate, and lifeboatman will be shown on an MMC A person enrolled in an apprentice issued to a member of the U.S. Mer- mate training program approved by the chant Marine Cadet Corps. The MMC Commanding Officer, National Mari- will also indicate that it is valid only time Center who presents a letter or while the holder is a cadet in the U.S. other documentary evidence that he is Maritime Administration training pro- so enrolled may be issued an endorse- gram. The MMC must be surrendered ment as apprentice mate and may be upon the holder being endorsed in any signed on ships as apprentice mate. other rating or upon being issued an of- The endorsement apprentice mate may ficer’s endorsement and the rating of be in addition to other endorsements. cadet (deck) or cadet (engine) will be However, this endorsement as appren- omitted. tice mate does not authorize the holder to fill any of the regular ratings. [USCG–2006–24371, 74 FR 11258, Mar. 16, 2009] [CGD 74–226, 40 FR 33976, Aug. 13, 1975, as § 12.25–30 Student observers. amended by CGD 95–072, 60 FR 50460, Sept. 29, 1995; USCG-1998–4442, 63 FR 52189, Sept. 30, Students in technical schools who 1998; USCG–2006–24371, 74 FR 11258, Mar. 16, are enrolled in courses in marine man- 2009] agement and ship operations who present a letter or other documentary § 12.25–45 GMDSS At-sea Maintainer. evidence that they are so enrolled shall An applicant is eligible to have his or be issued a MMC endorsed as student her STCW endorsement include a state- observers—any department and may be ment of qualification as GMDSS At-sea signed on ships as such. Students hold- Maintainer if he or she holds sufficient ing these endorsements will not take evidence of having completed a train- the place of any of the crew, or fill any ing program that covers at least the of the regular ratings. scope and content of training outlined [CGFR 65–50, 30 FR 16640, Dec. 30, 1965, as in Section B-IV/2 of the STCW Code (in- amended by USCG–2006–24371, 74 FR 11258, corporated by reference in § 12.01–3) for Mar. 16, 2009]

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training in maintenance of GMDSS in- men serving on passenger ships as de- stallations on board vessels. fined in part 10 of this chapter. [CGD 95–062, 62 FR 34538, June 26, 1997, as [USCG-1999–5610, 67 FR 66069, Oct. 30, 2002, as amended by USCG-1999–5610, 67 FR 66069, Oct. amended by USCG–2006–24371, 74 FR 11257, 30, 2002; USCG–2006–24371, 74 FR 11258, Mar. Mar. 16, 2009] 16, 2009] § 12.35–3 [Reserved]

Subpart 12.30—Ro-Ro Passenger § 12.35–5 General requirements. Ships A mariner with no endorsements, may serve on a passenger ship and per- SOURCE: CGD 95–062, 62 FR 34538, June 26, form duties that involve safety or care 1997, unless otherwise noted. for passengers, only after meeting the following conditions— § 12.30–1 Purpose of regulations. (a) Meet the appropriate require- The purpose of the regulations in this ments of the STCW Regulation V/3 and subpart is to establish requirements for of section A-V/3 of the STCW Code (in- endorsements for seamen serving on corporated by reference in § 12.01–3); roll-on/roll-off (Ro-Ro) passenger ships. and (b) Hold documentary evidence to [CGD 95–062, 62 FR 34538, June 26, 1997, as show that the mariner meets these re- amended by CGD 97–057, 62 FR 51042, Sept. 30, 1997; USCG–2006–24371, 74 FR 11258, Mar. 16, quirements through approved or ac- 2009] cepted training. [USCG-1999–5610, 67 FR 66069, Oct. 30, 2002, as § 12.30–3 [Reserved] amended by USCG–2006–24371, 74 FR 11257, Mar. 16, 2009] § 12.30–5 General requirements. To serve on a Ro-Ro passenger ship a Subpart 12.40—-Non-resident person holding an endorsement and Alien Unlicensed Members of performing duties toward safety, cargo- the Steward’s Department on handling, or care for passengers shall U.S. Flag Large Passenger meet the appropriate requirements of Vessels STCW Regulation V/2 and of Section A- V/2 of the STCW Code (incorporated by AUTHORITY: 31 U.S.C. 9701; 46 U.S.C. 2101, reference in § 12.01–3), and hold docu- 2103, 2110, 7301, 7302, 7503, 7505, 7701 and 8103; mentary evidence to show his or her Department of Homeland Security Delega- meeting these requirements. tion No. 0170.1.

[CGD 95–062, 62 FR 34538, June 26, 1997, as SOURCE: USCG–2007–27761, 74 FR 47734, amended by USCG-1999–5610, 67 FR 66069, Oct. Sept. 17, 2009, unless otherwise noted. 30, 2002; USCG–2006–24371, 74 FR 11258, Mar. 16, 2009] § 12.40–1 Purpose of rules. The rules in this subpart implement Subpart 12.35—Crewmembers on 46 U.S.C. 8103(k) by establishing re- a Passenger Ship, Other Than quirements for the issuance of mer- a Ro-Ro Passenger Ship, chant mariner credentials, valid only for service in the steward’s department When on an International of U.S. flag large passenger vessels, to Voyage non-resident aliens.

SOURCE: USCG-1999–5610, 67 FR 66069, Oct. § 12.40–3 [Reserved] 30, 2002, unless otherwise noted. § 12.40–5 General application require- § 12.35–1 Purpose of rules. ments. The rules in this subpart establish re- (a) Unless otherwise expressly speci- quirements for the qualification of sea- fied in this subpart, non-resident alien applicants for Coast Guard-issued merchant mariner credentials are subject

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to all applicable requirements con- information must remain on the last tained in this subchapter. U.S. flag large passenger vessel on (b) No application from a non-resi- which the applicant was employed dent alien for a merchant mariner cre- until such time as the merchant mar- dential issued pursuant to this subpart iner credential is returned to the Coast will be accepted unless the applicant’s Guard in accordance with paragraph (d) employer satisfies all of the require- of this section. ments of § 12.40–7 of this subpart. (c) If a merchant mariner credential or a Transportation Worker Identifica- § 12.40–7 Employer requirements. tion Credential (TWIC) is issued to the (a) The employer must submit the applicant, each merchant mariner cre- following to the Coast Guard, as a part dential and TWIC must be securely of the applicant’s merchant mariner kept by the employer on the U.S. flag credential application, on behalf of the large passenger vessel on which the ap- applicant: plicant is employed. The employer (1) A signed report that contains all must maintain a detailed record of the material disciplinary actions related to seaman’s total service on all author- the applicant, such as, but not limited ized U.S. flag large passenger vessels, to, violence or assault, theft, drug and and must make that information avail- alcohol policy violations, and sexual able to the Coast Guard upon request, harassment, along with an explanation to demonstrate that the limitations of of the criteria used by the employer to § 12.40–13(c) of this subpart have not determine the materiality of those ac- been exceeded. tions; (d) In the event that the seaman’s (2) A signed report regarding an em- merchant mariner credential and/or ployer-conducted background check. TWIC expires, the seaman’s visa status The report must contain: terminates, the seaman serves onboard (i) A statement that the applicant the U.S. flag large passenger vessel(s) has successfully undergone an em- for 36 months in the aggregate as a ployer-conducted background check; nonimmigrant crewman, the employer (ii) A description of the employer- terminates employment of the seaman conducted background check, including or if the seaman otherwise ceases all databases and records searched. The working with the employer, the em- background check must, at a min- ployer must return the merchant mar- imum, show that the employer has re- iner credential to the Coast Guard and viewed all information reasonably and the TWIC to the Transportation Secu- legally available to the owner or man- rity Administration within 10 days of aging operator, including the review of the event. available court and police records in the applicant’s country of citizenship, (e) In addition to the initial material and any other country in which the ap- disciplinary actions report and the ini- plicant has received employment refer- tial employer-conducted background rals, or resided, for the past 20 years check specified in paragraph (a) of this prior to the date of application; and section, the employer must: (iii) All information derived from the (1) Submit an annual material dis- employer-conducted background check. ciplinary actions report to update (3) The employer-conducted back- whether there have been any material ground check must be conducted to the disciplinary actions related to the ap- satisfaction of the Coast Guard for a plicant since the last material discipli- merchant mariner credential to be nary actions report was submitted to issued to the applicant. the Coast Guard. (b) If a merchant mariner credential (i) The annual material disciplinary is issued to the applicant, the report actions report must be submitted to and information required in paragraph the satisfaction of the Coast Guard in (a)(2) of this section must be securely accordance with the same criteria set kept by the employer on the U.S. flag forth in paragraph (a)(1) of this section, large passenger vessel, or U.S. flag except that the period of time exam- large passenger vessels, on which the ined for the material disciplinary ac- applicant is employed. The report and tions report need only extend back to

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the date of the last material discipli- to the satisfaction of both the em- nary actions report; and ployer and the Coast Guard. (ii) The annual material disciplinary (d) Meet the citizenship and identity actions report must be submitted to requirements of § 12.40–11 of this sub- the Coast Guard on or before the anni- part. versary of the issuance date of the merchant mariner credential. § 12.40–11 Citizenship and identity. (2) Conduct a background check each (a) In lieu of the requirements of year that the merchant mariner’s doc- § 10.221 of this subchapter, a non-resi- ument is valid to search for any dent alien may apply for a Coast changes that might have occurred Guard-issued merchant mariner cre- since the last employer-conducted dential, endorsed and valid only for background check was performed: service in the steward’s department of (i) The annual background check a U.S. flag large passenger vessel as de- must be conducted to the satisfaction fined in this subpart, if he or she is au- of the Coast Guard in accordance with thorized for employment under the im- the same criteria set forth in para- migration laws of the United States, graph (a)(2) of this section, except that including an alien crewman described the period of time examined during the in section 101(a)(15)(D)(i) of that Act. annual background check need only ex- (b) To meet the citizenship and iden- tend back to the date of the last back- tity requirements of this subpart, an ground check; and applicant must present an unexpired (ii) All information derived from the passport issued by the government of annual background check must be sub- the country of which the applicant is a mitted to the Coast Guard on or before citizen or subject; and either a valid the anniversary of the issuance date of U.S. C–1 or D visa or other valid evi- the merchant mariner credential. dence of employment authorization in (f) The employer is subject to the the United States deemed acceptable civil penalty provisions specified in 46 by the Coast Guard. (c) Any non-resident alien applying U.S.C. 8103(f) for any violation of this for a merchant mariner credential section. under this subpart may not be a citizen § 12.40–9 Basis for denial. of, or a temporary or permanent resident of, a country designated by the In addition to the requirements for a Department of State as a ‘‘State Spon- merchant mariner credential estab- sor of Terrorism’’ pursuant to section lished elsewhere in this subchapter, 6(j) of the Export Administration Act and the basis for denial established in of 1979 (50 U.S.C. App. 2405(j)) or section §§ 10.209, 10.211, and 10.213 of this sub- 620A of the Foreign Assistance Act of chapter, an applicant for a merchant 1961 (22 U.S.C. 2371). mariner credential issued pursuant to this subpart must: § 12.40–13 Restrictions. (a) Have been employed, for a period (a) A merchant mariner credential of at least one year, on a foreign flag issued to a non-resident alien under passenger vessel(s) that is/are under this subpart authorizes service only in the same common ownership or control the steward’s department of the U.S. as the U.S. flag large passenger ves- flag large passenger vessel(s), that is/ sel(s) on which the applicant will be are under the same common ownership employed upon issuance of a merchant and control as the foreign flag pas- mariner credential 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 employ- ments of § 12.40–9(a) of this subpart: ment required under paragraph (a) of (1) The merchant mariner credential this section, as verified in writing by will be endorsed for service in the stew- the owner or managing operator of the ard’s department in accordance with U.S. flag large passenger vessel(s), on § 12.25–10 of this part; which the applicant will be employed. (2) The merchant mariner credential (c) Have successfully completed an may also be endorsed for service as a employer-conducted background check, food handler if the applicant meets the

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requirements of § 12.25–20 of this part; months actual service on all authorized and U.S. flag large passenger vessels com- (3) No other rating or endorsement is bined under the provisions of this sub- authorized, except lifeboatman, in part: which case all applicable requirements (1) Once this 36-month limitation is of this subchapter and the Inter- reached, the merchant mariner creden- national Convention on Standards of tial becomes invalid and must be re- Training, Certification and turned to the Coast Guard under § 12.40– Watchkeeping for Seafarers, 1978, as 7(d) of this subpart, and the non-resi- amended (STCW Convention), and the dent alien is no longer authorized to Seafarers’ Training, Certification and serve in a position requiring a mer- Watchkeeping Code (STCW Code), must chant mariner credential on any U.S. be met. flag large passenger vessel; and (b) The following restrictions must (2) An individual who successfully ad- be printed on the merchant mariner justs his or her immigration status to credential, or listed in an accom- that of an alien lawfully admitted for panying Coast Guard letter, or both: permanent residence to the United (1) The name and official number of States or who becomes a United States all U.S. flag vessels on which the non- citizen may apply for a merchant mar- resident alien may serve. Service is not iner credential, subject to the require- authorized on any other U.S. flag ves- ments of § 10.221 of this subchapter, sel; without any restrictions or limitations (2) Upon issuance, the merchant mar- imposed by this subpart. iner credential must remain in the custody of the employer at all times; § 12.40–15 Alternative means of compli- (3) Upon termination of employment, ance. the merchant mariner credential must (a) The owner or managing operator be returned to the Coast Guard within of a U.S. flag large passenger vessel, or 10 days in accordance with § 12.40–7 of U.S. flag large passenger vessels, seek- this subpart; ing to employ non-resident aliens (4) A non-resident alien issued a mer- issued merchant mariner credential chant mariner credential under this under this subpart may submit a plan subpart may not perform to the Coast Guard, which, if approved, watchstanding, engine room duty will serve as an alternative means of watch, or vessel navigation functions; complying with the requirements of and this subpart. (5) A non-resident alien issued a mer- (b) The plan must address all of the chant mariner credential under this elements contained in this subpart, as subpart may perform emergency-re- well as the related elements contained lated duties provided: in § 15.530 of this subchapter, to the sat- (i) The emergency-related duties do isfaction of the Coast Guard. not require any other rating or endorsement, except lifeboatman as spec- PART 13—CERTIFICATION OF ified in paragraph (a)(3) of this section; (ii) The non-resident alien has com- TANKERMEN pleted familiarization and basic safety Subpart A—General training as required in § 15.1105 of this subchapter; Sec. (iii) That if the non-resident alien 13.101 Purpose. serves as a lifeboatman, he or she must 13.103 [Reserved] have the necessary lifeboatman’s en- 13.105 Paperwork approval. dorsement; and 13.106 Requirement to hold an MMC. (iv) The non-resident alien has com- 13.107 Tankerman endorsement: General. pleted the training for crewmembers on 13.109 Tankerman endorsement: Authorized cargoes. passenger ships performing duties in- 13.111 Restricted tankerman endorsement. volving safety or care for passengers, 13.113–13.117 [Reserved] as required in subpart 12.35 of this part. 13.119 Expiration of endorsement. (c) A non-resident alien may only 13.120 Renewal of tankerman endorsement. serve for an aggregate period of 36 13.121 Courses for tankerman endorsements.

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13.123 Recency of service or experience for ‘‘Tankerman-Engineer’’ on a merchant original tankerman endorsement. mariner credential. 13.125 Physical and medical requirements. 13.127 Service: General. [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as 13.129 Quick-reference table for tankerman amended by USCG–2006–24371, 74 FR 11259, endorsements. Mar. 16, 2009]

Subpart B—Requirements for ‘‘Tankerman- § 13.103 [Reserved] PIC’’ Endorsement § 13.105 Paperwork approval. 13.201 Original application for ‘‘Tankerman- PIC’’ endorsement. (a) This section lists the control 13.203 Eligibility: Experience. numbers assigned by the Office of Man- 13.205 Proof of service for ‘‘Tankerman- agement and Budget (OMB) under the PIC’’ endorsement. Paperwork Reduction Act of 1980 [Pub. 13.207 Eligibility: Firefighting course. L. 96–511] for the reporting and record- 13.209 Eligibility: Cargo course. keeping requirements in this part. Subpart C—Requirements for ‘‘Tankerman- (b) OMB has assigned the following PIC (Barge)’’ Endorsement control numbers to the sections indicated: 13.301 Original application for ‘‘Tankerman- (1) OMB 1625–0040—46 CFR 13.113, PIC (Barge)’’ endorsement. 13.115, 13.117, 13.201, 13.203, 13.205, 13.301, 13.303 Eligibility: Experience. 13.303, 13.305, 13.401, 13.403, 13.405, 13.501, 13.305 Proof of service for ‘‘Tankerman-PIC 13.503, 13.505. (Barge)’’ endorsement. 13.307 Eligibility: Firefighting course. (2) OMB 1625–0028—46 CFR 13.121, 13.309 Eligibility: Cargo course. 13.207, 13.209, 13.307, 13.309, 13.407, 13.409, 13.507, 13.509. Subpart D—Requirements for ‘‘Tankerman- Assistant’’ Endorsement [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as amended by USCG-2004–18884, 69 FR 58343, 13.401 Original application for ‘‘Tankerman- Sept. 30, 2004] Assistant’’ endorsement. 13.403 Eligibility: Experience. § 13.106 Requirement to hold an MMC. 13.405 Proof of service for ‘‘Tankerman-As- An applicant for any endorsement in sistant’’ endorsement. this part must also meet the require- 13.407 Eligibility: Firefighting course. 13.409 Eligibility: Cargo course. ments for the MMC on which the endorsement would appear. These re- Subpart E—Requirements for ‘‘Tankerman- quirements are set out in part 10 of Engineer’’ Endorsement this chapter. 13.501 Original application for ‘‘Tankerman- [USCG–2006–24371, 74 FR 11259, Mar. 16, 2009] Engineer’’ endorsement. 13.503 Eligibility: Experience. § 13.107 Tankerman endorsement: Gen- 13.505 Proof of service for ‘‘Tankerman-En- eral. gineer’’ endorsement. (a) If an applicant meets the require- 13.507 Eligibility: Firefighting course. 13.509 Eligibility: Cargo course. ments of subpart B of this part, the OCMI at an REC may endorse his or AUTHORITY: 46 U.S.C. 3703, 7317, 8105, 8703, her MMC as ‘‘Tankerman-PIC’’ with 9102; Department of Homeland Security Dele- the appropriate cargo classification or gation No. 0170.1. classifications. A person holding this SOURCE: CGD 79–116, 60 FR 17142, Apr. 4, endorsement and meeting the other re- 1995, unless otherwise noted. quirements of 33 CFR 155.710(a) may act as a PIC of a transfer of fuel oil, of Subpart A—General a transfer of liquid cargo in bulk, or of cargo-tank cleaning on any tank ves- § 13.101 Purpose. sel. That person may also act as a This part describes the various Tankerman-Engineer, provided that he tankerman endorsements issued by the or she also holds an engineer license or Coast Guard and prescribes the require- engineer endorsement. ments for obtaining an endorsement as (b) If an applicant meets the require- a ‘‘Tankerman-PIC,’’ ‘‘Tankerman-PIC ments of subpart C of this part, the (Barge),’’ ‘‘Tankerman-Assistant,’’ or OCMI at an REC may endorse his or

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her MMC as ‘‘Tankerman-PIC (Barge)’’ ‘‘restricted Tankerman endorsement’’ with the appropriate cargo classifica- in § 10.107. tion or classifications. A person hold- (f) A tankerman wishing to obtain an ing this endorsement and meeting the endorsement that he or she does not other requirements of 33 CFR 155.710(b) hold shall apply at an REC referenced may act as a PIC of a transfer of liquid in § 10.217 of this title. If he or she cargo in bulk only on a tank barge. meets all requirements for the new en- (c) If an applicant meets the require- dorsement, the REC may issue a new ments of subpart D of this part, the MMC including the endorsement. OCMI at an REC may endorse his or (g) This section does not apply to any her MMC as ‘‘Tankerman-Assistant’’ person solely by reason of his or her in- with the appropriate cargo classifica- volvement in bunkering or fueling. tion or classifications. No person hold- [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as ing this endorsement may act as a PIC amended by CGD 79–116, 62 FR 25127, May 8, of any transfer of fuel oil, of any trans- 1997; USCG–2008–0906, 73 FR 56508, Sept. 29, fer of liquid cargo in bulk, or of cargo- 2008; USCG–2006–24371, 74 FR 11259, Mar. 16, tank cleaning unless he or she also 2009] holds an endorsement authorizing service as PIC. He or she may, however, § 13.109 Tankerman endorsement: Au- without being directly supervised by thorized cargoes. the PIC, perform duties relative to (a) Each tankerman endorsement de- cargo and cargo-handling equipment scribed in § 13.107 will expressly limit assigned by the PIC of transfers of fuel the holder’s service under it to trans- oil, of transfers of liquid cargo in bulk, fers involving one or both of the fol- or of cargo-tank cleaning. When per- lowing cargo classifications: forming these duties, he or she shall (1) Dangerous liquid (DL). maintain continuous two-way voice (2) Liquefied gas (LG). communications with the PIC. (b) No tankerman endorsement is (d) If an applicant meets the require- necessary to transfer the liquid cargoes ments of subpart E of this part, the in bulk listed in Table 2 of Part 153 of OCMI at an REC may endorse his or this chapter when those cargoes are her MMC as ‘‘Tankerman-Engineer’’. carried on barges not certified for No person holding this endorsement ocean service. may act as a PIC or ‘‘Tankerman-As- (c) A tankerman having qualified in sistant’’ of any transfer of fuel oil, of one cargo classification and wishing to any transfer of liquid cargo in bulk, or qualify in another shall apply at an of cargo-tank cleaning unless he or she REC referenced in § 10.217 of this chap- also holds an endorsement authorizing ter. If he or she meets all requirements such service. A person holding this en- for the other, the REC may issue a new dorsement and acting in this capacity MMC including the endorsement. has the primary responsibility, on his [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as or her self-propelled tank vessel car- amended by USCG–2008–0906, 73 FR 56508, rying DL or LG, for maintaining both Sept. 29, 2008; USCG–2006–24371, 74 FR 11259, the cargo systems and equipment for Mar. 16, 2009] transfer of liquids in bulk and the bunkering systems and equipment. No per- § 13.111 Restricted tankerman en- son licensed or credentialed under part dorsement. 11 of this chapter may serve as a chief (a) An applicant may apply at an engineer, first assistant engineer, or REC listed in § 10.217 of this chapter for cargo engineer aboard an inspected a tankerman endorsement restricted to self-propelled tank vessel when liquid specific cargoes, specific vessels or cargo in bulk or cargo residue is car- groups of vessels (such as uninspected ried unless he or she holds this en- towing vessels and Oil Spill Response dorsement or equivalent. Vessels), specific facilities, specific em- (e) If an applicant meets the require- ployers, or otherwise as the OCMI ments of § 13.111, the OCMI at an REC deems appropriate. The OCMI will may place on his or her MMC an en- evaluate each application and may dorsement as a ‘‘Tankerman-PIC’’ re- modify the applicable requirements for stricted according to the definitions of the endorsement, allowing for special

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circumstances and for whichever re- cation and Watchkeeping for Seafarers, strictions the endorsement will state. 1978, as amended (STCW), does not rec- (b) To qualify for a restricted ognize restricted Tankerman-PIC en- ‘‘Tankerman-PIC’’ endorsement, an ap- dorsements, persons may act under plicant shall meet §§ 13.201, excluding these only aboard vessels conducting paragraph (f); 13.203; and 13.205. business inside the Boundary Line. (1) Twenty-five percent of the service [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as described in § 13.203(a) must have oc- amended by CGD 79–116, 62 FR 25128, May 8, curred within the past five years. 1997; USCG–2006–24371, 74 FR 11259, Mar. 16, (2) Two of the transfers described in 2009] § 13.203(b) must have occurred within the past five years. §§ 13.113–13.117 [Reserved] (c) To qualify for a restricted ‘‘Tankerman-PIC (Barge)’’ endorse- § 13.119 Expiration of endorsement. ment, an applicant shall meet §§ 13.301, An endorsement as tankerman is excluding paragraph (f); and 13.305. valid for the duration of the merchant (1) Twenty-five percent of the service mariner’s document or merchant mar- described in § 13.303(a) must have oc- iner credential on which the endorse- curred within the past five years. ment appears. (2) Two of the transfers described in [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as § 13.303(b) must have occurred within amended by USCG–2006–24371, 74 FR 11259, the past five years. Mar. 16, 2009] (d) To qualify for a restricted ‘‘Tankerman-PIC (Barge)’’ endorse- § 13.120 Renewal of tankerman en- ment restricted to a tank-cleaning and dorsement. gas-freeing facility, an applicant An applicant wishing to renew a shall— tankerman’s endorsement shall meet (1) Be at least 18 years old; the requirements of § 10.227 of this (2) Apply on a Coast Guard form; chapter for renewing an MMC and (3) Present evidence of passing a prove either participation in at least physical and medical examination ac- two transfers within the last 5 years in cording to § 10.215 of this chapter; accordance with § 13.127(b) or comple- (4) Present evidence in the form of a tion of an approved course as described letter on company letterhead from the in § 10.304. operator of the facility stating that [CGD 79–116, 62 FR 25130, May 8, 1997, as OSHA considers the applicant a ‘‘com- amended by USCG–2006–24371, 74 FR 11259, petent person’’ for the facility and that Mar. 16, 2009] the applicant has the knowledge necessary to supervise tank-cleaning and § 13.121 Courses for tankerman en- gas-freeing; and dorsements. (5) Be capable of speaking and under- (a) This section prescribes the re- standing, in English, all instructions quirements, beyond those in §§ 11.302 needed to commence, conduct, and and 11.304 of this chapter, applicable to complete a transfer of cargo, and of schools offering courses required for a reading the English found in the Dec- tankerman endorsement and courses laration of Inspection, vessel response that are a substitute for experience plans, and Cargo Information Cards. with transfers of liquid cargo in bulk (e) The restricted ‘‘Tankerman-PIC required for the endorsement. (Barge)’’ endorsement restricted to a (b) Upon satisfactory completion of tank-cleaning and gas-freeing facility an approved course, each student shall is valid only while the applicant is em- receive a certificate, signed by the ployed by the operator of the facility head of the school offering the course that provided the letter of service re- or by a designated representative, indi- quired by paragraph (d)(4) of this sec- cating the title of the course, the duration, and this and any other appro- tion, and, if appropriate, credit allowed priate restrictions will appear in the towards meeting the transfer require- endorsement. ments of this part. (f) Because the International Conven- (c) A course that uses simulated tion on Standards of Training, Certifi- transfers to train students in loading

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and discharging tank vessels may re- room instruction, demonstrations, or place up to 2 loadings and 2 discharges, simulated or actual operations. 1 commencement and 1 completion of (1) The curricula of courses for Fa- loading, and 1 commencement and 1 miliarization with DL Tankships must completion of discharge required for a consist of the following: Tankerman-PIC or Tankerman-PIC (i) General characteristics, compat- (Barge) endorsement. The request for ibility, reaction, firefighting, and safe- approval of the course must specify ty precautions for bulk liquid cargoes those segments of a transfer that the defined as DL in this part. course will simulate. The letter from (ii) Terminology of tankships car- the Coast Guard approving the course rying oil and other chemicals. will state the number and kind of seg- (iii) General arrangement and con- ments that the course will replace. struction of cargo tanks, vapor control, (d) The course in liquid cargo re- and venting. quired for an endorsement as— (iv) Cargo-piping systems and valves. (1) ‘‘Tankerman-PIC DL’’ is Tank- (v) General operation of cargo pumps. ship: Dangerous Liquids; (vi) General discussion of the fol- (2) ‘‘Tankerman-PIC (Barge) DL’’ is lowing operations connected with the Tank Barge: Dangerous Liquids; loading and discharging of cargo: (3) ‘‘Tankerman-PIC LG’’ is Tank- (A) Pre-transfer inspection and con- ship: Liquefied Gases; ference and Declaration of Inspection. (4) ‘‘Tankerman-PIC (Barge) LG’’ is (B) Lining up of the cargo and vapor- Tank Barge: Liquefied Gases; control systems and starting of liquid (5) ‘‘Tankerman-Assistant DL’’ is Fa- flow. miliarization with DL Tankship; and (C) Connecting and disconnecting of (6) ‘‘Tankerman-Assistant LG’’ is Fa- cargo hoses and loading arms. miliarization with LG Tankship. (D) Loading. (e) The course in firefighting re- (E) Ballasting and de-ballasting. quired for an endorsement as— (F) Discharging. (1) ‘‘Tankerman-PIC (Barge)’’ is Tank (G) Tank-gauging (open and closed). Barge: Firefighting; and (vii) Rules of the Coast Guard gov- (2) ‘‘Tankerman-PIC’’, ‘‘Tankerman- erning operations in general and pre- Assistant’’, and ‘‘Tankerman-Engi- vention of pollution in particular. neer’’ is a firefighting course that (viii) Prevention and control of pollu- meets the basic firefighting section of tion. the IMO’s Resolution A.437 (XI), (ix) Emergency procedures. ‘‘Training of Crews in Fire Fighting’’. (x) Safety precautions relative to: (f) No school may issue a certificate (A) Entering cargo tanks and pump unless the student has successfully room. completed an approved course with the (B) Dangers of contact with skin. appropriate curriculum outlined in (C) Inhalation of vapors. Table 13.121(f) or § 13.121(h). (D) Protective clothing and equip- (g) An organization with a course in ment. DL or LG or a course in tank-barge (E) Hot work. firefighting taught before March 31, (F) Precautions respecting electrical 1996, that substantially covered the hazards, including hazards of static material required by Table 13.121(f) for electricity. liquid cargoes, Table 13.121(g) for fire- (xi) General principles and proce- fighting, or § 13.121(h) for familiariza- dures of Crude-Oil Washing (COW) Sys- tion with tankships, may seek approval tems and inert-gas systems. 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

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employ classroom instruction, dem- (C) Connecting and disconnecting of onstrations, or simulated or actual op- cargo hoses and loading arms. erations. The curricula of courses for (D) Loading. Familiarization with LG Tankships (E) Ballasting and de-ballasting. must consist of the following: (F) Discharging. (i) General characteristics, compat- (xi) Disposal of boil-off. ibility, reaction, firefighting, and safe- (xii) Emergency procedures. ty precautions for cargoes defined as (xiii) Rules of the Coast Guard gov- LG in this part. erning operations in general and pre- (ii) Terminology of tankships car- vention of pollution in particular. rying LG. (xiv) Principles and procedures of (iii) Physical properties of LG. IGSs. (iv) Potential hazards and safety pre- (xv) Tank-cleaning procedures and cautions of LG: (A) Combustion characteristics. precautions. (B) Hot work. (xvi) Principles and procedures of (C) Results of release of LG to the at- vapor-control systems. mosphere. (xvii) Cargo-hazard-information sys- (D) Health hazards (skin contact, in- tems. halation, and ingestion). (i) A company that offers approved (E) Protective clothing and equip- DL training for its employees shall en- ment. sure discussion of the following topics (F) Tank-entry procedures and pre- (further discussed in STCW Regulation cautions. V, Section A-V/1, paragraphs 9 through (G) Thermal stresses. 21): (H) Precautions respecting electrical (1) Treaties and rules. hazards, including hazards of static (2) Design and equipment. electricity. (3) Cargo characteristics. (v) Cargo-containment systems. (4) Ship operations. (vi) General arrangement and con- (5) Repair and maintenance. struction of cargo tanks. (6) Emergency procedures. (vii) Cargo-piping systems and (j) A company that offers approved valves. LG training for its employees shall en- (viii) Instrumentation: sure discussion of the following topics (A) Cargo-level indicators. (further discussed in STCW Regulation (B) Gas-detecting systems. V, Section A-V/1, paragraphs 22 (C) Systems for monitoring tempera- through 34): tures of hulls and cargoes. (1) Treaties and rules. (D) Automatic shut-down systems. (2) Chemistry and physics. (ix) Heating systems for cofferdams and ballast tanks. (3) Health hazards. (x) General discussion of the fol- (4) Cargo containment. lowing operations connected with the (5) Pollution. loading and discharging of cargo: (6) Cargo-handling systems. (A) Pre-transfer inspection and con- (7) Ship operations. ference and Declaration of Inspection. (8) Safety practices and equipment. (B) Lining up of the cargo and vapor- (9) Emergency procedures. control systems and starting of liquid (10) General principles of cargo oper- flow. 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

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TABLE 13.121(f)—Continued

Course topics 1 2 3 4

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 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

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TABLE 13.121(f)—Continued

Course topics 1 2 3 4

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 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)

Course topics 1 2

Elements of fire (Fire triangle): Fuel ...... X X Source of ignition ...... X X Oxygen ...... X X Ignition sources (general): Chemical ...... X Biological ...... X Physical ...... X Ignition sources applicable to barges ...... X ......

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TABLE 13.121(g)—Continued

Course topics 1 2

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

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TABLE 13.121(g)—Continued

Course topics 1 2

Smothering ...... X Sizing up situation ...... X ...... Locating information on cargo ...... X ...... Extinguishing ...... X X Extinguishing with portable units ...... X X Setting reflash watch ...... X X Using additional personnel ...... X X Firefighting extinguishing-agents: Water (solid jet, spray, fog, and flooding) ...... X Foam (high, medium and low expansion) ...... X Carbon dioxide (CO2) ...... X X Halon ...... X Aqueous-film-forming foam (AFFF) ...... X Dry chemicals ...... X X Use of extinguisher on: Flammable and combustible liquids ...... X X Manifold-flange fire ...... X X Drip-pan fire ...... X X Pump fire ...... X X Drills for typical fires on barges ...... X ...... Field exercises: Extinguish small fires using portable extinguishers: Electrical ...... X X Manifold-flange ...... X X Drip-pan ...... X X Pump ...... X X Use self-contained breathing apparatus ...... X Extinguish extensive fires with water ...... X Extinguish fires with foam, or chemical ...... X Fight fire in smoke-filled enclosed space wearing SCBA ...... X Extinguish fire with water fog in an enclosed space with heavy smoke ...... X Extinguish oil fire with fog applicator and spray nozzles, dry-chemical, or foam applicators ...... X Effect a rescue in a smoke-filled space while wearing breathing apparatus ...... X (1) Course in tank-barge firefighting. (2) From the basic firefighting section of the IMO’s Resolution A.437 (XI), ‘‘Training of Crews in Fire Fighting’’.

[CGD 79–116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79–116, 62 FR 25130, 25131, 25133, May 8, 1997; USCG–2006–24371, 74 FR 11259, Mar. 16, 2009]

§ 13.123 Recency of service or experi- § 13.127 Service: General. ence for original tankerman en- (a) A service letter must be signed by dorsement. the owner, operator, master, or chief An applicant for an original engineer of the vessel and must speci- tankerman endorsement in subpart B, fy— C, D, or E of this part shall have ob- (1) The classification of cargo (DL, tained at least 25% of the qualifying LG, or, for a restricted endorsement, a service and, if the endorsement re- specific product) handled while the ap- quires transfers, at least two of the plicant accumulated the service; qualifying transfers, within five years (2) The dates, the number and kinds of the date of application. of transfers the applicant has participated in, and the number of transfers § 13.125 Physical and medical require- that involved commencement or com- ments. pletion; and Each applicant for an original (3) That the applicant has dem- tankerman endorsement shall meet the onstrated to the satisfaction of the physical requirements of § 10.215 of this signer that he or she is fully capable of chapter, excluding paragraph (d)(2) of supervising transfers of liquid cargo, that section. including [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as (i) Pre-transfer inspection; amended by USCG–2006–24371, 74 FR 11259, (ii) Pre-transfer conference and exe- Mar. 16, 2009] cution of the Declaration of Inspection;

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

§ 13.129 Quick-reference table for tankerman endorsements. Table 13.129 provides a guide to the requirements for various tankerman endorsements. Provisions in the reference sections are controlling.

TABLE 13.129

Certificate from fire- Category Minimum Physical Service Recency Proof of fighting Cargo English age required of service of service course course language 13.207

Tankerman- 18; 13.201(a) ... Yes; 10.215 13.203 13.123 13.205 13.207 13.209 13.201(g) PIC Subpart B.

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TABLE 13.129—Continued

Certificate from fire- Category Minimum Physical Service Recency Proof of fighting Cargo English age required of service of service course course language 13.207

Tankerman- 18; 13.301(a) ... Yes; 10.215 13.303 13.123 13.305 13.307 13.309 13.301(g) PIC (Barge) Subpart C. Tankerman- 18; 13.401(a) ... Yes; 10.215 13.403 13.123 13.405 13.407 13.409 13.401(f) Assistant Subpart D. Tankerman- 18; 13.501(a) ... Yes; 10.215 13.503 13.123 13.505 13.507 13.509 13.501(g) Engineer Subpart E. Restricted 18; 13.111(b) ... Yes; 10.215 13.111(b) 13.111(b) 13.111(b) 13.111(b) No 13.111(b) Tankerman- PIC. Restricted 18; 13.111(c) ... Yes; 10.215 13.111(c) 13.111(c) 13.111(c) 13.111(c) No 13.111(c) Tankerman- PIC (Barge). Restricted 18; 13.111(d)(1) Yes; 10.215 13.111(d)(4) No 13.111(d)(4) No No 13.111(d)(5) Tankerman- PIC (Barge), Facility.

[CGD 79–116, 60 FR 17142, Apr. 4, 1995, as amended by CGD 79–116, 62 FR 25133, May 8, 1997; USCG–2006–24371, 74 FR 11259, Mar. 16, 2009]

Subpart B—Requirements for § 13.203 Eligibility: Experience. ‘‘Tankerman-PIC’’ Endorsement Each applicant for a ‘‘Tankerman- PIC’’ endorsement for DL or LG shall § 13.201 Original application for meet the requirements of either para- ‘‘Tankerman-PIC’’ endorsement. graphs (a) and (b) or paragraph (c) of Each applicant for an original this section. ‘‘Tankerman-PIC’’ endorsement shall— (a) Each applicant shall present evi- (a) Be at least 18 years old; dence of— (1) At least 90 days of service as a (b) Apply on a Coast Guard form; deck officer or an engineering officer (c) Present evidence of passing a on one or more tankships or self-pro- physical and medical examination in pelled tank vessels certified to carry accordance with § 13.125; DL or LG appropriate to the endorse- (d) Present evidence of service on ment applied for; tankships according to § 10.215 of this (2) At least 90 days of rating or cadet chapter; service on deck or in the engine depart- (e) Meet the requirement of a course ment on one or more tankships or self- on firefighting in § 13.207; propelled tank vessels certified to (f) Meet the requirement of a course carry DL or LG appropriate to the en- in DL or LG appropriate for the endorsement applied for; or dorsement applied for in § 13.209; and (3) A combination of the service in (g) Be capable of speaking and under- paragraphs (a) (1) and (2) of this sec- standing, in English, all instructions tion. needed to commence, conduct, and (b) Each applicant shall present evi- complete a transfer of cargo, and be ca- dence of participation, under the supervision of a ‘‘Tankerman-PIC,’’ in at pable of reading the English found in least 10 transfers of liquid cargo in the Declaration of Inspection, vessel bulk of the classification desired on response plans, and Cargo Information tankships or self-propelled tank ves- Cards. sels, including at least— [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as (1) Five loadings and five discharges; amended by USCG–2006–24371, 74 FR 11259, (2) Two commencements of loading Mar. 16, 2009] and two completions of loading; and

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(3) Two commencements of discharge may not be more than 5 years earlier and two completions of discharge. than the date of application. (c) Each applicant already holding an [CGD 79–116, 62 FR 25134, May 8, 1997] MMD or MMC endorsed ‘‘Tankerman- PIC’’ for DL and seeking an endorse- Subpart C—Requirements for ment for LG, or the converse, shall— (1) Provide evidence of at least half ‘‘Tankerman-PIC (Barge)’’ En- the service required by paragraph (a) of dorsement this section; and § 13.301 Original application for (2) Comply with paragraph (b) of this ‘‘Tankerman-PIC (Barge)’’ endorse- section, except that he or she need pro- ment. vide evidence of only three loadings Each applicant for a ‘‘Tankerman- and three discharges along with evi- PIC (Barge)’’ endorsement shall— dence of compliance with paragraphs (a) Be at least 18 years old; (b)(2) and (3) of this section. (b) Apply on a Coast Guard form; [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as (c) Present evidence of passing a amended by CGD 79–116, 62 FR 25134, May 8, physical and medical examination ac- 1997; USCG–2006–24371, 74 FR 11259, Mar. 16, cording to § 10.215 of this chapter; 2009] (d) Present evidence of service on tank vessels in accordance with § 13.303; § 13.205 Proof of service for (e) Meet the requirement of a fire- ‘‘Tankerman-PIC’’ endorsement. fighting course in § 13.307; Service must be proved by a letter on (f) Meet the requirement of a course company letterhead from the owner, in DL or LG appropriate for the en- operator, or master of the vessel on dorsement applied for in § 13.309; and which the applicant obtained the serv- (g) Be capable of speaking, and un- ice. The letter must contain the infor- derstanding, in English, all instruc- mation described in § 13.127(a). tions needed to commence, conduct, and complete a transfer of cargo, and § 13.207 Eligibility: Firefighting be capable of reading the English found course. in the Declaration of Inspection, vessel response plans, and Cargo Information Each applicant for an original Cards. ‘‘Tankerman-PIC’’ endorsement shall present a certificate of successful com- [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as pletion from a course in shipboard fire- amended by USCG–2006–24371, 74 FR 11260, fighting, approved by the Commandant Mar. 16, 2009] and meeting the basic firefighting sec- § 13.303 Eligibility: Experience. tion of the IMO’s Resolution A.437 (XI), ‘‘Training of Crews in Fire Fighting’’, Each applicant for a ‘‘Tankerman- completed within five years of the date PIC (Barge)’’ endorsement for DL or of application for the endorsement, un- LG shall meet the requirements of ei- less he or she has previously submitted ther paragraphs (a) and (b) or para- such a certificate for a license, graph (c) of this section. tankerman endorsement, or officer en- (a) Each applicant shall present evi- dorsement on an MMC. dence of— (1) At least 60 days of service, wheth- [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as er by shore-based or by vessel-based amended by USCG–2006–24371, 74 FR 11260, personnel, on one or more tank vessels Mar. 16, 2009] certified to carry DL or LG appropriate to the endorsement applied for; or § 13.209 Eligibility: Cargo course. (2) At least 6 months of closely re- Each applicant for an original lated service directly involved with ‘‘Tankerman-PIC’’ endorsement shall tank barges appropriate to the endorse- present a certificate of completion ment applied for; and from a course in DL or LG appropriate (b) Participation, under the super- for tankships and for the endorsement vision of a ‘‘Tankerman-PIC’’ or applied for, and approved by the Com- ‘‘Tankerman-PIC (Barge),’’ in at least mandant. The date of the certificate 10 transfers of liquid cargo in bulk of

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the classification desired on any tank (b) A course in tank-barge fire- vessel, including at least— fighting, approved by the Commandant (1) Five loadings and five discharges; and meeting § 13.121, completed within (2) Two commencements of loading five years of the date of application for and two completions of loading; and the endorsement. (3) Two commencements of discharge [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as and two completions of discharge. amended by CGD 79–116, 62 FR 25134, May 8, (c) Each applicant already holding an 1997; USCG–2006–24371, 74 FR 11260, Mar. 16, MMD or MMC endorsed ‘‘Tankerman- 2009] PIC (Barge)’’ for DL and seeking an endorsement for LG, or the converse, § 13.309 Eligibility: Cargo course. shall— Each applicant for an original (1) Provide evidence of at least half ‘‘Tankerman-PIC (Barge)’’ endorse- the service required by paragraph (a) of ment shall present a certificate of com- this section; and pletion from a course in DL or LG ap- (2) Comply with paragraph (b) of this propriate for tank barges and for section, except that he or she need pro- Tankerman-PIC or Tankerman-PIC vide evidence of only three loadings (Barge), and approved by the Com- and three discharges along with evi- mandant. The date of the certificate dence of compliance with paragraphs may not be more than 5 years earlier (b)(2) and (3) of this section. than the date 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; USCG–2006–24371, 74 FR 11260, Mar. 16, 2009] Subpart D—Requirements for ‘‘Tankerman-Assistant’’ En- § 13.305 Proof of service for dorsement ‘‘Tankerman-PIC (Barge)’’ endorsement. § 13.401 Original application for Service must be proved by a letter on ‘‘Tankerman-Assistant’’ endorse- company letterhead from the owner or ment. operator of a terminal; the owner or Each applicant for a ‘‘Tankerman-As- operator of a tank barge; the owner, sistant’’ endorsement shall— operator, or master of a tank vessel; or (a) Be at least 18 years old; the employer of shore-based (b) Apply on a Coast Guard form; tankermen. The letter must contain (c) Present evidence of passing a the information required by § 13.127(a), physical and medical examination ac- excluding paragraph (a)(3)(vii). cording to § 10.215 of this chapter; [CGD 79–116, 62 FR 25134, May 8, 1997] (d) Meet the requirement of a firefighting course in § 13.407; § 13.307 Eligibility: Firefighting (e) (1) Meet the requirement of a course. course in DL or LG appropriate for the Each applicant for a ‘‘Tankerman- endorsement applied for in § 13.409; or PIC (Barge)’’ endorsement shall (2) Present evidence of service on present a certificate of successful com- tankships or self-propelled tank vessels pletion from— in accordance with § 13.403; and (a) A course in shipboard firefighting, (f) Be capable of speaking and under- approved by the Commandant and standing, in English, all instructions meeting the basic firefighting section needed to commence, conduct, and of the IMO’s Resolution A.437(XI), complete a transfer of cargo. ‘‘Training of Crews in Firefighting,’’ [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as completed 5 years or less before the amended by CGD 79–116, 62 FR 25134, May 8, date of application for the endorse- 1997; USCG–2006–24371, 74 FR 11260, Mar. 16, ment, unless he or she has previously 2009] submitted such a certificate for a license, tankerman endorsement on an § 13.403 Eligibility: Experience. MMD or MMC, or an officer endorse- (a) Each applicant for a ‘‘Tankerman- ment on an MMC; or Assistant’’ endorsement shall present—

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(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 or MMC endorsed ‘‘Tankerman- 1997] Assistant’’ for DL and seeking one for LG, or the converse, shall— § 13.407 Eligibility: Firefighting (1) Provide evidence of at least half course. the service required in paragraph (a)(1) Each applicant for a ‘‘Tankerman-As- of this section; or sistant’’ endorsement shall present a (2) Meet the requirement of a course certificate of successful completion in DL or LG appropriate for the en- from a course in shipboard firefighting, dorsement applied for as prescribed in approved by the Commandant and § 13.409. meeting the basic firefighting section of the IMO’s Resolution A.437 (XI), [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as ‘‘Training of Crews in Fire Fighting’’, amended by CGD 79–116, 62 FR 25134, May 8, completed within five years of the date 1997; USCG–2006–24371, 74 FR 11260, Mar. 16, of application for the endorsement, un- 2009] less he or she has previously submitted § 13.405 Proof of service for such a certificate from one of these ‘‘Tankerman-Assistant’’ endorse- courses to the Coast Guard for any ment. other endorsement or credential. (a) Service must be proved by a letter [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as on company letterhead from the owner, amended by USCG–2006–24371, 74 FR 11260, operator, or master of a tankship or Mar. 16, 2009] self-propelled tank vessel. The letter § 13.409 Eligibility: Cargo course. must specify— (1) The classification of cargo (DL or Each applicant for an original LG) carried while the applicant accu- ‘‘Tankerman-Assistant’’ endorsement mulated the service; who has not presented the required (2) The number of days of deck serv- service on tankships or self-propelled ice the applicant accumulated on the tank vessels shall present a certificate tankship or self-propelled tank vessel; of completion from a course for Famil- and iarization with DL or LG Tankships or (3) That the applicant has dem- from a tanker-familiarization course onstrated an understanding of cargo appropriate to the endorsement applied transfer and a sense of responsibility for, and approved by the Commandant. that, in the opinion of the signer, will The date of the certificate may not be allow the applicant to safely carry out more than 5 years earlier than the date duties respecting cargo transfer and of application. transfer equipment assigned by the PIC [CGD 79–116, 62 FR 25134, May 8, 1997] of the transfer without direct supervision by the PIC; or Subpart E—Requirements for (b) Service must be proved by— ‘‘Tankerman-Engineer’’ En- (1) Certificates of Discharge from dorsement tankships with the appropriate classification of cargo (DL, LG, or both); and § 13.501 Original application for (2) A letter on company letterhead ‘‘Tankerman-Engineer’’ endorse- from the owner, operator, or master of ment. one of the tankships or self-propelled Each applicant for a ‘‘Tankerman- tank vessel stating that he or she has Engineer’’ endorsement shall— demonstrated— (a) Be at least 18 years old;

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(b) Apply on a Coast Guard form; (1) The classification of cargo (DL, (c) Present evidence of passing a LG, or both) carried while the appli- physical and medical examination ac- cant accumulated the service; and cording to § 10.215 of this chapter; (2) The number of days of officer, rat- (d) Present evidence of service on ing, and cadet service in the engine de- tankships and self-propelled tank ves- partment on tankships or self-propelled sels in accordance with § 13.503; tank vessels; or (e) Meet the requirement of a fire- (b) Service must be proved by certificates 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 (g) Be capable of speaking and under- [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as standing, in English, all instructions amended by CGD 79–116, 62 FR 25135, May 8, 1997; USCG–2006–24371, 74 FR 11260, Mar. 16, needed to commence, conduct, and 2009] complete a transfer of cargo. [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as § 13.507 Eligibility: Firefighting course. amended by CGD 79–116, 62 FR 25134, May 8, 1997; USCG–2006–24371, 74 FR 11260, Mar. 16, Each applicant for a ‘‘Tankerman- 2009] Engineer’’ endorsement shall present a certificate of successful completion § 13.503 Eligibility: Experience. from a course in shipboard firefighting, (a) Each applicant for a ‘‘Tankerman- approved by the Commandant and Engineer’’ endorsement shall present meeting the basic firefighting section evidence of at least— of the IMO’s Resolution A.437 (XI), (1) 90 days of service as an engineer- ‘‘Training of Crews in Fire Fighting’’, ing officer on tankships or self-pro- completed within five years of the date of application for the endorsement, un- pelled tank vessels certified to carry less he or she has previously submitted DL or LG appropriate to the endorse- such a certificateto the Coast Guard ment applied for; for any other endorsement or creden- (2) 90 days of rating or cadet service tial. in the engine department on tankships or self-propelled tank vessels certified [CGD 79–116, 60 FR 17142, Apr. 4, 1995, as to carry DL or LG appropriate to the amended by USCG–2006–24371, 74 FR 11260, endorsement applied for; or Mar. 16, 2009] (3) A combination of the service in § 13.509 Eligibility: Cargo course. paragraphs (a) (1) and (2) of this sec- Each applicant for an original tion. ‘‘Tankerman-Engineer’’ endorsement (b) Each applicant already holding an shall present a certificate of comple- MMD or MMC endorsed as Tankerman- tion from a course in DL or LG, appro- Engineer for DL and seeking one for priate for tankships and the endorse- LG, or the converse, shall prove at ment applied for, approved by the Com- least half the service required by para- mandant. The date of the certificate graph (a) of this section. 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 25135, May 8, 1997] 1997; USCG–2006–24371, 74 FR 11260, Mar. 16, 2009] PART 14—SHIPMENT AND DIS- § 13.505 Proof of service for CHARGE OF MERCHANT MARI- ‘‘Tankerman-Engineer’’ endorse- NERS ment. (a) Service must be proved by a letter Subpart A—General on company letterhead from the owner, Sec. operator, master, or chief engineer of a 14.101 Purpose of part. tankship or self-propelled tank vessel. 14.103 Addresses of Coast Guard. The letter must specify— 14.105 Disclosure and privacy.

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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. B. 14.205 Production of credentials by merchant 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 foreign, intercoastal, or coastwise voy- Subpart C—Discharge of Merchant age (including a voyage on the Great Mariners Lakes) listed in paragraph (b) of this 14.301 Paying off of merchant mariner dur- section or with the engagement or re- ing or after voyage upon which shipping placement of a merchant mariner for articles are required. such a voyage, each master or indi- 14.303 Discharge of merchant mariner in vidual in charge of a vessel or seagoing foreign port. barge of the United States shall exe- 14.305 Entries in continuous discharge book. cute shipping articles however pre- 14.307 Entries on certificate of discharge. pared, manually or electronically. The 14.309 Entries in shipping articles at end of master or individual in charge and voyage. 14.311 Report of discharge of merchant mar- each mariner engaged or replaced shall iner. sign the articles. 14.313 Storage of shipping articles and of (b) Except as provided by § 14.203, ar- certificates of discharge. ticles are required upon each voyage by a vessel of the United States— Subpart D—Oceanographic Research (1) Of 100 gross tons or more, on a for- Vessels eign voyage, which is a voyage from a port in the United States to any for- 14.401 General. 14.403 Exemptions. eign port other than a port in— 14.405 Procedures. (i) Canada; 14.407 Reports. (ii) Mexico; or (iii) The West Indies. AUTHORITY: 5 U.S.C. 552; 46 U.S.C. Chapters (2) Of 75 gross tons or more on a voy- 103 and 104; 46 U.S.C. 70105. age between a port of the United States SOURCE: CGD 94–004, 61 FR 56637, Nov. 4, on the Atlantic Ocean and a port of the 1996, unless otherwise noted. United States on the Pacific Coast; or (3) Of 50 gross tons or more on a voy- Subpart A—General age between a port in one State and a port in another State other than an ad- § 14.101 Purpose of part. joining State. This part prescribes rules for the shipment and discharge of merchant § 14.203 Voyages upon which shipping articles are not required. mariners aboard certain vessels of the United States. Although they may be used for the voyage; shipping articles are not re- § 14.103 Addresses of Coast Guard. quired for any voyage by— (a) U.S. postal mail: U.S. Coast (a) A yacht; Guard National Maritime Center (b) A vessel engaged exclusively in fishing or whaling; (NMC–42), 100 Forbes Drive, Martins- (c) A vessel aboard which the mer- burg, West Virginia 25404. chant mariners are by custom or agree- (b) Electronic mail: ment entitled to participate in the [email protected]. profits or results of a cruise or voyage; (c) World wide web: http:// (d) A vessel employed exclusively in www.uscg.mil/nmc. trade on the navigable rivers of the [USCG–2008–0906, 73 FR 56508, Sept. 29, 2008] United States; or

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(e) A ferry, or a tug used in ferrying, Charge, Marine Inspection (OCMI), of if the vessel is employed exclusively in the Coast Guard. trade on the Great Lakes, other lakes, (c) Any company that electronically bays, sounds, bayous, canals, or har- prepares the articles may, upon request bors. submitted to either address in § 14.103, obtain a copy of software developed by § 14.205 Production of credentials by the Coast Guard to produce articles in merchant mariner signing shipping the proper format. Alternatively, a articles. company may develop its own software On engagement for a voyage upon or buy it off the shelf; but, in either of which shipping articles are required, these cases, it must secure approval of each merchant mariner shall present to the software from the National Mari- the master or individual in charge of time Center at either address in the vessel every document, certificate, § 14.103. credential, or license required by law [CGD 94–004, 61 FR 56637, Nov. 4, 1996, as for the service the mariner would per- amended by USCG–2006–24371, 74 FR 11260, form. Mar. 16, 2009] [CGD 94–004, 61 FR 56637, Nov. 4, 1996, as amended by USCG–2006–24371, 74 FR 11260, § 14.209 Preparation of shipping arti- Mar. 16, 2009] cles at beginning of voyage. Each master or individual in charge § 14.207 Content and form of shipping of a vessel when shipping articles are articles. required shall prepare an original and (a)(1) The content and form of ship- two copies of the articles. The original ping articles for each vessel of the and one copy must be signed by the United States of 100 gross tons or more master or individual in charge and by upon a foreign or intercoastal voyage each merchant mariner; but the second must conform to the present shipping copy must not be signed by any of articles, form CG-705A, which meets them. the requirements of 46 U.S.C. 10302, 10303, 10304, and 10305. The articles § 14.211 Posting of copy of shipping ar- must identify the nature of the voyage ticles. and specify at least the name, the li- On commencement of a foreign, cense, MMD, or MMC number, the ca- intercoastal, or coastwise voyage (in- pacity of service, the time due on board cluding a voyage on the Great Lakes), to begin work, and the name and ad- each master or individual in charge of dress of the next of kin of, and the a vessel when shipping articles are re- wages due to each merchant mariner, quired shall ensure that a legible copy either who was discharged or whose of the articles, unsigned by the mar- services were otherwise terminated iner, and without the next of kin infor- during the month. mation, is posted at a place accessible (2) The content and form of articles to the crew. for each such vessel upon a coastwise voyage (including a voyage on the § 14.213 Report of shipment of mer- Great Lakes) must also conform to the chant mariner. present shipping articles, form CG- (a) When a vessel of the United 705A, which meet the requirements of States sails upon a foreign, inter- 46 U.S.C. 10502. The articles must speci- coastal, or coastwise voyage (excluding fy at least the matter identified by a voyage on the Great Lakes), each paragraph (a)(1) of this section, except master or individual in charge shall, at that they must not specify the wages the commencement of the voyage, send due to the mariner. The wages section one copy of shipping articles, signed by of the form shall be left blank for the master and by each merchant mar- coastwise voyages. iner, to the owner, charterer, or man- (b) Any shipping company that aging operator. The master shall keep manually prepares the articles may, the original throughout the voyage and upon request, obtain Shipping Articles, enter in it all charges made to the crew Form CG-705A, from any Officer in during the voyage.

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(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, charterer, or managing operator. (a) Each master or individual in (3) The master of individual in charge charge of a vessel shall, for each mer- shall, at the close of the season, or chant mariner being discharged from once the vessel is withdrawn from serv- the vessel, prepare a certificate of dis- ice, whichever occurs later, send arti- charge and two copies; whether by cles, signed by the master and by each writing or typing them on the pre- mariner, to the owner, charterer, or scribed form with permanent ink or managing operator. generating them from computer in the (c) When a vessel of the United prescribed format; and shall sign them States sales exclusively on bays or with permanent ink. The prescribed sounds, each master or individual in format for a certificate of discharge is charge shall, at least every 60 days, the same as the present form CG-718A send articles, signed by the master and (Rev. 3–85). The left portion of the form by each mariner, to the owner, charter, has the mariner’s printed name, signa- or managing operator. ture, citizenship, MMD or MMC num- (d) Any person who fails to comply ber; the certification statement, date with the requirements of this section is and the master’s signature. The right subject to a civil penalty of $5,000. portion of the form contains the rate/ rank the mariner is serving on the voy- Subpart C—Discharge of age, date and place of shipment, date Merchant Mariners and place of discharge, name of the ves- § 14.301 Paying off of merchant mar- sel, name of the operating company, of- iner during or after voyage upon ficial number of the vessel, class of the which shipping articles are re- vessel, and the nature of the voyage. quired. (b) Each mariner being discharged Each master or individual in charge shall sign the certificate and both cop- of a vessel when shipping articles are ies with permanent ink. required shall complete and sign, and (c) When the mariner leaves the ves- each merchant mariner paid off during sel, the master or individual in charge or after such a voyage shall sign the shall give the original certificate to articles and otherwise comply with the the mariner. requirements of this subpart. When (d) Except as directed by § 14.313, the signed by the master or individual in shipping company shall keep both cop- charge and by the mariner, the articles ies of the certificate. constitute a release from the duties to (e) The company shall provide copies which they bound their parties. of certificates of discharge to the mar- § 14.303 Discharge of merchant mariner and the Coast Guard upon request. iner in foreign port. [CGD 94–004, 61 FR 56637, Nov. 4, 1996, as Upon the discharge of any mariner in amended by USCG-2002–13058, 67 FR 61278, a foreign port, the master shall make Sept. 30, 2002; USCG–2006–24371, 74 FR 11260, the required entries on the ship’s arti- Mar. 16, 2009]

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§ 14.309 Entries in shipping articles at years. After 3 years the shipping com- end of voyage. panies shall prepare the original ship- (a) At the end of each voyage upon ping articles in alphabetical order by which shipping articles are required, vessel name and send to the address in the master or individual in charge of § 14.103(a) for storage at the Federal the vessel shall— Records Center at Suitland, Maryland. (1) Complete the articles, conforming The company may dispose of the copies the pertinent entries in them to those of certificates of discharge. The Coast on the certificate of discharge and its Guard will dispose of copies of certifi- copies; cates submitted manually, once the (2) Note in the articles the execution data are entered into its sea-service of each Mutual Release; database and are validated. (3) Attach to the articles each Mu- (b) Each shipping company that goes tual Release and a copy of each certifi- out of business or merges with another cate; and company shall send all original articles (4) Pay to each merchant mariner all to the address in § 14.103(a) within 30 wages due. days of the transaction. (b) When paid off, each mariner shall (c) The shipping company must pro- sign the articles. vide copies of shipping articles and cer- § 14.311 Report of discharge of mer- tificates of discharge to the mariner chant mariner. and the Coast Guard upon request. (a) At the end of each foreign, intercoastal, and coastwise voyage by a ves- Subpart D—Oceanographic sel of the United States, or of each voy- Research Vessels age by such a vessel that sails exclusively on bays or sounds (or by such a § 14.401 General. vessel at the close of the season on the Unless otherwise provided by Title 46 Great Lakes, or once the vessel is with- United States Code, by any act amend- drawn from service there, whichever ing or supplementing that Title, or by occurs later), the shipping company this subpart, that Title as far as it gov- shall electronically transmit the data erns the employment of merchant from the certificates of discharge to an mariners remains, and any act amend- electronic address which the shipping ing or supplementing that title be- company may request from the Na- comes, applicable to oceanographic re- tional Maritime Center. (b) If the data is submitted manually, search vessels. the shipping companies shall provide § 14.403 Exemptions. the data for foreign and intercoastal voyages at the end of each voyage. For (a) Certain requirements of Title 46, coastwise voyages or of each voyage by United States Code do not apply to the such a vessel that sails exclusively on employment of merchant mariners on bays or sounds (or by such a vessel at oceanographic research vessels. These the close of the season of the Great requirements are those concerned with, Lakes, or once the vessel is withdrawn among other things, the shipment and from service there, whichever occurs discharge of mariners, their pay and al- later), the shipping companies shall lotments, and the adequacy of their submit a copy of each certificate of dis- clothing. 46 U.S.C. 2113(2) allows ex- charge to the address in § 14.103(a) at emptions of oceanographic research least once per calendar month. vessels from certain requirements of parts B, C, F, or G of subtitle II of 46 [CGD 94–004, 61 FR 56637, Nov. 4, 1996, as amended by USCG–2007–29018, 72 FR 53964, U.S.C., upon such terms as the Sec- Sept. 21, 2007] retary of the Department of Transpor- tation deems suitable. The exemptions § 14.313 Storage of shipping articles available under this subpart are sub- and of certificates of discharge. ject to the following terms: (a) Each shipping company shall keep (1) No use of any exemption relieves all original shipping articles and copies the owner, charterer, managing oper- of all certificates of discharge for 3 ator, master, or individual in charge of

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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, (7) 46 U.S.C. 10314 and 10505, Ad- discharge, or termination of service of vances; every merchant mariner in the crew. (8) 46 U.S.C. 10315, Allotments; At least every 6 months, the person (9) 46 U.S.C. 10316 and 10506, Trusts; maintaining this record shall transmit (10) 46 U.S.C. 10321 and 10508, General it to the Coast Guard, either manually, penalties; in the form of a copy of a certificate of (11) 46 U.S.C. 10502, Shipping articles discharge, or electronically. (for coastwise voyages); and (b) The owner, charterer, managing (12) 46 U.S.C. 10509, Penalty for fail- operator, master, or individual in ure to begin coastwise voyages. charge of the vessel shall keep original shipping articles and a copy of each § 14.405 Procedures. certificate ready for review by the (a) Upon written request for the Coast Guard or the concerned mariner owner, charterer, managing operator, upon request. After January 3, 1997, the master, or individual in charge of the Coast Guard will no longer keep either vessel to the OCMI of the Coast Guard original articles or copies of certifi- in whose zone the vessel is located, the cates; it will keep only electronic Commandant may grant an exemption records of employment. of any oceanographic research vessel (c) The master or individual in designated by 46 U.S.C. 2113(2) from any charge of the vessel shall ensure that requirement of any section listed by every entry made in the articles agrees § 14.403(b). with the corresponding entry made in a (b) The request must state— continuous discharge book, on a cer- (1) Any requirement of any section tificate, or in any other proof of sea listed in § 14.403(b) from which the ap- service furnished to the mariner. plicant wishes an exemption; and (d) Each oceanographic company (2) What business practices regard- shall keep all original articles and cop- ing, among other things, the shipment ies of all certificates for 3 years. After and discharge of merchant mariners, that each such company shall send all their pay and allotments, and the ade- articles to the address in § 14.103(a). quacy of their clothing would justify (e) Each oceanographic company that the exemption. goes out of business or merges with an- (c) The OCMI will forward the re- other company shall send all original quest, along with his or her rec- articles to the address in § 14.103(a) ommendation, to the Commandant, within 30 days of the transaction.

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PART 15—MANNING 15.825 Engineers. 15.830 Radio officers. REQUIREMENTS 15.835 Staff officers. 15.840 Able seamen. Subpart A—Purpose and Applicability 15.845 Lifeboatmen. 15.850 Lookouts. Sec. 15.855 Cabin watchmen and fire patrolmen. 15.101 Purpose of regulations. 15.860 Tankerman. 15.102 Paperwork approval. 15.103 General. Subpart H—Equivalents 15.105 Incorporation by reference. 15.901 Inspected vessels of less than 100 Subpart B [Reserved] gross tons. 15.905 Uninspected passenger vessels. Subpart C—Manning Requirements; All 15.910 Towing vessels. Vessels 15.915 Engineer Officer Endorsements. 15.401 Employment and service within re- Subpart I—Vessels in Foreign Trade strictions of credential. 15.405 Familiarity with vessel characteris- 15.1001 General. tics. 15.1010 California. 15.410 Credentialed individuals for assist- 15.1020 Hawaii. ance towing vessels. 15.1030 New York and New Jersey. 15.415 [Reserved] 15.1040 Massachusetts. 15.1050 North Carolina. Subpart D—Manning Requirements; Inspected Vessels Subpart J—Vessels Subject to Requirements of STCW 15.501 Certificate of inspection. 15.505 Changes in the certificate of inspec- 15.1101 General. tion. 15.1103 Employment and service the within 15.510 Right of appeal. restrictions of an STCW endorsement or 15.515 Compliance with certificate of inspec- of a certificate of training. tion. 15.1105 Familiarization and basic safety- 15.520 Mobile offshore drilling units. training. 15.525 Reference to other parts. 15.1107 Maintenance of merchant mariners’ 15.530 Large passenger vessels. records by owner or operator. 15.1109 Watches. Subpart E—Manning Requirements; 15.1111 Work hours and rest periods. Uninspected Vessels 15.1113 Vessel Security Officer (VSO). AUTHORITY: 46 U.S.C. 2101, 2103, 3306, 3703, 15.601 General. 8101, 8102, 8104, 8105, 8301, 8304, 8502, 8503, 8701, 15.605 Credentialed operators for 8702, 8901, 8902, 8903, 8904, 8905(b), 8906, 9102, uninspected passenger vessels. and 8103; and Department of Homeland Secu- 15.610 Master and mate (pilot) of towing rity Delegation No. 0170.1. vessels. SOURCE: CGD 81–059, 52 FR 38652, Oct. 16, Subpart F—Limitations and Qualifying 1987, unless otherwise noted. Factors 15.701 Officers Competency Certificates Subpart A—Purpose and Convention, 1936. Applicability 15.705 Watches. 15.710 Working hours. § 15.101 Purpose of regulations. 15.715 Automated vessels. The purpose of the regulations in this 15.720 Use of non-U.S. licensed and/or docu- part is to set forth uniform minimum mented personnel. requirements for the manning of ves- 15.725 Sailing short. 15.730 Language requirements. sels. In general, they implement, inter- pret, or apply the specific statutory Subpart G—Computations manning requirements in title 46, U.S.C., parts E & F, implement various 15.801 General. international conventions which affect 15.805 Master. 15.810 Mates. merchant marine personnel, and pro- 15.812 Pilots. vide the means for establishing the 15.815 Radar observers. complement necessary for safe oper- 15.820 Chief engineer. ation of vessels.

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§ 15.102 Paperwork approval. J, because the vessels are exempt from application of STCW: (a) This section lists the control (1) Uninspected passenger vessels as numbers assigned by the Office of Man- defined in 46 U.S.C. 2101(42). agement and Budget under the Paper (2) Fishing vessels as defined in 46 Reduction Act of 1980 (Pub. L. 96–511) U.S.C. 2101(11)(a). for the reporting and recordkeeping re- (3) Fishing vessels used as fish-tender quirements in this part. vessels as defined in 46 U.S.C. (b) The following control numbers 2101(11)(c). have been assigned to the sections indi- (4) Barges as defined in 46 U.S.C. cated: 2101(2), including non-self-propelled (1) OMB 1625–0079—46 CFR 15.1107. mobile offshore-drilling units. (2) [Reserved] (5) Vessels operating exclusively on [CGD 95–62, 62 FR 34538, June 26, 1997, as the Great Lakes. amended by USCG-2004–18884, 69 FR 58343, (f) Personnel serving on the following Sept. 30, 2004] vessels, and the owners and operators of these vessels, are in compliance with § 15.103 General. subpart J and are not subject to fur- (a) The regulations in this part apply ther obligation for the purposes of to all vessels which are subject to the STCW, on account of the vessels’ spe- manning requirements contained in the cial operating conditions as small ves- navigation and shipping laws of the sels engaged in domestic voyages: United States, including uninspected (1) Small passenger vessels subject to vessels (46 U.S.C. 7101–9308). subchapter T or K of title 46, CFR. (b) The navigation and shipping laws (2) Vessels of less than 200 GRT state that a vessel may not be operated (other than passenger vessels subject unless certain manning requirements to subchapter H of title 46 CFR). are met. In addition to establishing a (g) Personnel serving on vessels iden- minimum number of officers and rated tified in paragraphs (e)(5), (f)(1), and crew to be carried on board certain ves- (f)(2) of this section will be issued, sels, they establish minimum qualifica- without additional proof of qualifications concerning licenses and MMC en- tion, an appropriate STCW endorse- dorsements, citizenship, and conditions ment on their license or MMC when the of employment. It is the responsibility Officer in Charge, Marine Inspection of the owner, charterer, managing op- determines that such an endorsement erator, master, or person in charge or is necessary to enable the vessel to en- command of the vessel to ensure that gage in an international voyage. The appropriate personnel are carried to STCW endorsement will be expressly meet the requirements of the applica- limited to service on the vessel or the ble navigation and shipping laws and class of vessels and will not establish regulations. qualification for any other purpose. (c) Inspected vessels are issued a cer- [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as tificate of inspection which indicates amended by CGD 95–062, 62 FR 34538, June 26, the minimum complement of officers 1997; USCG-2004–18884, 69 FR 58343, Sept. 30, and crew (including lifeboatmen) con- 2004; USCG–2006–24371, 74 FR 11260, Mar. 16, sidered necessary for safe operation. 2009] The certificate of inspection com- plements the statutory requirements § 15.105 Incorporation by reference. but does not supersede them. (a) Certain material is incorporated (d) The regulations in subpart J of by reference into this part with the ap- this part apply to seagoing vessels sub- proval of the Director of the Federal ject to the International Convention on Register under 5 U.S.C. 552(a) and 1 Standards of Training, Certification CFR part 51. To enforce any edition and watchkeeping for Seafarers as other than that specified in this sec- amended (STCW). tion, the Coast Guard must publish no- (e) Neither any person serving on any tice of change in the FEDERAL REG- of the following vessels, nor any owner ISTER and the material must be avail- or operator of any of these vessels, able to the public. All approved mate- need meet the requirements of subpart rial is available for inspection at the

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National Archives and Records Admin- by the Transportation Security Admin- istration (NARA). For information on istration under 49 CFR part 1572. the availability of this material at [USCG–2006–24371, 74 FR 11260, Mar. 16, 2009] NARA, call 202–741–6030, or go to http:// www.archives.gov/federallregister/ § 15.405 Familiarity with vessel char- codeloflfederallregulations/ acteristics. ibrllocations.html. Also, it is available Each credentialed individual must for inspection at the Coast Guard, Of- become familiar with the relevant fice of Operating and Environmental characteristics of the vessel on which Standards (CG–522), 2100 2nd St. SW., engaged prior to assuming his or her Stop 7126, Washington, DC 20593–7126, duties. As appropriate, these include 202–372–1405, and is available from the but are not limited to: general arrange- sources indicated below. ment of the vessel; maneuvering char- (b) International Maritime Organiza- acteristics; proper operation of the in- tion (IMO), 4 Albert Embankment, stalled navigation equipment; fire- London, SE1 7SR United Kingdom, fighting and lifesaving equipment; sta- telephone +44(0)20 7735 7611, http:// bility and loading characteristics; www.imo.org. emergency duties; and main propulsion (1) STCW—The International Conven- and auxiliary machinery, including tion on Standards of Training, Certifi- steering gear systems and controls. cation and Watchkeeping for Seafarers, 1978, as amended 1995, (STCW Conven- [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as tion), incorporation by reference ap- amended by USCG–2006–24371, 74 FR 11260, proved for §§ 15.103; 15.1101; 15.1103; Mar. 16, 2009] 15.1105; 15.1109. § 15.410 Credentialed individuals for (2) Seafarer’s Training, Certification assistance towing vessels. and Watchkeeping Code, as amended 1995 (STCW Code), incorporation by ref- Every assistance towing vessel must erence approved for §§ 15.1101; 15.1109. be under the direction and control of an individual holding a license or MMC [USCG–2009–0702, 74 FR 49225, Sept. 25, 2009] authorizing them to engage in assistance towing under the provisions of 46 Subpart B [Reserved] CFR 10.482. [CGD 87–017, 53 FR 18562, May 24, 1988, as Subpart C—Manning amended by USCG–2006–24371, 74 FR 11260, Requirements; All Vessels Mar. 16, 2009] § 15.401 Employment and service with- § 15.415 [Reserved] in restrictions of credential. A person may not employ or engage Subpart D—Manning an individual, and an individual may Requirements; Inspected Vessels not serve, in a position in which an individual is required by law or regula- § 15.501 Certificate of inspection. tion to hold a license, certificate of (a) The certificate of inspection (COI) registry, merchant mariner’s docu- issued by an Officer in Charge, Marine ment, transportation worker identi- Inspection (OCMI), to a vessel required fication credential, and/or merchant to be inspected under 46 U.S.C. 3301 mariner credential, unless the indi- specifies the minimum complement of vidual holds all credentials required, as officers and crew necessary for the safe appropriate, authorizing service in the operation of the vessel. capacity in which the individual is en- (b) The manning requirements for a gaged or employed and the individual particular vessel are determined by the serves within any restrictions placed OCMI after consideration of the appli- on the credential. Beginning April 15, cable laws, the regulations in this part, 2009, all mariners holding an active li- and all other factors involved, such as: cense, certificate of registry, MMD, or Emergency situations, size and type of MMC issued by the Coast Guard must vessel, installed equipment, proposed also hold a valid transportation worker routes of operation including frequency identification credential (TWIC) issued of port calls, cargo carried, type of

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service in which employed, degree of (b) The OCMI determines the min- automation, use of labor saving de- imum number of officers and crew (in- vices, and the organizational structure cluding lifeboatmen) required for the of the vessel. safe operation of inspected MODUs. In addition to other factors listed in this [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as amended at CGD 81–059, 54 FR 149, Jan. 4, part, the specialized nature of the 1989] MODU is considered in determining the specific manning levels. § 15.505 Changes in the certificate of (c) A license or officer endorsement inspection. on an MMC as offshore installation All requests for changes in manning manager (OIM), barge supervisor (BS), as indicated on the certificate of in- or ballast control operator (BCO) au- spection must be made to the OCMI thorizes service only on MODUs. A li- who last issued the certificate of in- cense or endorsement as OIM is re- spection, unless the request is made in stricted to the MODU type and mode of conjunction with an inspection for cer- operation specified on the credential. tification, in which case the request (d) A self-propelled MODU other than should be addressed to the OCMI con- a drillship must be under the command ducting the inspection. of an individual who holds a license as master endorsed as OIM or an MMC § 15.510 Right of appeal. with master and OIM officer endorse- Any person directly affected by a de- ments. cision or action taken under this part, (e) A drillship must be under the by or on behalf of the Coast Guard, command of an individual who holds a may appeal therefrom in accordance license or MMC officer endorsement as with subpart 1.03 of this chapter. master. When a drillship is on location, the individual in command must hold a [CGD 88–033, 54 FR 50380, Dec. 6, 1989] license as master endorsed as OIM or an MMC with master and OIM officer § 15.515 Compliance with certificate of endorsements. inspection. (f) A non-self-propelled MODU must (a) Except as provided by § 15.725, no be under the command of an individual vessel may be operated unless it has in who holds a license or MMC officer or its service and on board, the com- endorsement as OIM. plement required by the certificate of (g) An individual serving as mate on inspection. a self-propelled surface unit other than (b) Any vessel subject to inspection a drillship must hold an appropriate li- under 46 U.S.C. 3301 must, while on a cense or MMC officer endorsement as voyage, be under the direction and con- mate and an endorsement as BS or trol of an individual who holds an ap- BCO. An individual holding a license or propriate license or appropriate officer MMC officer endorsement as barge su- endorsement on their MMC. For the pervisor or ballast control operator purposes of this paragraph: may be substituted for a required mate (1) A voyage is the period of time when a self-propelled surface unit other necessary to transit from the port of than a drillship is on location or under departure to the final port of arrival. tow, under certain circumstances as (2) A port does not include an Outer determined by the cognizant OCMI. Continental Shelf (OCS) facility as de- (h) An individual holding a license or fined in 33 CFR part 140. MMC officer endorsement as barge su- [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as pervisor is required on a non-self-pro- amended at USCG-2004–18884, 69 FR 58343, pelled surface unit other than a Sept. 30, 2004; USCG–2006–24371, 74 FR 11260, drillship. Mar. 16, 2009] (i) An individual holding a license or MMC officer endorsement as barge su- § 15.520 Mobile offshore drilling units. pervisor may serve as ballast control (a) The requirements in this section operator. for mobile offshore drilling units (j) The OCMI issuing the MODU’s cer- (MODUs) supplement other require- tificate of inspection may authorize ments in this part. the substitution of chief or assistant

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engineer (MODU) for chief or assistant (4) May perform emergency-related engineer, respectively, on self-pro- duties only if, under § 12.40–13(b)(5) of pelled or propulsion assisted surface this subchapter: units, except drillships. The OCMI may (i) The emergency-related duties do also authorize the substitution of as- not require any other rating or en- sistant engineer (MODU) for assistant dorsement, except lifeboatman as spec- engineer on drillships. ified in § 12.40–13(a)(3) of this sub- (k) Requirements in this part con- chapter; cerning radar observers do not apply to (ii) The non-resident alien has com- non-self-propelled MODUs. pleted familiarization and basic safety (l) A surface mobile offshore drilling training, as required in § 15.1105 of this unit underway or on location, when part; afloat and equipped with a ballast con- (iii) That if the non-resident alien trol room, must have that ballast control room manned by an individual serves as a lifeboatman, he or she must holding a license or MMC officer en- have the necessary lifeboatman’s endorsement authorizing service as bal- dorsement; and last control operator. (iv) The non-resident alien has completed the training for crewmembers on [CGD 81–059a, 55 FR 14805, Apr. 18, 1990, as passenger ships performing duties in- amended by USCG–2006–24371, 74 FR 11260, Mar. 16, 2009] volving safety or care for passengers, as required in subpart 12.35 of this sub- § 15.525 Reference to other parts. chapter. Parts 31 and 35 of this chapter con- (c) No more than 25 percent of the tain additional manning requirements total number of ratings on a U.S. flag applicable to tank vessels. large passenger vessel may be aliens, whether admitted to the United States § 15.530 Large passenger vessels. for permanent residence or authorized (a) The owner or operator of a U.S. for employment in the United States as flag large passenger vessel must ensure non-resident aliens. that any non-resident alien holding a (d) The owner or operator of a U.S. Coast Guard-issued merchant mariner flag large passenger vessel employing credential described in subpart 12.40 of non-resident aliens holding Coast this subchapter is provided the rights, Guard-issued merchant mariner cre- protections, and benefits of the Inter- dentials described in subpart 12.40 of national Labor Organization’s Mer- this subchapter must: chant Shipping (Minimum Standards) (1) Retain custody of all non-resident Convention of 1976. alien merchant mariner credentials for (b) On U.S. flag large passenger ves- 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 (2) Return all non-resident alien mer- credential described in subpart 12.40 of chant mariner credentials to the Coast this subchapter: Guard upon termination of employ- (1) May only be employed in the ment, under § 12.40–13(b)(3) of this sub- steward’s department on the vessel(s) chapter. specified on the merchant mariner cre- (e) The owner or operator of a U.S. dential or accompanying Coast Guard flag large passenger vessel employing letter under § 12.40–13(b)(1) of this sub- non-resident aliens holding Coast chapter; Guard-issued merchant mariner cre- (2) May only be employed for an aggregate period of 36 months actual dentials described in subpart 12.40 of service on all authorized U.S. flag large this subchapter is subject to the civil passenger vessels combined, under penalty provisions specified in 46 § 12.40–13(c) of this subchapter; U.S.C. 8103(f), for any violation of this (3) May not perform watchstanding, section. engine room duty watch, or vessel [USCG–2007–27761, 74 FR 47736, Sept. 17, 2009] navigation functions, under § 12.40– 13(b)(4) of this subchapter; and

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Subpart E—Manning Require- equipment so engaged as its place of ments; Uninspected Vessels departure or ultimate destination. (b) Any towing vessel operating in § 15.601 General. the pilotage waters of the Lower Mis- The following sections of subparts F, sissippi River must be under the con- G, and H of this part contain provisions trol of an officer meeting the require- concerning manning of uninspected ments of paragraph (a) of this section vessels; §§ 15.701, 15.705, 15.710, 15.720, who holds either a first-class pilot’s en- 15.730, 15.801, 15.805, 15.810, 15.820, 15.825, dorsement for that route, MMC officer 15.840, 15.850, 15.855, 15.905, 15.910, and endorsement for the Western Rivers, or 15.915. meets the requirements of paragraph (a) and meets the requirements of ei- § 15.605 Credentialed operators for ther paragraphs (b)(1) or (b)(2) of this uninspected passenger vessels. section as applicable: Each uninspected passenger vessel (1) To operate a towing vessel with must be under the direction and con- tank barges, or a tow of barges car- trol of an individual credentialed by rying hazardous materials regulated the Coast Guard as follows: under part N or O of this subchapter, (a) Every self-propelled, uninspected an officer in charge of the towing ves- vessel as defined by 46 U.S.C. 2101(42)(B) sel must have completed 12 round trips must be under the direction and con- over this route as an observer, with at trol of an individual holding a license least 3 of those trips during hours of or MMC endorsed as operator of darkness, and at least 1 round trip of uninspected passenger vessels. the 12 within the last 5 years. (b) Every uninspected passenger ves- (2) To operate a towing vessel with- sel of 100 gross tons or more, as defined out barges, or a tow of uninspected by 46 U.S.C. 2101(42)(A), must be under barges, an officer in charge of the tow- the direction and control of a credentialed master, pilot, or mate as ing vessel must have completed at appropriate. least four round trips over this route as an observer, with at least one of those [USCG-1999–5040, 67 FR 34767, May 15, 2002, as trips during hours of darkness, and at amended by USCG–2006–24371, 74 FR 11261, least one round trip of the 12 within Mar. 16, 2009] the last 5 years. § 15.610 Master and mate (pilot) of [USCG–1999–6224, 66 FR 20944, Apr. 26, 2001, as towing vessels. amended at 68 FR 35818, June 17, 2003; USCG– (a) Except as provided in this para- 2008–0906, 73 FR 56508, Sept. 29, 2008; USCG– graph, every towing vessel of at least 8 2006–24371, 74 FR 11261, Mar. 16, 2009] meters (at least 26 feet) in length, measured from end to end over the Subpart F—Limitations and deck (excluding sheer), must be under Qualifying Factors the direction and control of a person holding a license or MMC officer en- § 15.701 Officers Competency Certifi- dorsement as master or mate (pilot) of cates Convention, 1936. towing vessels or as master or mate of (a) This section implements the Offi- vessels of greater than 200 gross reg- cers Competency Certificates Conven- ister tons holding either an endorse- tion, 1936, and applies to each vessel ment on his or her license or MMC for documented under the laws of the towing vessels or a completed Towing United States navigating seaward of Officer’s Assessment Record (TOAR) the Boundary Lines in part 7 of this signed by a designated examiner indicating that the officer is proficient in chapter, except: the operation of towing vessels. This (1) A public vessel; does not apply to any vessel engaged in (2) A wooden vessel of primitive assistance towing, or to any towing build, such as a dhow or junk; vessel of less than 200 gross register (3) A barge; and, tons engaged in exploiting offshore (4) A vessel of less than 200 gross minerals or oil if the vessel has sites or tons.

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(b) The master, mates and engineers duty successively to perform ordinary on any vessel to which this section ap- work incident to the operation and man- plies must hold a license or MMC offi- agement of the vessel. The Coast Guard cer endorsement to serve in that capac- interprets sailors to mean those mem- ity issued by the Coast Guard under bers of the deck department other than parts 10 and 11 of this chapter. officers, whose duties involve the me- (c) A vessel to which this section ap- chanics of conducting the ship on its plies, or a foreign flag vessel to which voyage, such as helmsman the Convention applies, may be de- (wheelsman), lookout, etc., and which tained by a designated official until are necessary to the maintenance of a that official is satisfied that the vessel continuous watch. Sailors is not inter- is in compliance with the Convention. preted to include able seamen and ordi- Designated official includes Coast Guard nary seamen not performing these du- officers, Coast Guard petty officers and ties. officers or employees of the Customs (c) Subject to exceptions, 46 U.S.C. and Border Protection Service. 8104(g) permits the officers and crew (d) Whenever a vessel is detained, the members (except the coal passers, fire- owner, charterer, managing operator, men, oilers, and watertenders) to be di- agent, master, or individual in charge vided into two watches when at sea and may appeal the detention within five engaged on a voyage of less than 600 days under the provisions of § 2.01–70 of miles on the following categories of this chapter. vessels: [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as (1) Towing vessel; amended by USCG–2006–24371, 74 FR 11261, (2) Offshore supply vessel; or, Mar. 16, 2009] (3) Barge. (d) Subject to exceptions, 46 U.S.C. § 15.705 Watches. 8104(h) permits a master or mate (pilot) (a) Title 46 U.S.C. 8104 is the law ap- operating a towing vessel that is at plicable to the establishment of watch- least 26 feet in length measured from es aboard certain U.S. vessels. The es- end to end over the deck (excluding tablishment of adequate watches is the sheer) to work not more than 12 hours responsibility of the vessel’s master. in a consecutive 24 hour period except The Coast Guard interprets the term in an emergency. The Coast Guard in- watch to be the direct performance of terprets this, in conjunction with other vessel operations, whether deck or en- provisions of the law, to permit mas- gine, where such operations would rou- ters or mates (pilots) serving as opera- tinely be controlled and performed in a tors of towing vessels that are not sub- scheduled and fixed rotation. The per- ject to the provisions of the Officers’ formance of maintenance or work nec- Competency Certificates Convention, essary to the vessel’s safe operation on 1936, to be divided into two watches re- a daily basis does not in itself con- gardless of the length of the voyage. stitute the establishment of a watch. (e) Fish processing vessels are subject The minimum safe manning levels to various provisions of 46 U.S.C. 8104 specified in a vessel’s certificate of in- concerning watches. spection take into consideration rou- (1) For fish processing vessels that tine maintenance requirements and entered into service before January 1, ability of the crew to perform all oper- 1988, the following watch requirements ational evolutions, including emer- apply to the officers and deck crew: gencies, as well as those functions (i) If over 5000 gross tons—three which may be assigned to persons in watches. watches. (ii) If more than 1600 gross tons and (b) Subject to exceptions, 46 U.S.C. not more than 5000 gross tons—two 8104 requires that when a master of a watches. seagoing vessel of more than 100 gross (iii) If not more than 1600 gross tons establishes watches for the offi- tons—no watch division specified. cers, sailors, coal passers, firemen, oil- (2) For fish Processing vessels which ers and watertenders, the personnel enter into service after December 31, shall be divided, when at sea, into at 1987, the following watch requirements least three watches and shall be kept on apply to the officers and deck crew:

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(i) If over 5000 gross tons—three (d) Performing fire, lifeboat, or other watches. drills in port or at sea. (ii) If not more than 5000 gross tons [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as and having more than 16 individuals on amended by USCG-2004–18884, 69 FR 58343, board primarily employed in the prepa- Sept. 30, 2004; USCG–2006–24371, 74 FR 11261, ration of fish or fish products—two Mar. 16, 2009] watches. (iii) If not more than 5000 gross tons § 15.715 Automated vessels. and having not more than 16 individ- (a) Coast Guard acceptance of auto- uals on board primarily employed in mated systems to replace specific per- the preparation of fish or fish prod- sonnel or to reduce overall crew re- ucts—no watch division specified. quirements is predicated upon the ca- (f) Properly manned uninspected pas- pabilities of the system, the system’s senger vessels of at least 100 gross demonstrated and continuing reli- tons— ability, and a planned maintenance (1) Which are underway for no more program that ensures continued safe than 12 hours in any 24-hour period, operation of the vessel. and which are adequately moored, an- (b) The OCMI considers the capabili- chored, or otherwise secured in a har- ties of an automated system in estab- bor of safe refuge for the remainder of lishing initial manning levels; how- that 24-hour period may operate with ever, until the system is proven reli- one navigational watch; able, a manning level adequate to oper- (2) Which are underway more than 12 ate in a continuously attended mode hours in any 24-hour period must pro- will be specified on a vessel’s COI. It vide a minimum of a two-watch sys- remains the responsibility of the ves- tem; sel’s master to determine when a con- (3) In no case may the crew of any tinuous watch is necessary. watch work more than 12 hours in any § 15.720 Use of non-U.S. licensed and/ 24-hour period, except in an emergency. or documented personnel. [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as (a) United States vessels which need amended by USCG-1999–6224, 64 FR 63235, to replace one or more persons while on Nov. 19, 1999; USCG-1999–5040, May 15, 2002; a foreign voyage and outside the juris- USCG-2004–18884, 69 FR 58343, Sept. 30, 2004; diction of the United States, in order USCG–2006–24371, 74 FR 11261, Mar. 16, 2009] to meet manning requirements, may § 15.710 Working hours. use non-U.S. credentialed personnel without a TWIC, except for the posi- In addition to prescribing watch re- tions of master and radio officer, until quirements, 46 U.S.C. 8104 sets limita- the vessel returns to a port at which in tions on the working hours of the most expeditious manner replace- credentialed officers and crew mem- ments who are citizens of the United bers, prescribes certain rest periods, States can be obtained. and prohibits unnecessary work on (b) The citizenship requirements of 46 Sundays and certain holidays when the U.S.C. 8103(a) and (b) and the TWIC re- vessel is in a safe harbor. It is the requirement of 46 U.S.C. 70105 are waived, sponsibility of the master or person in except for the requirement that the charge to ensure that these limitations master must be a U.S. citizen holding a are met. However, under 46 U.S.C. TWIC, with respect to the following 8104(f), the master or other vessels: credentialed officer can require any (1) A U.S.-documented offshore sup- part of the crew to work when, in his or ply vessel (OSV) (as that term is de- her judgment, they are needed for: fined in 46 U.S.C. 2101(19)) that is oper- (a) Maneuvering, shifting berth, ating from a foreign port; and mooring, unmooring; (2) A U.S.-documented mobile off- (b) Performing work necessary for shore drilling unit (MODU) (as that the safety of the vessel, or the vessel’s term is defined in 46 U.S.C. 2101(15a)) passengers, crew, or cargo; that is operating beyond the water (c) Saving of life on board another above the U.S. Outer Continental vessel in jeopardy; or, Shelf.

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(c) The waiver provided in paragraph (2) A manned barge (except a sea- (b) of this section does not apply to any going barge or a barge to which chap- vessel operating in water above the ter 37 of 46 U.S.C. applies); U.S. Outer Continental Shelf (as that (3) A fishing vessel, fish tender ves- term is defined in 43 U.S.C. 1331(a)). sel, whaling vessel, or yacht; (d) The master shall assure that any (4) A sailing school vessel with re- replacements of crewmembers by non- spect to sailing school instructors and U.S. citizens made in accordance with sailing school students; this section will be with an individual (5) An oceanographic research vessel who holds a credential which is equiva- with respect to scientific personnel; lent in experience, training, and other (6) A fish processing vessel which en- qualifications to the U.S. credential re- tered into service before January 1, quired for the position and that the 1988, and is not more than 1600 gross person possesses or will possess the tons or which enters into service after training required to communicate to December 31, 1987, and has not more the extent required by § 15.730 of this than 16 individuals on board primarily part. employed in the preparation of fish or [CGD 89–061, 55 FR 1212, Jan. 12, 1990, as fish products; and, amended by USCG–2006–24371, 74 FR 11261, (7) All fish processing vessels with re- Mar. 16, 2009] spect to those personnel primarily employed in the preparation of fish or fish § 15.725 Sailing short. products or in a support position not Whenever a vessel is deprived of the related to navigation. service of a member of its complement, (b) 46 U.S.C. 8702(b) requires that on and the master or person in charge is board vessels departing U.S. ports 75 unable to find appropriate credentialed percent of the crew in each department on personnel to man the vessel, the mas- board is able to understand any order spo- ter or person in charge may proceed on ken by the officers. the voyage, having determined the ves- (c) The words able to understand any sel is sufficiently manned for the voy- order spoken by the officers relates to age. A report of sailing short must be any order to a member of the crew filed in writing with the Officer in when directing the performance of that Charge, Marine Inspection (OCMI) hav- person’s duties and orders relating to ing cognizance for inspection in the emergency situations such as used for area in which the vessel is operating, response to a fire or in using lifesaving or the OCMI within whose jurisdiction equipment. It is not expected that a the voyage is completed. The report member of the deck department under- must explain the cause of each defi- stand terminology normally used only ciency and be submitted within twelve in the engineroom or vice versa. hours after arrival at the next port. (d) Whenever information is pre- The actions of the master or person in sented to the Coast Guard that a vessel charge in such instances are subject to fails to comply with the specified lan- review and it must be shown the va- guage requirements the Coast Guard cancy was not due to the consent, fault investigates the allegation to deter- or collusion of the master or other in- mine its validity. In determining if an dividuals specified in 46 U.S.C. 8101(e). allegation is factual, the Coast Guard A civil penalty may be assessed against may require a demonstration by the of- the master or person in charge for fail- ficers and crew that appropriate orders ure to submit the report. are understood. The demonstration will [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as require that orders be spoken to the in- amended by USCG–2006–24371, 74 FR 11262, dividual members of the crew by the of- Mar. 16, 2009] ficers in the language ordinarily and customarily used by the officers. The § 15.730 Language requirements. orders must be spoken directly by the (a) The provisions of 46 U.S.C. 8702 re- officer to the crew member and not lating to language apply generally to through an interpreter. Signs, ges- vessels of at least 100 gross tons except: tures, or signals may not be used in the (1) Vessels operating on rivers and test. The Coast Guard representative lakes (except the Great Lakes); will specify the orders to be given and

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will include not only daily routine but (b) Every vessel documented under orders involving emergencies, either of the laws of the United States, other a departmental or of a general nature. than a vessel with only a recreational This test will be conducted, if possible, endorsement, must be under the com- at a time reasonably in advance of the mand of a U.S. citizen. vessel’s departure, to avoid delays. [CGD 81–059, 52 FR 38623, Oct. 16, 1987, as [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as amended by CGD 81–059, 54 FR 149, Jan. 4, amended by USCG–2006–24371, 74 FR 11262, 1989; USCG-1999–6216, 64 FR 53223, Oct. 1, 1999; Mar. 16, 2009] USCG-1999–6224, 64 FR 63235, Nov. 19, 1999; 66 FR 20944, Apr. 26, 2001; USCG-1999–5040, 67 FR 34767, May 15, 2002; USCG–2006–24371, 74 FR Subpart G—Computations 11261, Mar. 16, 2009]

§ 15.801 General. § 15.810 Mates. The OCMI will determine the specific (a) The OCMI determines the min- manning levels for vessels required to imum number of mates required for the have certificates of inspection by part safe operation of inspected vessels. B of subtitle II of title 46 U.S.C. The (b) The minimum number of mariners masters or individuals in command of holding a license or MMC officer en- all vessels, whether required to be in- dorsement as mate required to be car- spected under 46 U.S.C. 3301 or not, are ried on every inspected, self-propelled, responsible for properly manning ves- seagoing and Great Lakes vessel, and sels in accordance with the applicable every inspected, seagoing, passenger laws, regulations, and international vessel must not be less than the fol- conventions. lowing, except when reductions are au- [CGD 81–059, 54 FR 149, Jan. 4, 1989] thorized under paragraph (e) of this section: § 15.805 Master. (1) Vessels of 1000 gross tons or more (a) There must be an individual hold- (except MODUs)—three mates (except ing an appropriate license as or a valid when on a voyage of less than 400 miles MMC with endorsement as master mas- from port of departure to port of final ter in command of each of the fol- destination—two mates). lowing vessels: (2) MODUs of 1000 gross tons or more: (1) Every self-propelled, seagoing doc- (i) Three mates when on a voyage of umented vessel of 200 gross tons and more than 72 hours. over. (ii) Two mates when on a voyage of (2) Every self-propelled inspected ves- more than 16 but not more than 72 sel. hours. (3) Every inspected passenger vessel. (iii) One mate when on a voyage of (4) Every inspected small passenger not more than 16 hours. vessel. (3) Vessels of 100 or more gross tons (5) Every towing vessel of at least 8 but less than 1000 gross tons—two meters (at least 26 feet) or more in mates (except vessels of at least 100 but length must be under the command of less than 200 gross tons on voyages a master of towing vessels, or a mar- which do not exceed 24 hours in dura- iner holding a license or MMC endorsed tion—one mate). as master of inspected, self-propelled (4) All offshore supply vessels of 100 vessels greater than 200 gross register gross tons or more—two mates (except tons (GRT) holding either— when on a voyage of less than 600 (i) A completed Towing Officer’s As- miles—one mate). A voyage includes sessment Record (TOAR), bearing the the accrued distance from port of de- signature of a Designated Examiner parture to port of arrival and does not and stating that the Examiner found include stops at offshore points. the candidate proficient; or (5) All vessels of less than 100 gross (ii) A license or MMC with officer en- tons—one mate (except vessels on voy- dorsement for towing vessels. ages not exceeding 12 hours in duration (6) Every uninspected passenger ves- may, if the OCMI determines it to be sel of at least 100 gross tons. safe, be operated without mates).

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(c) An individual in charge of the (2) Vessels that are not authorized by navigation or maneuvering of a self- their Certificate of Inspection to pro- propelled, uninspected, documented, ceed beyond the Boundary Line estab- seagoing vessel of 200 gross tons or over lished in part 7 of this Chapter which must hold an appropriate license or are in excess of 1,600 gross tons, pro- MMC authorizing service as mate. pelled by machinery, and subject to in- (d) Each person in charge of the navi- spection under 46 U.S.C. chapter 33; and gation or maneuvering of a towing ves- (3) Vessels operating on the Great sel of at least 8 meters (at least 26 feet) Lakes that are propelled by machinery in length must satisfy the require- and subject to inspection under 46 ments of § 15.805(a)(5) of this part or U.S.C. chapter 33, or are tank barges hold a license or MMC authorizing subject to inspection under 46 U.S.C. service as either— chapter 37. (1) Mate (pilot) of towing vessels; or (b) The following individuals may (2) Mate of inspected self-propelled vessels greater than 200 GRT within serve as a pilot for a vessel subject to any other restrictions on the officer’s paragraph (a) of this section, when un- license or MMC, holding either— derway on the navigable waters of the (i) A completed Towing Officer’s As- United States that are designated sessment Record (TOAR) bearing the areas: signature from a Designated Examiner (1) An individual holding a valid first and stating that the Examiner found class pilot’s license or MMC with a the candidate proficient; or first class pilot’s endorsement, oper- (ii) A license or MMC with officer en- ating within the restrictions of his or dorsement for towing vessels. her credential, may serve as pilot on (e) The OCMI may increase the min- any vessel to which this section ap- imum number of mates indicated in plies. paragraph (b) of this section where he (2) An individual holding a valid li- or she determines that the vessel’s cense or MMC officer endorsement as characteristics, route, or other oper- master or mate, employed aboard a ating conditions create special cir- vessel within the restrictions of his or cumstances warranting an increase. her credential, may serve as pilot on a (f) The Commandant will consider re- vessel of not more than 1,600 gross tons ductions to the number of mates re- propelled by machinery, described in quired by this section when special cir- paragraphs (a)(1) and (a)(3) of this sec- cumstances allowing a vessel to be tion, provided he or she: safely operated can be demonstrated. (i) Is at least 21 years old; [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as (ii) Complies with the currency of amended by CGD 81–059, 54 FR 149, Jan. 4, knowledge provisions of § 11.713 of this 1989; CGD 81–059a, 55 FR 14805, Apr. 18, 1990; chapter; and USCG-1999–6224, 64 FR 63235, Nov. 19, 1999; 66 (iii) Has completed a minimum of FR 20944, Apr. 26, 2001; USCG–2006–24371, 74 FR 11262, Mar. 16, 2009] four round trips over the route to be traversed while in the wheelhouse as § 15.812 Pilots. watchstander or observer. At least one (a) Except as specified in paragraph of the round trips must be made during (f) of this section, the following ves- the hours of darkness if the route is to sels, not sailing on register, when un- be traversed during darkness derway on the navigable waters of the (3) An individual holding a valid li- United States, must be under the direc- cense or MMC officer endorsement as tion and control of an individual quali- master, mate, or operator employed fied to serve as pilot under paragraph aboard a vessel within the restrictions (b) or (c) of this section as appropriate: of his or her credential, may serve as (1) Coastwise seagoing vessels pro- pilot on a tank barge or tank barges pelled by machinery and subject to in- totaling not more than 10,000 gross spection under 46 U.S.C. Chapter 33, tons, described in paragraphs (a)(1) and and coastwise seagoing tank barges (a)(3) of this section, provided he or subject to inspection under 46 U.S.C. she: Chapter 37; (i) Is at least 21 years old;

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(ii) Complies with the currency of ignated areas of pilotage waters, pro- knowledge provisions of § 11.713 of this vided he or she: chapter; (1) Is at least 21 years old; (iii) Has a current physical examina- (2) Complies with the currency of tion in accordance with the provisions knowledge provisions of § 11.713 of this of § 11.709 of this chapter; chapter; and (iv) Has at least six-months service (3) Has a current physical examina- in the deck department on towing ves- tion in accordance with the provisions sels engaged in towing operations; and of § 11.709 of this chapter. (v) Has completed a minimum of (d) In any instance when the quali- twelve round trips over the route to be fications of a person satisfying the re- traversed, as an observer or under in- quirements for pilotage through the struction in the wheelhouse. At least provisions of this Subpart are ques- three of the round trips must be made tioned by the Coast Guard, the indi- during the hours of darkness if the vidual shall, within a reasonable time, route is to be traversed during dark- provide the Coast Guard with docu- ness. mentation proving compliance with (c) An individual holding a valid li- the applicable portion(s) of paragraphs cense or MMC officer endorsement as (b) and (c) of this section. master, mate, or operator, employed (e) Federal pilotage requirements aboard a vessel within the restrictions contained in paragraphs (a) through (d) of his or her credential, may serve as a of this section are summarized in two pilot for a vessel subject to paragraphs quick reference tables. (a)(1) and (a)(2) of this section, when (1) Table 15.812(e)(1) provides a guide underway on the navigable waters of to the pilotage requirements for in- the United States that are not des- 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 (routes for which First Class Pilot’s li- Nondesignated areas of pilotage waters censes or MMC officer endorsements (between the three mile line and the start 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.

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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

Tank Barges greater than 10,000 GT, au- First Class Pilot ...... Master, Mate, or Master, Mate (Pilot) of thorized by their Certificate of Inspec- towing vessels may serve as pilot if tion to proceed beyond the Boundary the individual: Line, or operating on the Great Lakes. 1. Is at least 21 years old. 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. Tank Barges 10,000 GT or less, author- First Class Pilot, or Master, Mate, or Master, Mate, or Master, Mate (Pilot) of ized by their Certificate of Inspection to Master, Mate (Pilot) of towing vessels towing vessels may serve as pilot if proceed beyond the Boundary Line, or may serve as pilot if the individual: the individual: operating on the Great Lakes. 1. Is at least 21 years old ...... 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, (ii) On the East by 146°00′ West lon- coastwise seagoing vessels over 1,600 gitude; gross tons and propelled by machinery (iii) On the North by 60°49′ North lati- and subject to inspection under 46 tude; and U.S.C. Chapter 37 must: (iv) On the South by that area of (1) When operating from 60°49′ north Hinchinbrook Entrance within the ter- latitude to the Port of Valdez be under ritorial sea bounded by 60° 07′ North the direction and control of an indi- latitude and 146°31.5′ West longitude. vidual holding a valid license or MMC [CGD 84–060, 59 FR 4842, Feb. 2, 1994, as endorsed as pilot who: amended by CGD 84–060, 60 FR 20652, 20653, (i) Is operating under the authority Apr. 27, 1995; USCG-2004–18884, 69 FR 58343, of a license or MMC; Sept. 30, 2004; USCG–2006–24371, 74 FR 11262, (ii) Holds a license issued by the Mar. 16, 2009] State of Alaska; and (iii) Is not a member of the crew of § 15.815 Radar observers. the vessel. (a) Each person in the required com- (2) Navigate with either two plement of deck officers, including the credentialed deck officers on the bridge master, on inspected vessels of 300 or an individual holding a valid license gross tons or over which are radar or MMC endorsed as pilot when oper- equipped, shall hold an endorsement as ating south of 60°49′ north latitude and radar observer. in the approaches through (b) Each person who is employed or Hinchinbrook Entrance and in the area serves as pilot in accordance with Fed- bounded: eral law on board vessels of 300 gross (i) On the West by a line one mile tons or over which are radar equipped, west of the western boundary of the shall hold an endorsement as radar ob- Traffic Separation Scheme; server.

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(c) Each person having to hold a li- or MMC authorizing service as a chief cense or MMC officer endorsement engineer. under 46 U.S.C. 8904(a) for employment [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as or service as masteror mate on board amended by USCG–2006–24371, 74 FR 11262, an uninspected towing vessel of 8 me- Mar. 16, 2009] ters (approximately 26 feet) or more in length must, if the vessel is equipped § 15.825 Engineers. with radar, hold an endorsement as (a) An individual in charge of an en- radar observer. gineering watch on a mechanically pro- (d) Each person who is required to pelled, seagoing, documented vessel of hold a radar endorsement must have 200 gross tons or over, other than an in- their certificate of training readily dividual described in § 15.820, must hold available to demonstrate that the en- an appropriately endorsed license or dorsement is still valid. MMC authorizing service as an assist- (e) For the purposes of this section, ant engineer. (b) The Officer in Charge, Marine In- ‘‘readily available’’ means that the spection determines the minimum mariner must carry the original cer- number of credentialed engineers re- tificate of training or a notarized copy quired for the safe operation of in- thereof onboard. Alternatively, the spected vessels. mariner must provide a copy of the certificate of training to the requesting [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as entity within 48 hours. The requested amended by USCG–2006–24371, 74 FR 11263, Mar. 16, 2009] material may be delivered either physically, electronically, or by facsimile. § 15.830 Radio officers. [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as Radio officers are required on certain amended by CGD 94–041, 60 FR 8309, Feb. 14, merchant vessels of the United States. 1995; CGD 95–028, 62 FR 51196, Sept. 30, 1997; The determination of when a radio offi- USCG-2004–18884, 69 FR 58343, Sept. 30, 2004; cer is required is based on the Federal USCG–2006–26202, 73 FR 52795, Sept. 11, 2008; Communications Commission require- USCG–2006–24371, 74 FR 11262, Mar. 16, 2009] ments.

§ 15.820 Chief engineer. § 15.835 Staff officers. (a) There must be an individual hold- Staff officers, when carried, must be ing an MMC or license endorsed as registered as specified in part 11 of this chief engineer or other credential au- chapter. thorizing service as chief engineer em- [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as ployed on board the following inspected amended by USCG–2006–24371, 74 FR 11263, mechanically propelled vessels: Mar. 16, 2009] (1) Seagoing or Great Lakes vessels of 200 gross tons and over. § 15.840 Able seamen. (2) Offshore supply vessels of more (a) With certain exceptions, 46 U.S.C. than 200 gross tons. 8702 applies to all vessels of at least 100 (3) Inland (other than Great Lakes) gross tons. At 1east 65 percent of the vessels of 300 gross tons and over, if the deck crew of these vessels, excluding OCMI determines that an individual individuals serving as officers, must be with a license or the appropriate MMC able seamen. For vessels permitted to officer endorsement responsible for the maintain a two watch system, the per- vessel’s mechanical propulsion is nec- centage of able seamen may be reduced essary. to 50 percent. (b) Able seamen are rated as: unlim- (b) An individual engaged or em- ited, limited, special, offshore supply ployed to perform the duties of chief vessel, sail, and fishing industry, under engineer on a mechanically propelled, the provisions of part 12 of this chap- uninspected, seagoing, documented ter. 46 U.S.C. 7312 specifies the cat- vessel of 200 gross tons or over must egories of able seamen (i.e., unlimited, hold an appropriately endorsed license limited, etc.) necessary to meet the requirements of 46 U.S.C. 8702.

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(c) It is the responsibility of the mas- (2) All grills, broilers, and deep-fat ter or person in charge to ensure that fryers are fitted with a grease extrac- the able seamen in the service of the tion hood per § 181.425 of this chapter. vessel meet the requirements of 46 (3) Heat and/or smoke detectors are U.S.C. 7312 and 8702. located in each galley, public accom- modation space, enclosed passageway, [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as berthing space, and all crew spaces. amended by USCG–2006–24371, 74 FR 11263, Mar. 16, 2009] (4) High-water alarms are located in each space with a through hull fitting § 15.845 Lifeboatmen. below the deepest load waterline, a machinery space bilge, bilge well, shaft The number of lifeboatmen required alley bilge, or other space subject to for a vessel are specified in the parts of flooding from sea water piping within the regulations dealing with the in- the space, and a space below the water- spection of that specific type of vessel. line with non-watertight closure such as a space with a non-watertight hatch § 15.850 Lookouts. on the main deck. The requirements for the mainte- (5) Each alarm has an audible- and nance of a proper lookout are specified visual-alarm indicator located at the in Rule 5 of the International Regula- normal operating station and, if the tions for Preventing Collisions at Sea, normal operating position is not con- 1972 (33 U.S.C. 1602(c)), and Rule 5 of the tinually manned and not navigating Inland Navigational Rules Act of 1980 underway, in an alternate location (33 U.S.C. 2005). Lookout is a function that must provide the crew, and may to be performed by a member of a navi- at all times provide the passengers, im- gational watch. mediate warning of a hazardous condition. [USCG–2007–29018, 72 FR 53964, Sept. 21, 2007] (6) The vessel is underway for no more than 12 hours in any 24-hour pe- § 15.855 Cabin watchmen and fire pa- riod, and the master of the vessel has trolmen. chosen to operate with less than a (a) On vessels carrying passengers at three-watch system in accordance with night, the master or person in charge § 15.705. shall ensure that a suitable number of watchmen are in the vicinity of the [CGD 81–059, 52 FR 38652, Oct. 16, 1987, as amended by USCG-1999–5040, 67 FR 34767, May cabins or staterooms and on each deck, 15, 2002] to guard against and give alarm in case of fire or other danger. § 15.860 Tankerman. (b) On a fish processing vessel of (a) The Officer in Charge, Marine In- more than 100 gross tons, there must be spection, enters on the Certificate of a suitable number of watchmen trained Inspection issued to each manned tank in firefighting on board when hot work vessel subject to the regulations in this is being done, to guard against and give chapter the number of crewmembers alarm in case of a fire. required to hold valid merchant mari- (c) For the watchmen described in ners’ documents or MMCs with the paragraph (a) of this section, the owner proper tankerman endorsement. Table or operator of an uninspected pas- 15.860(a)(1) provides the minimal re- senger vessel not more than 300 gross quirements for tankermen aboard tons may substitute the use of fire de- manned tank vessels; Table 15.860(a)(2) tectors, heat detectors, smoke detec- provides the tankerman endorsements tors, and high-water alarms with required for personnel aboard tank- audible- and visual-warning indicators, ships. in addition to other required safety (b) For each tankship of more than alarms, only when each of the fol- 5,000 gross tons certified for voyages lowing conditions are met: beyond the Boundary Line: (1) Fire detectors are located in each (1) The number of ‘‘Tankerman-PICs’’ space containing machinery or fuel or restricted ‘‘Tankerman-PICs’’ car- tanks per § 181.400(c) of this chapter. ried must be not fewer than two.

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(2) The number of ‘‘Tankerman-As- ‘‘Tankerman-PICs’’, ‘‘Tankerman-PICs sistants’’ carried must be not fewer (Barge)’’, or restricted ‘‘Tankerman- than three. PICs (Barge)’’ carried must be not (3) The number of ‘‘Tankerman-Engi- fewer than two. neers’’ carried must be not fewer than (f) The following personnel aboard two. each tankship certified for voyages be- (c) For each tankship of 5,000 gross yond the Boundary Line shall hold tons or less certified for voyages be- valid merchant mariners’ documents or yond the Boundary Line: MMCs, endorsed as follows: (1) The number of ‘‘Tankerman-PICs’’ (1) The master and chief mate shall or restricted ‘‘Tankerman-PICs’’ car- each hold a ‘‘Tankerman-PIC’’ or re- ried must be not fewer than two. stricted ‘‘Tankerman-PIC’’ endorse- (2) The number of ‘‘Tankerman-Engi- ment. neers’’ carried must be not fewer than (2) The chief, first assistant, and two, unless only one engineer is re- cargo engineers shall each hold a quired, in which case the number of ‘‘Tankerman-Engineer’’ or ‘‘Tankerman-Engineers’’ carried may ‘‘Tankerman (PIC)’’ endorsement. be just one. (3) Each credentialed officer acting (d) For each tankship not certified as the PIC of a transfer of liquid cargo for voyages beyond the Boundary Line, in bulk shall hold a ‘‘Tankerman-PIC’’ if the total crew complement is: or restricted ‘‘Tankerman-PIC’’ en- (1) One or two, the number of dorsement. ‘‘Tankerman-PICs’’ or restricted (4) Each officer or crewmember, who ‘‘Tankerman-PICs’’ carried may be just is assigned by the PIC duties and re- one. sponsibilities related to the cargo or (2) More than two, the number of cargo-handling equipment during a ‘‘Tankerman-PICs’’ or restricted transfer of liquid cargo in bulk but is ‘‘Tankerman-PICs’’ carried must be not directly supervised by the PIC, not fewer than two. shall hold a ‘‘Tankerman-Assistant’’ (e) For each tank barge manned endorsement. under § 31.15–5 of this chapter, if the (g) The endorsements required by total crew complement is: this section must be for the classifica- (1) One or two, the number of tion of the liquid cargo in bulk or of ‘‘Tankerman-PICs’’, restricted the cargo residue being carried. ‘‘Tankerman-PICs’’, ‘‘Tankerman-PICs (h) Because STCW does not recognize (Barge)’’, or restricted ‘‘Tankerman- restricted Tankerman-PIC endorse- PICs (Barge)’’ carried may be just one. ments, persons may act under these (2) More than two, the number of only aboard vessels conducting busi- ‘‘Tankerman-PICs’’, restricted 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 ...... ✔

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TABLE 15.860(a)(2)—TANKERMEN ENDORSEMENTS REQUIRED FOR PERSONNEL ABOARD TANKSHIPS—Continued [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

Chief Engineer ...... ✔ or ✔ First Assistant Engineer ...... ✔ or ✔ Cargo Engineer ...... ✔ or ✔ Credentialed Officer Acting as PIC of Transfer of Liquid Cargo in Bulk ...... ✔ Credentialed Officer or Crewmember 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; USCG–2006–24371, 74 FR 11263, Mar. 16, 2009]

Subpart H—Equivalents uninspected passenger vessel under 100 gross tons within any restrictions, § 15.901 Inspected vessels of less than other than gross tonnage limitations, 100 gross tons. on the individual’s license or MMC. (a) An individual holding a license or (b) An individual holding a license or MMC endorsed as mate or pilot of in- MMC endorsed as a master or pilot of spected, self-propelled vessels of over an inspected, self-propelled vessel is 200 gross tons is authorized to serve as authorized to serve as master, as re- master on inspected vessels of less than quired by 46 CFR 15.805(a)(6), of an 100 gross tons within any restrictions uninspected passenger vessel of at least on the individual’s license or MMC. 100 gross tons within any restrictions, (b) An individual holding a license or including gross tonnage and route, on MMC endorsed as master or mate of in- the individual’s license or MMC. spected, self-propelled vessels is au- (c) An individual holding a license or thorized to serve as master or mate, re- MMC endorsed as mate of inspected, spectively, of non-self-propelled vessels self-propelled vessels (other than Great other than sail vessels, within any re- Lakes, inland, or river vessels of not strictions on the individual’s license or more than 200 gross tons) is authorized MMC. to serve as operator of uninspected pas- (c) An individual holding a license or senger vessels of less than 100 gross MMC endorsed as master or mate of in- tons within any restrictions, other spected, sail vessels is authorized to than gross tonnage limitations, on the serve as master or mate, respectively, individual’s license or MMC. of other non-self-propelled vessels, within any restrictions on the individ- [USCG-1999–5040, 67 FR 34767, May 15, 2002, as amended by USCG–2006–24371, 74 FR 11263, ual’s license or MMC. Mar. 16, 2009] (d) An individual holding a license or MMC endorsed as master or mate of in- § 15.910 Towing vessels. spected, auxiliary sail vessels, is authorized to serve as master or mate, re- No person may serve as a master or spectively, of self-propelled and non- mate (pilot) of any towing vessel with- self-propelled vessels, within any re- out meeting the requirements of strictions on the individual’s license or §§ 15.805(a)(5) or 15.810(d) of this part. MMC. [USCG–2006–24371, 74 FR 11263, Mar. 16, 2009] [CGD 81–059, 54 FR 150, Jan. 4, 1989, as amended by USCG–2006–24371, 74 FR 11263, Mar. 16, § 15.915 Engineer Officer Endorse- 2009] ments. The following licenses and MMC offi- § 15.905 Uninspected passenger ves- cer endorsements authorize the holder sels. to serve as noted, within any restric- (a) An individual holding a license or tions on the license or MMC: MMC endorsed as master or pilot of an (a) A designated duty engineer li- inspected, self-propelled vessel is au- cense or endorsement authorizes serv- thorized to serve as operator of an ice as chief or assistant engineer on

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vessels of not more than 500 gross tons Encina Power Plant, lying within an in the following manner: area bounded by a line beginning at (1) A designated duty engineer lim- latitude 33°10′06″N, longitude ited to vessels of not more than 1000 117°21′42″W, thence southwesterly to horsepower or 4000 horsepower may latitude 33°08′54″N, longitude serve only on near coastal, Great 117°24′36″W, thence southwesterly to Lakes, or inland waters; latitude 33°04′30″N, longitude (2) A designated duty engineer with 117°21′42″W, thence northeasterly to no horsepower limitations may serve latitude 33°05′36″N, longitude on any waters. 117°18′54″W, thence northwesterly along (b) A chief engineer (limited-oceans) the shoreline to latitude 33°10′06″N, lon- license or endorsement authorizes serv- gitude 117°21′42″W. ice as chief or assistant engineer on (b) Huntington Beach, CA. The waters vessels of any gross tons on inland wa- including the Golden West Refining ters and of not more than 1600 gross Company, Huntington Beach Marine tons on ocean, near coastal, or Great Terminal, lying within an area bound- Lakes waters. ed by a line beginning at latitude (c) A chief engineer (limited-near 33°39′06″N, longitude 118°00′0″W, thence coastal) license or endorsement au- westerly to latitude 33°39′18″N, lon- thorizes service as chief or assistant gitude 118°05′12″W, thence southeast- engineer on vessels of any gross tons erly along a line drawn three nautical on inland waters and of not more than miles from the baseline to latitude 1600 gross tons on near coastal or Great 33°35′30″N, longitude 118°00′00″W, thence Lakes waters. easterly to latitude 33°35′30″N, lon- (d) An assistant engineer (limited- gitude 117°52′30″W, thence northwest- oceans) license or endorsement author- erly along the shoreline to latitude izes service on vessels of any gross tons 33°39′06″N, longitude 118°00′00″W. on inland waters and of not more than (c) El Segundo, CA. The waters includ- 1600 gross tons on ocean, near coastal, ing the Chevron USA, El Segundo Ma- or Great Lakes waters. rine Terminal, lying within an area [CGD 81–059, 54 FR 150, Jan. 4, 1989, as amend- bounded by a line beginning at latitude ed by USCG–2006–24371, 74 FR 11263, Mar. 16, 33°56′18″N, longitude 118°26′18″W, thence 2009] westerly to latitude 33°56′18″N, longitude 118°30′48″W, thence southeast- Subpart I—Vessels in Foreign erly along a line drawn three nautical Trade miles from the baseline to latitude 33°51′48″N, longitude 118°27′54″W, thence easterly to latitude 33°51′48″N, lon- SOURCE: CGD 92–061, 60 FR 24796, May 10, gitude 118°24′00″W, thence northwest- 1995, unless otherwise noted. erly along the shoreline to latitude ° ′ ″ ° ′ ″ § 15.1001 General. 33 56 18 N, longitude 118 26 18 W. (d) Oxnard, CA. The waters including Self-propelled vessels engaged in for- the Southern California Edison Com- eign commerce are required to use a pany, Mandalay Generating Station, pilot holding a valid MMC or license lying within an area bounded by a line with appropriate endorsement as a beginning at latitude 34°14′12″N, lon- first-class pilot when operating in the gitude 119°16′00″W, thence westerly to navigable waters of the United States latitude 34°14′12″N, longitude specified in this subpart. 119°19′36″W, thence southeasterly along [CGD 92–061, 60 FR 24796, May 10, 1995, as a line drawn three nautical miles from amended by USCG–2006–24371, 74 FR 11263, the baseline to latitude 34°09′24″N, lon- Mar. 16, 2009] gitude 119°17′20″W, thence easterly to latitude 34°09′24″N, longitude § 15.1010 California. 119°13′24″W, thence northwesterly along The following offshore marine oil ter- the shoreline to latitude 34°14′24″N, lon- minals located within U.S. navigable gitude 119°16′00″W. waters of the State of California: (e) Goleta, CA. The waters including (a) Carlsbad, CA. The waters includ- the ARCO, Ellwood Marine Terminal, ing the San Diego Gas and Electric, lying within an area bounded by a line

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beginning at latitude 34°26′12″N, lon- to latitude 35°07′00″N, longitude gitude 119°57′00″W, thence southerly to 120°46′00″W, thence easterly to latitude latitude 34°22′48″N, longitude 35°07′00″N, longitude 120°43′00″W, thence 119°57′00″W, thence southeasterly along northerly to latitude 35°10′24″N, lon- a line drawn three nautical miles from gitude 120°43′00″W, thence westerly the baseline to latitude 34°21′06″N, lon- along the shoreline to latitude gitude 119°50′30.5″W, thence northerly 35°09′42″N, longitude 120°46′00″W. ° ′ ″ to latitude 34 24 18 N, longitude [CGD 92–061, 60 FR 24796, Jan. 4, 1995, as 119°50′30″W, thence northwesterly along amended by USCG-1998–4442, 63 FR 52189, the shoreline to latitude 34°26′12″N, lon- Sept. 30, 1998] gitude 119°57′00″W. (f) Gaviota, CA. The waters including § 15.1020 Hawaii. the Texaco Trading and Transpor- The following offshore marine oil ter- tation, Gaviota Marine Terminal, lying minals located within U.S. navigable within an area bounded by a line begin- waters of the State of Hawaii: Barbers ning at latitude 34°28′06″N, longitude Point, Island of Oahu. The waters in- 120°16′00″W, thence southerly to lati- cluding the Hawaiian Independent Re- tude 34°25′06″N, longitude 120°16′00″W, finery, Inc. and the Chevron moorings thence easterly along a line drawn lying within an area bounded by a line three nautical miles from the baseline bearing 180 degrees true from Barbers to latitude 34°25′24″N, longitude Point Light to latitude 21°14.8′N, lon- 120°08′30″W, thence northerly to lati- gitude 158°06.4′W, thence easterly to tude 34°28′24″N, longitude 120°08′30″W, latitude 21°14.8′N, longitude 158°03.3′W, thence westerly along the shoreline to thence northeasterly to latitude latitude 34°28′06″N, longitude 21°15.6′N, longitude 158°01.1′W, thence 120°16′00″W. northwesterly to latitude 21°18.5′N, lon- (g) Moss Landing, CA. The waters in- gitude 158°02.0′W, thence westerly along cluding the Pacific Gas and Electric the shoreline to latitude 21°17.8′N, lon- Company Power Plant, lying within an gitude 158°06.4′W. area bounded by a line beginning at latitude 36°49′00″N, longitude § 15.1030 New York and New Jersey. 121°47′42″W, thence westerly to latitude The following U.S. navigable waters 36°49′00″N, longitude 121°51′00″W, thence located within the States of New York southerly to latitude 36°47′00″N, lon- and New Jersey when the vessel is gitude 121°51′00″W thence easterly to making an intra-port transit, to in- latitude 36°47′00″N, longitude clude, but not limited to, a movement 121°47′54″W, thence northerly along the from a dock to a dock, from a dock to shoreline to latitude 36°49′00″N, lon- an anchorage, from an anchorage to a gitude 121°47′42″W. dock, or from an anchorage to an an- (h) Estero Bay, CA. The waters includ- chorage, within the following listed op- ing various moorings, including the Pa- erating areas: cific Gas and Electric Company moor- (a) East River from Execution Rocks ing and the two Chevron Oil Company to New York Harbor, Upper Bay; Terminals lying within an area bound- (b) Hudson River from Yonkers, New ed by a line beginning at latitude York to New York Harbor, Upper Bay; 36°25′00″N, longitude 120°52′30″W, thence (c) Raritan River from Grossman westerly to latitude 36°25′00″N, lon- Dock/Arsenal to New York Harbor, gitude 120°56′00″W, thence southerly to Lower Bay; latitude 36°22′00″N, longitude (d) Arthur Kill Channel; 120°56′00″W, thence easterly to latitude (e) Kill Van Kull Channel; 36°22′00″N, longitude 120°52′12″W, thence (f) Newark Bay; northerly along the shoreline to lati- (g) Passaic River from Point No tude 36°25′00″N, longitude 120°52′30″W. Point to Newark Bay; (i) San Luis Obispo Bay, CA. The wa- (h) Hackensack River from the turn- ters including the Unocal Corporation ing basin to Newark Bay; and Avila Terminal and the approaches (i) New York Harbor, Upper and thereto, lying in an area bounded by a Lower Bay. line beginning at latitude 35°09′42″N, NOTE TO § 15.1030: ‘‘Intra-port transit’’ as longitude 120°46′00″W, thence southerly used in this section includes the movement

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of a foreign-trade vessel inbound from sea of the State of North Carolina require from the point where a State-licensed pilot a State-licensed pilot on the vessel. ceases providing pilotage to another point within the identified areas (i.e., a dock or an- [CGD 97–073, 63 FR 57255, Oct. 27, 1998] chorage). Likewise, intra-port transit also includes the movement of a foreign-trade Subpart J—Vessels Subject to vessel outbound to sea from a point within the identified areas (i.e., a dock or anchor- Requirements of STCW age) to the point where a State licensed pilot begins providing pilotage. SOURCE: CGD 95–062, 62 FR 34539, June 26, [CGD 92–061, 60 FR 24796, May 10, 1995, as 1997, unless otherwise noted. amended by USCG-2004–18884, 69 FR 58344, Sept. 30, 2004] § 15.1101 General. (a) Definitions. For purposes of this § 15.1040 Massachusetts. subpart, the term— The following U.S. navigable waters (1) STCW means the International located within the State of Massachu- Convention on Standards of Training, setts when the vessel is in transit, but Certification and Watchkeeping for not bound to or departing from a port Seafarers, 1978, as amended in 1995; within the following listed operating (2) STCW Code means the Seafarer’s areas: Training, Certification and (a) Cape Cod Bay south of latitude Watchkeeping Code; 41°48′54″N; (3) Seagoing vessel means a self-pro- (b) The Cape Cod Canal; and pelled vessel in commercial service (c) Buzzards Bay east of a line ex- that operates beyond the Boundary tending from the southernmost point Line established by 46 CFR part 7. It of Wilbur Point (latitude 41°34′55″N lon- does not include a vessel that navi- gitude 70°51′15″W) to the easternmost gates exclusively on inland waters; point of Pasque Island (latitude (4) Rest means a period of time during 41°26′55″N longitude 70°50′30″W). which the person concerned is off duty, is not performing work (which includes [CGD 92–061, 60 FR 24796, May 10, 1995, as administrative tasks such as chart cor- amended by USCG-1998–4442, 63 FR 52189, rections or preparation of port-entry Sept. 10, 1998] documents), and is allowed to sleep without being interrupted; and § 15.1050 North Carolina. (5) Overriding operational conditions (a) The following navigable waters of means circumstances in which essen- the United States within the State of tial shipboard work cannot be delayed North Carolina when the vessel is ma- for safety or environmental reasons, or neuvering while berthing or could not reasonably have been antici- unberthing, is approaching or passing pated at the commencement of the through a bridge, or is making any voyage. intra-port transit, which transit may (6) Vessel Security Officer (VSO) means include but is not limited to movement a person onboard the vessel account- from a dock to a dock, from a dock to able to the Master, designated by the an anchorage, from an anchorage to a Company as responsible for security of dock, or from an anchorage to an an- the vessel, including implementation chorage, within either of the following and maintenance of the Vessel Secu- areas: rity Plan, and for liaison with the Fa- (1) The waters of the Cape Fear River cility Security Officer and vessel’s from the boundary line established by Company Security Officer. 46 CFR 7.60 to Latitude 34° 16.5′N. (b) Except as otherwise provided in (2) The waters of the Northeast Cape § 15.1103(d), the regulations in this sub- Fear River from its confluence with part apply to seagoing vessels subject the Cape Fear River at Point Peter to to STCW. Latitude 34°17′N. (c) A vessel that has on board a valid (b) This subpart does not apply to Safety Management Certificate and a any vessel on the waters specified in copy of a Document of Compliance paragraph (a) of this section if the laws issued for that vessel in accordance

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with 46 U.S.C. 3205 is presumed in com- (SOLAS) (SOLAS is available from the pliance with the regulations in this International Maritime Organization subpart. (IMO), 4 Albert Embankment, London, SE1 7SR, England, telephone: + 44 (0)20 [CGD 95–062, 62 FR 34539, June 26, 1997, as amended by USCG–2008–0028, 73 FR 29071, 7735 7611, http://www.imo.org), has been May 20, 2008] issued. (e) You must hold documentary evi- § 15.1103 Employment and service dence to show you meet the require- within the restrictions of an STCW ments of §§ 11.1005 or 12.30–5 of this endorsement or of a certificate of chapter, as appropriate, if you are a training. master or crewmember on board a ves- (a) On board a seagoing vessel oper- sel that is— ating beyond the Boundary Line, no (1) Subject to the STCW; person may employ or engage any per- (2) Not a Ro-Ro passenger ship; and son to serve, and no person may serve, (3) Carrying more than 12 passengers in a position requiring a person to hold when on an international voyage. an STCW endorsement, including mas- (f) On board a seagoing vessel re- ter, chief mate, chief engineer, second quired to comply with provisions of the engineer, officer of the navigational or Global Maritime Distress and Safety engineering watch, or radio operator, System (GMDSS) in Chapter IV of unless the person serving holds an ap- SOLAS, no person may employ or en- propriate, valid STCW certificate or gage any person to serve, and no person endorsement issued in accordance with may serve, as the master, chief mate, part 10 or 12 of this chapter. or officer of the navigational watch, (b) On board a seagoing vessel of 500 unless the person serving holds the ap- GT or more as determined under the propriate certificate or endorsement International Tonnage Convention, no for operator of radio in GMDSS. person may employ or engage any per- (g) On board a seagoing vessel re- son to serve, and no person may serve, quired to comply with provisions of the as a rating forming part of the naviga- GMDSS in Chapter IV of SOLAS, no tional watch, except for training, un- person may employ or engage any per- less the person serving holds an appro- son to serve, and no person may serve, priate, valid STCW certificate or en- as the person designated to maintain dorsement issued in accordance with GMDSS equipment at sea, when the part 12 of this chapter. service of a person so designated is (c) On board a seagoing vessel driven used to meet the maintenance require- by main propulsion machinery of 750 ments of SOLAS Regulation IV/15, kW [1,000 hp] propulsion power or more, which allows for capability of at-sea no person may employ or engage any electronic maintenance to ensure that person to serve, and no person may radio equipment is available for radio serve, in a rating forming part of a communication, unless the person so watch in a manned engine-room, nor serving holds documentary evidence may any person be designated to per- that he or she is competent to main- form duties in a periodically unmanned tain GMDSS equipment at sea. engine-room, except for training or for (h) On board a seagoing vessel fitted the performance of duties of an un- with an Automatic Radar Plotting Aid skilled nature, unless the person serv- (ARPA), no person may employ or en- ing holds an appropriate, valid STCW gage any person to serve, and no person certificate or endorsement issued in ac- may serve, as the master, chief mate, cordance with part 12 of this chapter. or officer of the navigational watch, (d) You must hold documentary evi- unless the person so serving has been dence to show you meet the require- trained in the use of ARPA according ments of §§ 11.1005 or 12.30–5 of this to §§ 11.205 or 11.209 of this chapter, chapter, as appropriate, if you are a whichever is appropriate. master or crewmember on board a Ro- [CGD 95–062, 62 FR 34539, June 26, 1997, as Ro passenger ship to which a certifi- amended by USCG-1999–5610, 67 FR 55069, Oct. cate signifying compliance with the 30, 2002; USCG-2004–18884, 69 FR 58344, Sept. International Convention for the Safe- 30, 2004; USCG–2006–24371, 74 FR 11263, Mar. ty of Life at Sea, 1974, as amended 16, 2009]

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§ 15.1105 Familiarization and basic sibility, unless the person performing safety-training. it can produce evidence of having— (a) On board a seagoing vessel, no (1) Received appropriate approved person may assign any person to per- basic safety training or instruction as form shipboard duties, and no person set out in the standards of competence may perform those duties, unless the under STCW Regulation VI/1, with re- person performing them has received— spect to personal survival techniques, (1) Training in personal survival fire prevention and fire-fighting, ele- techniques as set out in the standard of mentary first aid, and personal safety competence under STCW Regulation and social responsibilities; and VI/1; or (2) Achieved or, if training has been completed, maintained competence (2) Sufficient familiarization training within the last 5 years, in accordance or instruction that he or she— with STCW regulation VI/1. (i) Can communicate with other per- (d) Fish-processing vessels in compli- sons on board about elementary safety ance with the provisions of 46 CFR part matters and understand informational 28 on instructions, drills, and safety symbols, signs, and alarm signals con- orientation are deemed to be in compli- cerning safety; ance with the requirements of this sec- (ii) Knows what to do if a person falls tion on familiarization and basic safe- overboard; if fire or smoke is detected; ty-training. or if the firm alarm or abandon-ship alarm sounds; [CGD 95–062, 62 FR 34539, June 26, 1997, as (iii) Can identify stations for muster amended by USCG-2004–18884, 69 FR 58344, and embarkation, and emergency-es- Sept. 30, 2004; USCG–2006–24371, 74 FR 11263, Mar. 16, 2009] cape routes; (iv) Can locate and don life-jackets; § 15.1107 Maintenance of merchant (v) Can raise the alarm and knows mariners’ records by owner or oper- the use of portable fire extinguishers; ator. (vi) Can take immediate action upon Each owner or operator of a U.S.-doc- encountering an accident or other med- umented seagoing vessel shall ensure ical emergency before seeking further that procedures are in place, in respect medical assistance on board; and of each merchant mariner holding a li- (vii) Can close and open the fire cense, MMC, or merchant mariner’s doors, weather-tight doors, and water- document and serving on any such ves- tight doors fitted in the vessel other sel, to ensure that the following infor- than those for hull openings. mation is maintained throughout his (b) On board a seagoing vessel, no or her service, and is readily accessible person may assign a shipboard duty or to those in management responsible for responsibility to any person who is the safety of the vessel and for the pre- serving in a position that must be vention of marine pollution: filled as part of the required crew com- (a) Medical fitness (such as results of plement, and no person may perform a recent evaluation by a medical pro- any such duty or responsibility, unless fessional certifying that the mariner is he or she is familiar with it and with physically able to perform the tasks all vessel’s arrangements, installa- and duties normally associated with a tions, equipment, procedures, and char- particular shipboard position or does acteristics relevant to his or her rou- not have an apparent medical condi- tine or emergency duties or respon- tion that disqualifies him or her from sibilities, in accordance with STCW the requirements of a particular ship- Regulation I/14. board position). (c) On board a seagoing vessel, no (b) Experience and training relevant person may assign a shipboard duty or to assigned shipboard duties (i.e., responsibility to any person who is record of training completed, and of serving in a position that must be relevant on-the-job experience ac- filled as part of the required crew com- quired). plement or who is assigned a responsi- (c) Competency in assigned shipboard bility on the muster list, and no person duties (evidenced by copies of current may perform any such duty or respon- credentials that the mariner holds, as

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well as by a record of the most recent section as well as port rotations and basic safety assessment and by in- changes in the vessel’s itinerary. stances where ship-specific familiarization has been achieved and main- [CGD 95–062, 62 FR 34539, June 26, 1997, as amended by USCG–2006–24371, 74 FR 11263, tained). Mar. 16, 2009] [CGD 95–062, 62 FR 34539, June 26, 1997, as amended by USCG–2006–24371, 74 FR 11263, § 15.1113 Vessel Security Officer (VSO). Mar. 16, 2009] After July 1, 2009, on board seagoing § 15.1109 Watches. vessel, all persons performing duties as VSO must hold a valid endorsement as Each master of a vessel that operates Vessel Security Officer. beyond the Boundary Line shall ensure observance of the principles concerning [USCG–2008–0028, 73 FR 29071, May 20, 2008] watchkeeping set out in STCW Regula- tion VIII/2 and section A-VIII/2 of the PART 16—CHEMICAL TESTING STCW Code. Subpart A—General § 15.1111 Work hours and rest periods. (a) Each person assigned duty as offi- Sec. cer in charge of a navigational or engi- 16.101 Purpose of regulations. neering watch, or duty as a rating 16.105 Definitions of terms used in this part. forming part of a navigational or engi- 16.107 Waivers. neering watch, on board any vessel 16.109 Public Interest Exclusion (PIE). that operates beyond the Boundary 16.113 Chemical drug testing. Line shall receive a minimum of 10 16.115 Penalties. hours of rest in any 24-hour period. Subpart B—Required Chemical Testing (b) The hours of rest required under paragraph (a) of this section may be di- 16.201 Application. vided into no more than two periods, of 16.203 Employer, MRO, and SAP responsibil- which one must be at least 6 hours in ities. length. 16.205 Implementation of chemical testing (c) The requirements of paragraphs programs. (a) and (b) of this section need not be 16.210 Pre-employment testing require- maintained in the case of an emer- ments. gency or drill or in other overriding 16.220 Periodic testing requirements. operational conditions. 16.230 Random testing requirements. (d) The minimum period of 10 hours 16.240 Serious marine incident testing re- of rest required under paragraph (a) of quirements. this section may be reduced to not less 16.250 Reasonable cause testing require- than 6 consecutive hours as long as— ments. 16.260 Records. (1) No reduction extends beyond 2 days; and Subpart C [Reserved] (2) Not less than 70 hours of rest are provided each 7-day period. Subpart D—Employee Assistance Programs (e) The minimum period of rest required under paragraph (a) of this sec- 16.401 Employee Assistance Program (EAP). tion may not be devoted to watchkeeping or other duties. Subpart E—Management Information (f) Watchkeeping personnel remain System subject to the work-hour limits in 46 16.500 Management Information System re- U.S.C. 8104 and to the conditions when quirements. crew members may be required to APPENDIX A [RESERVED] work. (g) The Master shall post watch AUTHORITY: 46 U.S.C. 2103, 3306, 7101, 7301, schedules where they are easily acces- and 7701; Department of Homeland Security sible. They must cover each affected Delegation No. 0170.1. member of the crew and must take into SOURCE: CGD 86–067, 53 FR 47079, Nov. 21, account the rest requirements of this 1988, unless otherwise noted.

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

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the vessel’s progress through the rine industry, or their employers, are water, ordering or executing changes in associated. course, rudder position, or speed, and Stand-down means the practice of maintaining a lookout; temporarily removing a crewmember (b) Controlling, operating, moni- from the performance of safety-sen- toring, maintaining, or testing: the sitive functions based only on a report vessel’s propulsion and steering sys- from a laboratory to the MRO of a con- tems; electric power generators; bilge, firmed positive test for a drug or drug ballast, fire, and cargo pumps; deck metabolite, an adulterated test, or a machinery including winches, substituted test, before the MRO has windlasses, and lifting equipment; life- completed verification of the test re- saving equipment and appliances; fire- sult. fighting systems and equipment; and Substance Abuse Professional (SAP) navigation and communication equip- means a person who evaluates employment; and ees who have violated a DOT drug and (c) Mooring, anchoring, and line han- alcohol regulation and makes rec- dling; loading or discharging of cargo ommendations concerning education, or fuel; assembling or disassembling of treatment, follow-up testing, and tows; and maintaining the vessel’s sta- aftercare. bility and watertight integrity. Vessel owned in the United States Passes a chemical test for dangerous means any vessel documented or num- drugs means the result of a chemical bered under the laws of the United test conducted in accordance with 49 States; and any vessel owned by a cit- CFR part 40 is reported as ‘‘negative’’ izen of the United States that is not by a Medical Review Officer in accord- documented or numbered by any na- ance with that part. tion. Positive rate for random drug testing means the number of verified positive [CGD 86–067, 53 FR 47079, Nov. 21, 1988; 53 FR 48367, Nov. 30, 1988, as amended by CGD 90– results for random drug tests con- 014, 56 FR 31033, July 8, 1991; CGD 90–053, 58 ducted under this part plus the number FR 31107, May 28, 1993; CGD 93–051, 59 FR of refusals of random drug tests re- 28792, June 3, 1994; 59 FR 62226, Dec. 2, 1994; quired by this part, divided by the CGD 91–223, 60 FR 4525, Jan. 23, 1995; USCG- total number of random drug test re- 2000–7759, 66 FR 42967, Aug. 16, 2001; USCG- sults (i.e., positives, negatives, and re- 2003–16414, 69 FR 6577, Feb. 11, 2004; USCG– fusals) under this part. 2006–24371, 74 FR 11263, Mar. 16, 2009] Refuse to submit means you refused to take a drug test as set out in 49 CFR § 16.107 Waivers. 40.191. (a) To obtain a waiver from 49 CFR Serious marine incident means an 40.21 or from this part you must send event defined in 46 CFR 4.03–2. your request for a waiver to the Com- Service agent means any person or en- mandant (CG–545). tity that provides services specified (b) Employers for whom compliance under this part or 49 CFR part 40 to with this part would violate the domes- employers and/or crewmembers in con- tic laws or policies of another country nection with DOT drug and alcohol may request an exemption from the testing requirements. This includes, drug testing requirements of this part but is not limited to, collectors, BATs by submitting a written request to and STTs, laboratories, MROs, sub- Commandant (CG–545), at the address stance abuse professionals, and C/ listed in § 16.500(a). TPAs. To act as service agents, persons (c) An employer may request a waiv- and organizations must meet the quali- er from the Coast Guard in order to fications set forth in applicable sec- stand-down a crewmember following tions of 49 CFR part 40. Service agents the Medical Review Officer’s receipt of are not employers for purposes of this a laboratory report of a confirmed posi- part. tive test for a drug or drug metabolite, Sponsoring organization is any com- an adulterated test, or a substituted pany, consortium, corporation, associa- test pertaining to the crewmember. tion, union, or other organization with Consistent with 49 CFR 40.21, the re- which individuals serving in the ma- quest for a waiver must include as a

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

EDITORIAL NOTE: At 74 FR 11264, Mar. 16, vessel until the requirements of para- 2009, § 16.113 was amended; however, the graph (f) of this section and 46 CFR amendment could not be incorporated due to Part 5, if applicable, have been satis- inaccurate amendatory instruction. fied.

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(f) Before an individual who has § 16.205 Implementation of chemical failed a required chemical test for dan- testing programs. gerous drugs may return to work (a) When a vessel owned in the aboard a vessel, the MRO must deter- United States is operating in waters mine that the individual is drug-free that are not subject to the jurisdiction and the risk of subsequent use of dan- of the United States, the testing re- gerous drugs by that person is suffi- quirements of §§ 16.210 and 16.230 do not ciently low to justify his or her return apply to a citizen of a foreign country to work. In addition, the individual engaged or employed as pilot in accord- must agree to be subject to increased ance with the laws or customs of that unannounced testing— foreign country. (1) For a minimum of six (6) tests in the first year after the individual re- (b) Upon written request of an em- turns to work as required in 49 CFR ployer, Commandant (CG–545) will re- part 40; and view the employer’s chemical testing (2) For any additional period as de- program to determine compliance with termined by the MRO up to a total of the provisions of this part. 60 months. [CGD 90–014, 56 FR 60930, Nov. 29, 1991, as amended by 59 FR 62226, Dec. 2, 1994; CGD 95– [CGD 86–607, 53 FR 47049, November 11, 1988, 072, 60 FR 50461, Sept. 29, 1995; CGD 96–041, 61 as amended by CGD 90–014, 56 FR 31034, July FR 50726, Sept. 27, 1996; CGD 95–028, 62 FR 8, 1991; USCG-2000–7759, 66 FR 42968, Aug. 16, 2001; USCG–2006–24371, 74 FR 11264, Mar. 16, 51196, Sept. 30, 1997; USCG–2009–0702, 74 FR 2009] 49225, Sept. 25, 2009]

§ 16.203 Employer, MRO, and SAP re- § 16.210 Pre-employment testing responsibilities. quirements. (a) Employers. (1) Employers must en- (a) No marine employer shall engage sure that they and their crewmembers or employ any individual to serve as a meet the requirements of this part. crewmember unless the individual (2) Employers are responsible for all passes a chemical test for dangerous the actions of their officials, represent- drugs for that employer. atives, and agents in carrying out the (b) An employer may waive a pre-em- requirements of this part. ployment test required for a job appli- (3) All agreements and arrangements, cant by paragraph (a) of this section if written or unwritten, between and the individual provides satisfactory among employers and service agents evidence that he or she has: concerning the implementation of DOT (1) Passed a chemical test for dan- drug testing requirements are deemed, gerous drugs, required by this part, as a matter of law, to require compli- within the previous six months with no ance with all applicable provisions of subsequent positive drug tests during this part and DOT agency drug testing the remainder of the six-month period; regulations. Compliance with these or provisions is a material term of all (2) During the previous 185 days been such agreements and arrangements. subject to a random testing program (b) Medical Review Officer (MRO). (1) required by § 16.230 for at least 60 days Individuals performing MRO functions and did not fail or refuse to participate must meet the training requirements in a chemical test for dangerous drugs and follow the procedures in 49 CFR required by this part. Part 40. [CGD 90–053, 58 FR 31107, May 28, 1993, as (2) MROs may report chemical drug amended by CGD 93–051, 59 FR 28792, June 3, test results to the Coast Guard for un- 1994] employed, self-employed, or individual mariners. § 16.220 Periodic testing requirements. (c) Substance Abuse Professional (SAP). (a) Except as provided by paragraph Individuals performing SAP functions (c) of this section and § 10.227(e) of this must meet the training requirements chapter, an applicant must pass a and follow the procedures in 49 CFR chemical test for dangerous drugs for— Part 40. (1) An original issuance of a license, [USCG-2000–7759, 66 FR 42968, Aug. 16, 2001] COR, MMD, or MMC;

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

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

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

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for the employer’s crewmembers and (OMB Number: 2105–0529) by mail to supervisory personnel. The training Commandant (CG–545), 2100 2nd St. program must include at least the fol- SW., Stop 7581, Washington, DC 20593– lowing elements: the effects and con- 7581 or by Internet at http:// sequences of drug and alcohol use on www.uscg.mil/hq/g-m/moa/dapip.htm. personal health, safety, and work envi- (2) The DOT Drug and Alcohol Test- ronment; the manifestations and being MIS form can be downloaded and havioral cues that may indicate drug printed from http://www.uscg.mil/hq/g-m/ and alcohol use and abuse; and docu- moa/dapip.htm or may be obtained from mentation of training given to crew- any Sector Office. members and the employer’s super- (3) A consortium or other employer visory personnel. Supervisory per- representative may submit data for a sonnel must receive at least 60 minutes marine employer. Reports may contain of training. data for more than one marine employer. Each report, however, must list Subpart E—Management the marine employers included in the Information System report. (4) Marine employers must ensure § 16.500 Management Information Sys- that data submitted by a consortium tem requirements. or other employer representative under (a) Data collection. (1) All marine em- paragraph (b)(3) of this section is cor- ployers must submit drug testing pro- rect. gram data required by 49 CFR 40.26 and (c) After filing 3 consecutive annual Appendix H to 49 CFR part 40. MIS reports since January 1, 1996, re- (2) The provisions in 49 CFR part 40 quired by paragraph (b) of this section, for alcohol testing do not apply to the marine employers with 10 or fewer cov- Coast Guard or to marine employers, ered employees may stop filing the an- and alcohol testing data is not required nual report each succeeding year dur- or permitted to be submitted by this ing which they have no more than 10 section. covered employees. (b) Data reporting. (1) By March 15 of the year following the collection of the [USCG-1998–4469, 64 FR 22559, Apr. 27, 1999; 64 FR 31989, June 15, 1999, as amended by USCG- data in paragraph (a) of this section, 2003–16414, 69 FR 6578, Feb. 11, 2004; USCG– marine employers must submit the 2006–25556, 72 FR 36330, July 2, 2007; USCG– data on the form titled U.S. Depart- 2009–0702, 74 FR 49225, Sept. 25, 2009] ment of Transportation Drug and Alco- hol Testing MIS Data Collection Form APPENDIX A [RESERVED]

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