Subchapter B—Merchant Marine Officers and Seamen

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 con- § 10.213 National Driver Register. viction submits their MMC application 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 controlled substance; and any traffic an applicant with a conviction older violations arising in connection with a than the maximum assessment period fatal traffic accident, reckless driving, listed in table 10.211(g), the Coast or racing on the highways). Guard will notify the applicant in writ- (b) The Coast Guard will not consider ing of the reason(s) for the disapproval. NDR-listed civil convictions that are The Coast Guard will also inform the more than three years old from the applicant, in writing, that the recon- date of request unless that information sideration and appeal procedures con- relates to a current suspension or rev- tained in subpart 1.03 of this chapter apply. ocation of the applicant’s license to operate a motor vehicle. The Coast Guard (l) If an applicant has one or more alcohol 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 assess- evaluating applicants who have drug or ing the applicant’s suitability to hold alcohol related NDR-listed convictions. an MMC. This list is intended as a Non-drug or alcohol related NDR-listed guide for the Coast Guard. The Coast convictions will be evaluated by the Guard may consider other factors ap- Coast Guard under table 10.211(g) of propriate to a particular applicant, § 10.211 as applicable. The Coast Guard such as: will consider non-drug or alcohol re- (1) Proof of completion of an accred- lated NDR-listed convictions that are ited alcohol or drug abuse rehabilita- more than three years old from the tion program; date of the request when the informa- (2) Active membership in a rehabili- tion relates to a current suspension or tation or counseling group, such as Al- revocation of the applicant’s license to coholics Anonymous or Narcotics operate a motor vehicle. Anonymous;

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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 re- sides. 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 amend- ment 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 re- issuance 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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